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

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



v o l u m e s i x
o m m u n i
c
C t
O y
M M U N I T Y
Images and the visual practices that put them to work contrib-
ute significantly to the experience of those social and cultural
groupings that structure human life. Clan, tribe, ancestors, congregation, family,
ethnic group, race, and nation are only some of the many shared orders of social life.
These forms of association configure the loyalties, obligations, and affiliations, as well
as the aversions and oppositions, that shape individual and collective identity. The
creation, display, gifting, veneration, ritual observation, and destruction of images all
can help perform group solidarity and signal individual status within the group.

In the manner of open-ended advertisements, some images broadcast identity
in a way that situates an individual or family within a larger public setting, such as
a domicile in central Ethiopia (a), which displays murals painted by the Protestant
owner of the home. In this instance, the
murals announce the particular nature of
the homeowner’s faith. Images are also used
to promote the interests of a particular
clan and its social intentions. The Shintō
figure of a goddess (b), which also repre-
sents a court figure, belonged to a shrine
ensemble that was typically installed by a
clan with the aim of elevating its standing
and even as a way of serving its political
ambitions. Royal and noble patronage
of the visual arts accounts for much of
the world’s finest art, and much of this
was created to broadcast status or curry
(a) Tukul (thatched hut) in Hossana, Ethiopia,
with murals painted by the Protestant owner.
[Photograph by David Morgan] (b) INSET. A tenth-
century carved and painted wood statue of the
Shintō goddess Nakatsu Hime Zo, wearing the
robes of a court lady, from the Hachimangu Shrine
in Nara, Japan. [©Werner Forman/Art Resource, N.Y.]
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COMMUNITY
support of the priestly or monastic classes, the devout
laity, or the gods themselves.

Images are often what members of a group physi-
cally share with each other as members. Some objects and
images orchestrate people’s relationship to one another.
The Uramot Baining people of Melanesia initiate young
men into higher grade levels of age by using masks, such
as the animated tree fork shown here (c), which represents
a natural configuration used in dwellings, and therefore is
something whose power consists of its operation in two
domains—nature and culture—which power the mask
can deploy to disrupt the cultural order, dislodging a
youth to move him to another social status. An ancestor
figure (d) from Papua New Guinea represents an impor-
tant predecessor who is accompanied by animals that are
(c) ABOVE. Masks (kavat sowelmot) worn by young Uramot
Baining men moving to a higher level of social status, bark
cloth, wood, fiber, pigment, Gazelle Peninsula, New Britain.
[©Wolfgang Kaehler/Corbis]
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COMMUNITY
the clan totems associated with the ancestor. This carving
was displayed among a group of such ancestor figures in
a cult house where the figures were consulted as oracles
before a battle or hunt. The tattoos a man received while
in prison in Mexico (e) indicate his identity as a Chicano,
his machismo, and his long-suffering prison stays; they
even mark the individual years spent in prison. Another
sort of display common among gangs in Los Angeles is
graffiti (f ), which is used to mark territory belonging to
gangs, display pride in the gang’s symbols and presence,
and, in the case of the illustration reproduced here, to
commemorate members of the Eighteenth Street gang in
Los Angeles. The image of Our Lady of Guadalupe and
Christ above the cross clearly signal the religious nature of
the commemoration, as well as the importance of Catholi-
cism for Chicanos.
(e) RIGHT. Tattoos on a Latino man in Los Angeles indicate
his cultural identity and the years he spent in prison. [©Susan A.
Phillips] (f ) BELOW. A graffiti memorial for deceased members of
the Eighteenth Street gang, near MacArthur Park in Los Angeles,
1990. [©Susan A. Phillips]
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A Vodou initiation ceremony (g), is organized around
a candlelit altar and chalk diagram, in which properly
costumed participants take part in a structured liturgy.
Whether Vodou or Christianity, Hinduism or Shintō,
visually elaborate, theatrically complex ceremonies liter-
ally perform group identity, assigning particular roles to
participants, even calling upon them to perform a reperto-
ry of actions or utterances. Such events may be restricted
to small, semiprivate groups, such as the women’s societies
in African secret associations (h), in which the masks and
costumes of society members cloak their identities as they
assume the identities of spirits or ancestors. Or the events
may be vast, highly orchestrated affairs, as in the annual
(g) TOP. Participants in a Vodou ritual in Haiti kneel around a
candlelit altar and chalk diagram, while onlookers sit outside of
the ritual circle. [©Morton Beebe/Corbis] (h) LEFT. Sande women
costumed as spirits and ancestors at a ceremony in Sierra Leone.
[Photograph by Ruth B. Phillips]
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Gan.eśa festival in Mumbai (i), where, during the culmina-
tion of the festival, thousands of participants accompany
large sculpted figures of the elephant-headed “remover
of obstacles,” made of unfired clay, to the sea, where the
image is submerged and dissolved. The ritual destruction
of the image brings the festival to a single, dramatic end in
the public witness of an entire city’s inhabitants.

Memorials and monuments enact collective identity
in powerful, though distinct, ways in modern urban set-
tings. The Marine Corps War Memorial (j), though called
a memorial, is much better described as a monument if by
that term one intends a heroic celebration of a great deed
(i) RIGHT. Hindus in Mumbai, India, carry a sculpture of
Gan.eśa to the Arabian Sea. [©Amit Bhargava/Corbis] (j) BELOW.
Felix de Weldon, Marine Corps War Memorial, near Arlington
National Cemetery, across the Potomac River from Washington,
D.C., dedicated in 1954. [©Alan Schein Photography/Corbis]
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COMMUNITY
(k) A tribute in light over the site of the World Trade Center in
that is erected for the sake of public affirmation as consti-
New York City in spring 2002. [©Mark E. Gibson/Corbis]
tutive of the nation’s well-being. Monuments are intended
to gather the group—in this case, the nation—around
a figure or event that totemically represents the whole.
Memorials, on the other hand, are constructed as com-
memorations of loss. The towering beams of light that
marked the site of the World Trade Center Towers (k)
destroyed on September 11, 2001, did not aggrandize
anyone or glorify the city or nation, but acted as a colos-
sal form of mourning and remembrance. As a city and
nation, New Yorkers and Americans regarded the dra-
matic memorial as not only an elegiac and all too ephem-
eral reminder of what was taken from them, but also
what might register that loss within the larger gesture of
a luminous connection with the night sky over Manhat-
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COMMUNITY
tan. Both memorials and monuments seek to materialize
(l) A Chinese propaganda poster portrays Mao Zedong as the
a larger self, whether national or even divine. Both declare
sun, with representatives of China’s various ethnic groups hold-
in different ways and possibly to different ends that each
ing Mao’s Little Red Book. The text declares “Chairman Mao is
person is incomplete in him or herself and only more fully
the everlasting red sun in our hearts.” [©Ric Ergenbright/Corbis]
alive and purposeful as part of a larger self.

Images are often charged with the task of encourag-
ing the submission of individual interest to the interest of
the community. Clearly, this is the message of the Maoist
poster (l) in which Chairman Mao Zedong radiates light
like a solar deity above a smiling crowd of China’s many
ethnic peoples, several of whom conspicuously display
copies of Mao’s Little Red Book. Self-effacing obedi-
ence was part of Chinese Confucian tradition. Obliga-
tion to ancestors, parents, and superiors is the focus of
Confucianism, but, in contrast to Mao’s dictatorship,
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(m) Remonstration before the Emperor, handscroll, ink on silk,
authority was not unchecked. In the Chinese illustrated
China, from Li Kung-lin, The Classic of Filial Piety, chapter
scroll entitled The Classic of Filial Piety (m) a minister
15, 1085 ce. The Metropolitan Museum of Art, Ex coll.: C. C.
remonstrates with his sovereign, but while doing so he
Wang Family, from the P. Y. and Kinmay W. Tang Family
bows very low and avoids the sovereign’s superior gaze. All
Collection, Gift of Oscar L. Tang Family, 1996 (1996.479a-c).
spectators avert their eyes from the ruler out of respect for
Photograph by Malcolm Varon. [Photograph ©1991 The
his authority, but also perhaps to absent themselves from
Metropolitan Museum of Art]
his wrath or embarrassment as he is called delicately to
task. Authority is a socially enacted reality, bestowed by all
members of a society, even though not equally, nor with
the same benefit, to everyone.
BIBLIOGRAPHY
Fong, Wen C. Beyond Representation: Chinese Painting and Callig-
raphy, 8th–14th Century. New York and New Haven, 1992.
Mason, Penelope. History of Japanese Art. New York and Engle-
wood Cliffs, N.J., 1993.
Phillips, Ruth B. Representing Women: Sande Masquerades of the
Mende of Sierra Leone. Los Angeles, 1995.
Phillips, Susan A. Wallbangin’: Graffiti and Gangs in L.A. Chicago,
1999.
Silverman, Raymond A., ed. Ethiopia: Traditions of Creativity. East
Lansing, Mich., 1999.
Sturken, Marita. “The Wall, the Screen, and the Image: The Viet-
nam Veterans Memorial.” In The Visual Culture Reader, 2d ed.,
edited by Nicholas Mirzoeff, pp. 357–70. London, 2002.
David Morgan ()
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C G
O N T I N U E D
GODDESS WORSHIP
This entry consists of the following articles:
AN OVERVIEW
GODDESS WORSHIP IN THE ANCIENT NEAR EAST
GODDESS WORSHIP IN THE HELLENISTIC WORLD
THE HINDU GODDESS
THEORETICAL PERSPECTIVES
GODDESS WORSHIP: AN OVERVIEW
The scope and antiquity of goddess worship are remarkable. Female sacred images are
associated with some of the oldest archaeological evidence for religious expression and
they still have efficacy in the contemporary world. Goddess images are depicted in a wide
range of forms, from aniconic representations, such as abstract organs of reproduction,
to fully elaborated icons decorated with the finery of monarchy. They are linked to all
major aspects of life, including birth, initiation, marriage, reproduction, and death. They
display the elaborate variegation of religious experiences in different cultural contexts. A
historical survey reveals goddess worship to be a continuous phenomenon, despite period-
ic ebbs and tides during certain critical epochs.
GODDESS WORSHIP IN UPPER PALEOLITHIC CULTURES. Some of the earliest archaeologi-
cal evidence for the human religious impulse consists of sculptured images and cave paint-
ings of female figures excavated in hundreds of Upper Paleolithic sites throughout Europe
and northern Asia, including France, Spain, Italy, Germany, Austria, the Ukraine, and
Siberia. These images, carved in bone, stone, antler and mammoth tusks, outnumber
those of male figures ten to one. They have been identified sometimes as part of an elabo-
rate and pervasive worship of goddesses; they are commonly known as “Venuses,” after
the Roman goddess of love and beauty. The interpretation of these artifacts remains con-
troversial today.
C LOCKWISE FROM TOP LEFT CORNER. The Court of the Lions in the Alhambra in Granada, Spain.
[©E.O. Hoppé/Corbis]; Sixth-century BCE marble relief of Aphrodite, Artemis, and Apollo from
the east frieze of the Siphnian Treasury at Delphi, Greece. Archaeological Museum, Delphi.
[©Erich Lessing/Art Resource, N.Y.]; Eleventh-century Byzantine mosaic of the Madonna and
Child at Hosios Loukas Monastery in Boeotia, Greece. [The Art Archive/Dagli Orti]; Gan:e´sa,
twelfth to thirteenth century, from Mysore, India. De Young Memorial Museum, San
Francisco. [©Werner Forman/Art Resource, N.Y.]; The Parthenon on the Acropolis in Athens,
Greece. [©Bettmann/Corbis] .
3583
3584
GODDESS WORSHIP: AN OVERVIEW
Some Venuses have been discovered in Aurignacian de-
es, which may be connected in some way with the menstrual
posits as old as thirty to forty thousand years. However, they
cycle.
appear more frequently about 25,000 years ago. Remarkably,
Other permutations include the various female images
these same goddess figurines have been unearthed from sites
painted on cave walls that have some association with ani-
dated as late as the early Neolithic period. One of the earliest
mals and a variety of different symbols and markings of prob-
of these figurines, found in the Dordogne region of France,
able notational significance. A number of abstracted images
was estimated to be thirty-two thousand years old, roughly
of female buttocks have been found in various sites, some-
the age of the famous cave art of that period and situated one
times with breasts and torsos. In one Italian grave site, for
level above Neanderthal artifacts associated with what are be-
instance, a decorated bone pendant in the shape of female
lieved to be ceremonial burials. This “pregnant” figure was
buttocks was found. The image is well worn, and it seems
carved from reindeer antler and is marked by a series of small
to have been used for some purpose during the life of its
notches that do not appear to be purely decorative. One can-
wearer and then placed among various other ceremonial
not be sure how to interpret this figurine, though it might
burial objects, including two other crudely carved goddess
be part of an elaborate cult associated with later discoveries
images made especially for the burial.
of the same type.
There is a great range of evidence for goddess worship
The Venuses have been widely interpreted as evidence
in the Upper Paleolithic era. The character of this worship
of a single phenomenon, fertility symbolism. Some scholars
is largely uncertain, and no single interpretation is adequate.
have lumped these prehistoric figurines together with a later
The figurines may have been associated with pregnancy,
so-called Great Goddess complex and the emergence of agri-
birth, burial, fertility, initiation, hunting, and the menstrual
culture. Most archaeologists, however, hestitate to treat all
cycle; they may even have had some erotic function. Al-
these female images as fertility symbols, because they are the
though they represent a prominent element in the religious
product of a wide variety of peoples with different economic
life of this period, it is erroneous to isolate these female figu-
systems, cultural traditions, and languages. Perhaps the Ve-
rines from other important and associated imagery, such as
nuses had a great variety of meanings, both within the differ-
animals, male images, and undeciphered markings. Nor can
ent cultural contexts in which they were found and depend-
one make the further leap of suggesting that this rich collec-
ing on the time period. Each of these images must be read
tion of sacred female images constitutes proof of an early
in the context of its archaeological provenience. Thus, theo-
stage of matriarchy; the symbolism of these images tells noth-
ries that the Venuses represent an ancient, widespread cult
ing clear about male or female roles in the social organization
of “fertility magic” are oversimplifications. Current research
of Upper Paleolithic cultures.
suggests that the Venuses may be associated with a wide
range of phenomena involving women, such as maturation,
NEOLITHIC EARTH GODDESSES AND THE EMERGENCE OF
menstruation, copulation, pregnancy, birth, and lactation.
AGRICULTURE. The most noteworthy fact about Neolithic
They are not to be treated separately or isolated in any way
goddess worship is its strong continuity with earlier Upper
from other artifacts of the same period that represent some
Paleolithic configurations. Gradually Paleolithic goddess
type of “storied event.”
symbolism was transformed to fit into the complex of human
needs generated by increasingly agricultural and urbanized
The Neolithic goddess figurines take different forms.
forms of social organization. Most sources date the Neolithic
Some are thin and geometric, representing snake and bird
era around ten thousand to four thousand years ago; it was
goddesses. These water and air deities were likely cosmic
marked by the appearance of ground stone tools and the do-
symbols of the regeneration of life. Other figurines are face-
mestication of plants and animals in Europe, North Africa,
less, unclothed, and corpulent. Still others appear to be con-
the Middle East, and throughout various parts of Asia. The
spicuously pregnant, with exaggerated breasts and large but-
female images found in Neolithic sites represent the continu-
tocks. The most famous of these figurines, the Venus of
ity of traditions from earlier Mesolithic and Upper Paleolith-
Willendorf (Austria), is often taken to be typical of Upper
ic cultures. Chevrons, meanders, serpentine and spiral de-
Paleolithic mother-goddess figures. This image is four and
signs associated with Neolithic goddesses are all familiar
three-eighths inches high, made of soft stone, faceless, fat,
motifs prefigured in Paleolithic female images. Also, it ap-
but not apparently pregnant; it appears to have been painted
pears that the Neolithic goddesses who were linked to lunar
with red ocher. However, the diversity of female images is
mythology are derived from earlier roots. Many of the Neo-
marked; not all are full iconic representations. There is a vari-
lithic goddess figurines are corpulent, like their Upper Paleo-
ety of images of female body parts such as sculptured breasts
lithic predecessors; they are connected also to the supply of
(from sites in Czechoslovakia) marked with curious notches
wild animals, but by this time with the addition of domesti-
that may have been either notational or decorative—some of
cated animals such as the dog, bull, and male goat as well.
these were worn as a string of beads, others as a single pen-
Some of these Neolithic figurines are pregnant, seated on a
dant. Abstracted images of vulvas have also been unearthed
throne, representing goddesses of vegetation. In general, they
in France, Spain, and Italy. Some are forked images, others
are composite images, sharing the traits of both preagricul-
are shaped like disks, and all have clear, finely marked notch-
tural and agricultural societies. Also noteworthy is a comple-
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GODDESS WORSHIP: AN OVERVIEW
3585
mentarity between male and female images—one is not sub-
ricultural societies female deities have been variously linked
ordinate to the other.
to the fertility of crops, the sovereignty of kingship, the pro-
tection of urban ceremonial centers, and the waging of war-
The complex imagery of the Neolithic era was centered
fare against enemies.
around females and animals, as illustrated by evidence from
the famous Anatolian site of Çatal Hüyük, excavated by
India. No civilization in the world developed goddess
James Mellaart in 1961–1963. This Neolithic settlement lo-
worship so elaborately as did India. Terra-cotta figurines of
cated in southern Turkey is dated from the seventh to sixth
mother goddesses have been found in the Indus Valley, dated
millennium BCE. Its more than forty shrines, distributed
at 2500 to 1500 BCE, along with abstract stone rings repre-
through nine building levels, have yielded a wealth of infor-
senting the yoni and lingam, prototypes for the later god S´iva
mation about Neolithic religion. The evidence displays a
and his female consort. Goddesses rarely functioned sepa-
clear cultic continuity associated with a mother goddess and
rately from male divinities in ancient India. Nor was goddess
accompanying male deities. In some shrines at Çatal Hüyük
worship the central theme in the development of Indian civi-
the goddess is depicted as being supported by leopards or giv-
lization except during periodic episodes of florescence. In-
ing birth to a bull, which was a male deity. This association
deed, the goddess does not appear as a major focus in Indian
of goddesses with male deities is unusual at Neolithic sites;
literature until 600 BCE, in a legend recorded in the Kena
they usually appear without a male counterpart.
Upanis:ad. Not until much later, probably the seventh centu-
ry CE, did goddess worship emerge as a somewhat separate
The statuettes at Çatal Hüyük suggest that goddesses
cult in Hinduism and eventually in Tibetan Buddhism. This
were connected variously with pregnancy, birth, ritual mar-
Tantric expression of goddess worship was particularly
riage, and command over wild animals. Images of stylized fe-
strong in eastern India where it continues to flourish today,
male breasts similar to Upper Paleolithic figurines have also
though somewhat less intensely than formerly.
been found here. The principal deity of this Neolithic site
is a goddess represented in three forms, as a young woman,
At no point in the development of Indian civilization
a mother giving birth, and an old woman. There are also sev-
was goddess worship completely separate from devotion to
eral images of twin goddesses, with one of the two portrayed
male deities. The Hindu rajas wielded power through the
in the process of giving birth.
manipulation of icons of major male deities such as Su¯rya,
Vis:n:u, or S´iva. While these gods had female consorts who
In other Neolithic shrines, goddesses appear as bird and
were worshiped alongside them, goddesses usually played a
snake deities connected to rain and water. Further recent evi-
secondary though by no means unimportant role as images
dence of Neolithic goddess worship comes from a village site
of cultural identity. No doubt at the village level there has
presently being excavated outside of Amman, Jordan. Here
been a long, relatively unbroken continuity of goddess wor-
an international team of archaeologists has unearthed a series
ship extending back to Neolithic times. Local village god-
of plaster figurines three feet tall with startled expressions on
desses were besought (as they continue to be today) to in-
their faces, along with fifty animal figurines, two adorned
crease human fertility, to cause or cure diseases, to bring
plaster skulls, and three Venuses. One of the statues is of a
about good fortune, to enhance the productivity of crops, or
nude female standing and pushing up her breasts with her
to destroy demons. Yet, at the more exalted level of courts
hand. This image may foreshadow the later cult of the god-
and kings, these female deities played a less prominent role.
dess Astarte, who was widely worshiped in the area.
Up until the early part of this century many rajas incorporat-
The question has to be raised as to whether these Neo-
ed tribal peoples into their spheres of influence by worship-
lithic goddesses were part of a single cult complex spread
ing local goddesses, but this royal patronage of goddess wor-
across Europe and the Middle East or whether they represent
ship was usually accompanied by an even stronger devotion
different traditions entirely. In some places they are associat-
on the part of the raja to the sect of a male deity. Thus, it
ed with ancestor worship, death, and the afterlife; in others
would be erroneous to conceive of Indian goddess worship
they are related to the emergence of agriculture and the fertil-
as a distinct component in the development of Indian civili-
ity of crops. In still others, they represent developmental
zation. The widely known Hindu goddesses such as
functions, as they had in the Upper Paleolithic era. Whatever
Sarasvat¯ı, Laks:m¯ı, and Pa¯rvat¯ı rarely stand alone. Only Ka¯l¯ı
the answer may be to this question, one thing is clear. God-
and Can:d:¯ı, the more ferocious aspects of female divinity, be-
dess worship is not, as some scholars have suggested, an inno-
come focal points for separate worship. Even in these cases
vation that appeared suddenly in the Neolithic period with
the goddess rarely acts as a primary source for establishing
the emergence of agriculture, which these scholars then see
the legitimacy of kingship.
as a woman-controlled form of subsistence.
The ancient Near East. In the ancient Near East the
GODDESS WORSHIP IN THE DEVELOPMENT OF CIVILIZA-
phenomenon of goddess worship displayed an even more
TIONS. Goddess worship has played a central role in the
elaborate and subtle set of nuances. Here are encountered
worldwide transition from small-scale social organization to
several distinct civilizations, some having borrowed heavily
the emergence of civilizations in India, the ancient Near
from each other. A number of goddesses were prominent in
East, Greece, Rome, China, and Japan. In these complex ag-
ancient Egypt: Nut, goddess of the sky and consort 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
3586
GODDESS WORSHIP: AN OVERVIEW
earth god, Geb; the goddess Neith, patroness of victorious
of the Sumerian pantheon. In this urban context, Inanna be-
weapons and the art of weaving; Isis, goddess of wisdom; and
came a focal point for the full emergence of life in city-states,
Hathor, another sky goddess who assumed various forms.
and she assumed the regal responsibility for victory in war
Some of these goddesses were deeply entwined in the devel-
and the redistribution of resources among urban peoples.
opment and continuity of divine kingship. The name Isis, for
Often these functions have been allotted to male deities in
instance, is related linguistically to the term for “chair” or
other traditions, as in the case of the Hindu gods S´iva and
“throne.” The throne or “holy seat” of the pharaoh was the
Jaganna¯tha.
“mother of the king.” The pharaohs thought themselves to
be sons of Isis. Later Isis became linked to the god Osiris.
Inanna is identified with the Semitic goddess Ishtar and
The heroic story depicts Isis’s famous search for her mur-
the West Semitic goddess Astarte. These deities, along with
dered husband’s corpse, her discovery of it, and his resurrec-
the Canaanite goddesses Asherah and Anat (a wrathful war-
tion. Eventually Isis became universalized as a benevolent
like deity), were worshiped by the early Hebrew people. It
goddess of the harvest. Her cult spread from Egypt to Greece
is certain that the early Israelites worshiped the Canaanite
and throughout the Roman Empire. By 300 BCE the cult of
goddess Asherah; even Solomon praised the pillars represent-
Isis had become a popular mystery religion, with secret initia-
ing this deity, and his son Rehoboam erected an image of her
tion rites promising salvation and rebirth.
in the temple at Jerusalem. Probably the female deities of the
early monarchic period did not disppear but were changed
Another stream in the ancient Near Eastern tradition of
into different forms, despite repeated efforts to reestablish a
goddess worship flows from the Mesopotamian civilization
strong monotheism in Judaism in the biblical period. Rapha-
located on the Tigris and Euphrates Rivers. In that area the
el Patai (1967) has argued that various disguises are assumed
goddess Inanna was worshiped; she was the queen of heaven
by the goddess in later Judaism: she appeared in the form of
and earth and the goddess of love, and she was profoundly
the cherubim (depicted as man and woman in an erotic em-
involved in the rise of Sumerian state-level social organiza-
brace); in images of Yahveh’s wife Astarte; as the one and
tion. Although she was one of many goddesses of ancient
only God having two aspects, male and female; and in the
Sumer, Inanna outlasted and overshadowed them all. Also
form of the Shekhinah (the personified presence of God on
known as Ishtar and later worshiped by different Semitic
earth). In this latter form, the Shekhinah argues with God
peoples, Inanna had very ancient roots. She was part of an
in defense of man; she is sometimes manifested as Wisdom
amalgamation of Sumerian and Akkadian religious and po-
and at other times as the Holy Spirit. The feminine element
litical beliefs, extending back to 3000 BCE or possibly further,
played an important role in qabbalistic thought, especially
and she is connected to the fertility of crops, the emergence
in the thirteenth-century Zohar, which stressed the
of increasing sedentary patterns of social organization, and
Shekhinah as female divine entity; she was also referred to
the development of the first urban centers.
there as Matronit (“divine matron”). The Shekhinah was
In the late nineteenth century the world’s oldest texts
seen as an intermediary between God and the scattered peo-
on cuneiform clay tablets were unearthed after having been
ples of Israel and was widely accepted in Jewish communities
buried for at least four thousand years. Some of these texts
in the fifteenth to eighteenth centuries, when Qabbalah had
tell the life story of Inanna from adolescence through wom-
widely felt influence. According to Patai, the complex con-
anhood and her eventual apotheosis. The texts are extremely
cept in Qabbalah that the Shekhinah and God are one, fil-
rich; they reveal the sexual fears and desires of the goddess,
tered down to the Jewish masses, led to the simplified belief
an elaborate history of kinship among various deities in her
in her as a goddess.
family tree, her power as queen of Sumer, and her responsi-
Although the early Israelites engaged in the worship of
bilities for the redistribution of resources and fertility of the
female deities, at some point goddess worship was removed
earth. Inanna’s cult was centered at the ancient temple city
from the religious tradition. Whether one places this purge
of Uruk. Here archaeologists have provided evidence for the
of the goddess early in Judaism or posits a disguised form of
earliest known urban civilization, dated 3900–3500 BCE and
goddess worship that was retained for centuries and then fi-
characterized by monumental temple architecture and the
nally removed, the really important question is why the phe-
first writing. The oldest shrine of Uruk was dedicated to In-
nomenon was eliminated from the tradition at all. Some
anna, as were numerous later temples. She was the supreme
feminist scholars have argued that this purge of the feminine
patroness of the city. Though related to other deities, she re-
represents a repression of women. However, the phenome-
tained a certain degree of independence. Inanna’s shrine was
non can be explained also by the purely theological argument
the focus of considerable economic activity and the redistri-
that monotheism requires the loss of all “extraneous” deities,
bution of resources characteristic of urban life.
no matter what gender. This raises yet another question.
Unlike the female divinities of India and Egypt, the
Why has none of the monotheistic religions worshiped a
goddess Inanna, who was most likely derived from Neolithic
feminine deity as its centerpiece? Could there be some truth
and possibly even earlier Paleolithic roots, played the princi-
to the often asserted position that monotheism represents a
pal role in the religious tradition of an urban society. She was
final ideological phase in the evolution of complex state-level
considered to have equal status with the sky god, An, head
civilizations? If this were true, how then does one explain 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
GODDESS WORSHIP: AN OVERVIEW
3587
dian civilization, which is clearly a state-level form of social
principles, derived from Tantric Hinduism, has resulted in
organization, but is neither monotheistic nor associated with
a large number of goddesses who are intimately related to
an exclusively dominant male divinity? Perhaps the gender
their male counterparts as consorts. Some goddesses, howev-
of deities has little, if anything, to do with the social structure
er, retain a certain degree of autonomy and represent inde-
in which they are manifested. Such questions require further
pendent deities. This is the case of the goddess Tara, a female
research from different theoretical perspectives.
bodhisattva who became a universal protectress. In Chinese
Pure Land Buddhism, Guanyin, goddess of mercy, is also
Greece. In Greece, the rebirth theme is found in the El-
considered to be a bodhisattva. She is a principal teacher, a
eusinian mystery cult associated with the earth goddess, De-
savior who can give her devotees assurance of enlightenment
meter. However, instead of the rebirth of a male deity, a fe-
and carry believers to the western paradise of O-mi-tEo-fo’s
male deity is reborn: Demeter’s daughter, Persephone, is
Pure Land. This goddess continues to be worshiped through-
resurrected after her abduction by Hades, lord of the under-
out China and in Japanese Buddhism.
world. The pre-Olympian goddesses of Greece were usually
connected to vegetation rituals. A prime example was Gaia,
The tradition of goddess worship is well established in
earth mother and chthonic mother of the gods. This deity
Japan, not only in Buddhism, but also in Japanese Shinto¯,
was associated with the oracle at Delphi before the oracle be-
where many male and female nature deities are propitiated.
came exclusively Apollo’s. Her rituals included animal sacri-
In Shinto¯ the world was created by a divine creator couple,
fices, offerings of grain and fruit, and ecstatic possession
the god Izanagi and the goddess Izanami. They gave birth
trance. Many of the later Greek goddesses emerged from pre-
to the sun goddess Amaterasu and her brother Susano-o no
Hellenic earth goddesses like Gaia. The famous twelve deities
Mikoto, god of storms, along with other nature deities. Ama-
of Olympus included the goddesses Hera, Athena, Aphrodi-
terasu eventually became the cult deity of the Japanese royal
te, Hestia, Artemis, and Demeter. These Olympian goddess-
family, retaining both her Shinto¯ function as sun goddess
es were each given distinct roles to play in accordance with
and a new role as Shining Buddha of Heaven. Until this cen-
their earlier spheres of influence. The original chthonic as-
tury the emperor of Japan was considered to be the descen-
pects of these goddesses were diminished as they became sub-
dant on earth of Amaterasu. He was charged to keep peace
ordinated in the Olympian hierarchy ruled by Zeus. No lon-
in the world and to support her major pilgrimage shrine, lo-
ger was each goddess an organic link to the generative forces
cated at Ise.
of life and death. Instead, she became highly compartmental-
This survey of archaic goddess worship points to the di-
ized in her new role in the male-dominated Olympian pan-
versity of the roles goddess worship has played in the devel-
theon. This compartmentalization demarcates a transforma-
opment of civilizations. In some parts of the world goddesses
tion in the role of goddess worship in the development of
were central in the emergence of urbanism and kingship.
Greek civilization.
Elsewhere they were secondary consorts of male divinities or
Rome. There was a strong identification of Greek dei-
vestiges of mystery cults associated with earlier shamanistic
ties with Roman deities. Most Greek goddesses had their
religion. Sometimes they represented a continuity with Neo-
Roman counterparts. In 204 BCE Roman aristocrats officially
lithic and Paleolithic traditions or were transposed and re-
adopted the foreign cult of the Anatolian goddess Cybele,
conceived as the bearers of complex social organization—
later to be known as the Magna Mater (Great Mother). On
waging warfare, presiding over the collection of taxes and
April 4 of that year the image of the goddess was carried into
controlling the redistribution of resources. The emergence
the city by Roman matrons, a temple was erected, and she
of virtually every major civilization was associated in some
was installed as a national Roman deity. Only self-castrated
way with goddess worship. While there may not be a single
foreign priests were allowed to serve in the temples dedicated
“Great Goddess” worshiped universally, the ubiquity of the
to Cybele, because Roman citizens were forbidden to be
phenomenon remains unbroken from Paleolithic times.
priests until the reign of Emperor Claudius (41–54 CE).
CONTEMPORARY PATTERNS OF GODDESS WORSHIP. The
Driven by Cybele, his angry mother, Attis died of self-
worship of female sacred images is found in some form or
castration and then returned to life in response to his moth-
other throughout the world, except in those societies domi-
er’s intense mourning. This death and rebirth theme was cel-
nated by Islam or certain branches of Protestantism. Even in
ebrated during a series of holidays at the beginning of spring;
cultures heavily influenced by iconoclastic secular move-
the rituals included a procession carrying a pine tree (repre-
ments vestiges of goddess worship remain. For instance,
senting the dead Attis) into the temple of the Magna Mater,
Joanna Hubbs (in Preston, 1982, pp. 123–144) traces im-
violent ritual mourning, a celebration of the rebirth of Attis,
ages of a divine feminine in contemporary Russian folk art,
and the bathing of Cybele’s statue.
film, and literature, noting strong national themes that con-
tinued to thrive in the Soviet era.
China and Japan. The Vajraya¯na tradition of Tantric
Buddhism in Tibet and Mongolia is widely associated with
Goddess worship is represented widely in the Hindu,
goddess worship. Male and female manifestations of the di-
Buddhist, and Shinto¯ countries of Asia. Catholic Europe is
vine power are depicted as opposite but complementary as-
replete with pilgrimage shrines devoted to the Virgin Mary;
pects of each other. This dynamic tension of male and female
some of these are associated with earlier pagan goddesses,
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3588
GODDESS WORSHIP: AN OVERVIEW
while others represent a postindustrial flourishing of Marian-
goddess worship is within human experience. They each de-
ism during the nineteenth and early twentieth centuries.
serve special attention.
Even in North America, where Protestantism predominates,
Virginity. In some parts of the world female deities are
sacred female imagery is venerated in Catholic enclaves, like
associated with virginity, purity, and perfect piety. This tra-
the large pilgrimage shrine devoted to Saint Anne de Beaupré
dition is strongly represented in several religions. In Hindu-
in Quebec, Canada. In the United States a quarter of a mil-
ism, Kannagi, goddess of chastity, symbolizes the sacredness
lion pilgrims a year visit the Shrine of the North American
of motherhood, which is linked to pure Tamil ethnic identi-
Martyrs (in Auriesville, New York), a composite pilgrimage
ty, language, justice, and politics. The Tamil concept of
site devoted to the Jesuit martyrs along with the American
chastity connotes not asexuality but sacred power. Another
Indian Kateri Tekakwitha, “Lily of the Mohawks,” who is
example of the Hindu virginity theme is found in Nepal and
a candidate for canonization. A˚ke Hultkrantz (in Olson,
India where Kuma¯r pu¯ja¯, the worship of a premenstrual girl
1983, p. 202) notes an extensive pattern of goddess worship
as the embodiment of a goddess, has been a tradition of some
among American Indians despite the widespread misconcep-
frequency until recent years. The combination of two seem-
tion that these religions are mostly oriented around male dei-
ingly contradictory themes—virginity and motherhood—
ties. Native American goddesses are often earth mothers
was evident among ancient Near Eastern goddesses such as
linked to the cultivation of corn. Goddess worship played an
Inanna, Ishtar, and Anat. These goddesses were simulta-
important role in ancient Aztec, Maya, and Inca civilizations,
neously chaste, promiscuous, nurturant, and warlike. While
traces of which continue to thrive in descendant Mesoameri-
the Virgin Mary is never portrayed as being promiscuous, she
can populations. The goddess Tonantsi remains today a vi-
sometimes embodies and exhibits a continuity with the attri-
brant focus of worship among the Nahuatl of Mexico (rem-
butes of these earlier goddesses; she is pious, intercedes, pro-
nants of the great Toltec and Aztec civilizations). Here
tects the community, bears children, is virginal, and enters
goddess worship expresses its typical syncretic pattern; im-
from time to time into the world to do battle against the
ages of Tonantsi are displayed on altars alongside Christian
forces of evil. The apparent contradiction in the juxtaposi-
sacred images, like the statue of Joseph, who is considered
tion of virginity and motherhood dissolves if the doctrine of
by the Nahuatl to be a son of the goddess.
the Immaculate Conception is taken to “reinforce the dogma
Throughout Latin America and the Caribbean a pattern
that the Virgin’s child is the son of God” (Leach, 1966,
of syncretism involving goddess worship is evident. Particu-
p. 42). The divine mother is not a mere projection of human
larly widespread is the transformation of local Indian god-
motherhood; female divinities give birth, but, unlike human
desses into Marian images. The best-known example of this
mothers, they are rarely considered to be polluted by the
syncretic expression is the famous Roman Catholic pilgrim-
event because of their supernatural status.
age icon of the dark-skinned Virgin of Guadalupe, whose
Motherhood. Another dimension of goddess worship
shrine was built on the site of a temple once dedicated to the
that enjoys widespread representation is the role of nurturant
Aztec goddess Tonantsi. Goddesses are prominent in some
female divinities as god bearers and sources of both carnal
African tribal religions. Daniel F. McCall (in Preston, 1982,
and spiritual life. Deities of the ancient Greek and Roman
pp. 304–322) traces the diffusion of Neolithic goddesses
world gave birth to gods, occasionally by having intercourse
from Southwest Asia to West Africa, where they became vari-
with humans. The earlier pagan role of god bearer finds con-
ously syncretized with local deities and were absorbed into
tinuity in Mary’s capacity as theotokos, mother of the incar-
Akan, Yoruba, and Igbo religious traditions.
nate divinity; here Mary becomes a human partner in the un-
PATTERNS AND THEMES OF CONTEMPORARY GODDESS
folding nature of God. Consequently she is the supreme
WORSHIP. A comparative study of this vast array of types of
intercessor with God on behalf of individuals who seek her
goddess worship reveals certain common themes and distinct
assistance. The nurturing power of the divine feminine has
differences in the ways female deities are experienced. They
very ancient manifestations, extending back to Neolithic
are worshiped as nurturant or punishing mothers, protectors
goddesses, whose theriomorphic form was the cow. The nur-
of community, images of national identity, sources for the
turing goddess is often associated with mother’s milk, which
resolution of human problems, symbols of virginity and pu-
gives life and has strong curative powers. A. J. Weeramunda
rity, the origins of the fertility of crops and human beings,
(in Preston, 1982, pp. 251–262) describes the milk-
mediators between humans and male divinities, and sources
overflowing ceremony in Sri Lanka, which is a ritual means
for healing. None of these attributes is assigned to every god-
for bringing health, both to individuals and the Sinhala com-
dess, although they frequently recapitulate one another and
munity. Here the goddess, symbolized by milk, stands for
cluster together. The nurturing power, for instance, is associ-
matrilineal kinship, mother’s blood, bodily health, and inte-
ated often with the fertility of crops and conceived to be the
gration of community. This ancient theme is recapitulated
source of community identity, but this pattern is not found
in Roman, Greek, and Coptic tales of miracles worked by
everywhere. The following is a survey of common features
the Virgin Mary that refer to the milk from her breasts and
identifiable with goddess worship throughout the world.
the power of her tears to cure diseases.
While they are not universal characteristics of the phenome-
Wifehood. Goddesses are depicted frequently as wives
non, these common features demonstrate how deeply rooted
and consorts. Sometimes as consort she is subservient to her
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GODDESS WORSHIP: AN OVERVIEW
3589
partner. However, the goddess may be raised to the powerful
of S´iva) that fell to earth when her corpse was divided up by
position of queen and protectress. In India, each year
the gods to prevent S´iva from going mad with grief. In Oris-
Jaganna¯tha is said to argue with his jealous wife Laks:m¯ı after
sa, in eastern India, women behave as though they are men-
he has returned from a visit to other deities in the neighbor-
struating during the three days when the earth mother men-
hood. Here Laks:m¯ı is portrayed as a nagging wife. However,
struates; nor is it uncommon in India for men to avoid tilling
the role of consort to a male deity may be only secondary
the fields when the goddess is menstruating.
for a goddess. Inanna, the supreme goddess of ancient
Fertility. This leads to another widespread characteris-
Sumer, was queen of heaven and earth foremost; her role as
tic of goddesses; namely, their power over the fertility of soil,
wife to Dumuzi, the shepherd king, was less important. In-
the fecundity of women, and a plentiful food supply. The
anna’s power was evident in the prolonged Sumerian New
ancient Neolithic city of Çatal Hüyük offers evidence for
Year celebration that culminated in the sacred marriage rite
goddesses of the hunt and the abundance of crops. Alexander
of the goddess Inanna to the reigning monarch, a rite de-
Marshack (1972, p. 355) speculates that the Neolithic god-
signed to ensure the fertility of soil and womb.
dess, as mistress of animals, is prefigured in female images
Protection. One of the most widespread and significant
from the Upper Paleolithic era where goddesses are displayed
roles of female deities is the tripartite function of protectress,
holding animal horns that have been stained with red ocher.
monarch, and emblematic symbol. This pattern contrasts
Goddesses remain associated with the abundance of food
with gentler, more nurturant motifs like fertility and healing.
even today. The Inuit (Eskimo) goddess Sedna is an example;
The Chinese Buddhist goddess Guanyin is a popular domes-
if angered by sins committed in the community she with-
tic deity who is considered also to be a bodhisattva and celes-
holds the supply of sea animals. According to Hultkrantz, the
tial bureaucrat. The Virgin of Gaudalupe provides a famous
American Indian conception of the mother goddess as mis-
example of the emblematic, integrative, and protective role
tress of animals was changed by the introduction of horticul-
of the sacred female image. During the fight for Mexican in-
ture about 2000 BCE, when she began to be identified with
dependence, loyalists carried the banner of the Virgin of Re-
the cultivation of maize, beans, squash, gourds, and other
medios while their opponents marched into battle with the
crops. In Europe corn-mother images have been placed in
banner of the Virgin of Guadalupe; soldiers polarized be-
fields by peasants for hundreds of years. This concern with
tween the two shot at the banner of the “enemy” virgin. In
the fertility of the earth is repeated in the widespread associa-
many parts of the world female sacred images assume highly
tion of goddess worship with human fertility. Barren women
specialized protective qualities; the Daoist goddess Mazu is
in Europe, India, Africa, and many other parts of the world
protectress of fishermen and sailors who face the dangerous
turn to female divinities to ask for aid in pregnancy. Here
storm-ridden Taiwanese Straits; in Spain Our Lady of Ma-
goddesses become a source of life so that the human commu-
carena is protectress of bullfighters; the goddess Amaterasu
nity may be sustained. The ability to bear a large number of
was the supreme national guardian deity of Japan. The Black
children is often a sign of status in agricultural societies
Madonna of Czestochowa continues to be considered queen
where abundant human labor enhances the wealth of a fami-
E
of Poland, her image is worn on badges by members of the
ly unit. Thus, some form of goddess worship for the purpose
Solidarity movement, and she is highly revered as a focus of
of bearing children is often widespread in these societies.
pilgrimage by millions of Polish Catholics, including Pope
Healing. If goddesses can give life they can also take it
John Paul II.
away. They are frequently supplicated for curing diseases.
The Indian goddess S´itala¯ not only cures smallpox, she is
Earth goddess. Some scholars have attempted to link
considered to be its source and requires elaborate rituals to
the gender of deities with natural phenomena, typically asso-
cool her anger, which causes the disease. Thus, Hindu people
ciating female deities with the earth and male deities with the
both fear and adore her. The healing of wounds, prayers for
sun. Although this pattern is widespread, there are several
health, and the quest for wholeness are so universally associ-
noteworthy exceptions. For instance, the ancient Egyptian
ated with goddess worship that this aspect requires special
goddess Nut was conceived to be a sky deity whose partner,
scholarly attention.
Geb, was an earth god. According to C. Jouco Bleeker (in
Olson, 1983, p. 31) Egyptian goddesses were not believed
Why are female deities more frequently invoked than
to be intrinsically earth mothers. The Japanese Shinto¯ god-
male deities for purposes of healing? The obvious answer is
dess Amaterasu, who is identified with the sun rather than
that goddesses tend to be attributed more often with overall
earth, is another example. Thus, the general rule that god-
nurturant qualities. They are the primary and original
desses are earth mothers is clearly not without exception.
sources of life, like human mothers, and they consequently
There is considerable evidence from ancient times that god-
represent a reprieve from the more painful realities of death,
desses were associated with various natural phenomena, par-
decay, and disease. Yet, as been already observed, goddesses
ticularly the sea, the earth, and the phases of the moon. The
are linked also to the darker experiences in the human condi-
many pit:has associated with goddesses in India are linked to
tion. There must be an even more subtle reason for the ubiq-
the earth. Each of these pilgrimage sites devoted to goddesses
uity of the healing function attributed to female deities. In
is considered to be a fragment of Sat¯ı’s body (the dead wife
traditions where the female is subordinate to the male (and
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3590
GODDESS WORSHIP: AN OVERVIEW
this is quite widespread), the worship of female sacred imag-
goddess worship are found in many of the world’s religions.
ery represents an embracing of the whole field of symbolic
Artemis and Medusa evoked similar responses among the an-
potentials and the bringing together of opposites. While
cient Greeks. Also, the Middle Eastern goddesses Ishtar and
male deities are approached during the course of everyday life
Isis were considered to have a terrible aspect associated with
for the favors required to sustain a worldly existence, female
the cosmic dark forces. The Aztec goddess Ilamatecuhtli was
divinities become the focus for ongoing sustenance of the in-
one of several deities associated with death.
dividual or local family.
The theme of ambivalence is further elaborated in the
It is no accident that female deities are strongly repre-
concept of vagina dentata (“vagina with teeth”) where the
sented in home rituals, in roadside shrines, and at local pil-
womb of the earth goddess appears to have a devouring
grimage sites in many parts of the world. Surinder M. Bhard-
mouth. For example, when the goddess is angry, she who is
waj (1973) has demonstrated this point for Hinduism,
the source of life can take it away as slayer of life. The vessel
noting how pilgrimage shrines devoted to goddesses are visit-
of procreation becomes a tomb. Death by absorption into
ed by pilgrims more on a subregional basis for the purpose
the vagina dentata is not always a punishment for wrongdo-
of curing diseases and asking for small favors, while pilgrim-
ing. Sometimes the devouring womb represents the necessary
age to the shrines of male deities is almost always at the re-
death of the old order to establish a new social and religious
gional or national level and for the purpose of darshan (Skt.,
organization. In these cases, entry into the vagina dentata is
darsana; “sight of the deity”) rather than a quest for cures.
a rite of initiation leading through a dangerous passage along
Not only is the mother more accessible and nurturant than
a path toward new birth. The violent act of being swallowed
the more distant father, she is the completion of a process
by an earth deity is a tradition found in many American Indi-
by which the individual embraces the whole religious field,
an religions, among the Australian Aborigines, in Hinduism,
including both gods and goddesses who constitute not sepa-
and in various parts of Africa and Polynesia.
rate but complementary parts of a unified whole.
One of the most interesting rites associated with god-
Violence and anger. The ambivalence associated with
dess worship is the widespread but not universal practice of
certain types of goddess worship is characteristic of another
blood sacrifice, which is found in some form or other in most
major theme in this survey. Because female divinities can
religious traditions. While sacrifice is not confined to the
take away life, they sometimes display a vengeful, angry, and
veneration of female deities, it is represented widely in god-
terrifying aspect. Such goddesses are identified with dark oc-
dess worship traditions. The sacrifice of blood, whether of
cult powers, sacrifice, and death. Usually the darker aspects
human or animal origin, has been linked to goddess worship
of goddesses are consonant with nurturing qualities. The Ba-
from ancient times. Sacrifice is widely celebrated in that
linese Hindu goddess Rangda, the witch, is an exception to
brand of goddess worship where female deities are portrayed
this rule. She is linked to the terrible and fearful powers of
as angry, vengeful, or punishing. Ka¯l¯ı and Durga¯ in the
divine origin. Rangda, whose name means “widow,” is asso-
Hindu pantheon are deities of this kind. In contemporary
ciated with her husband’s death. She is constantly doing bat-
India large numbers of goats, buffalo, chickens, and other
tle with her archenemy Barong the dragon. Elaborate ritual
animals are offered to these deities to satisfy their thirst for
battles between Rangda and Barong are acted out in the fa-
blood and to display community allegiance. Even human
mous trance dances that have attracted so many tourists to
sacrifice is reported to have been practiced as an expression
Bali.
of goddess worship. It is not difficult to understand why
blood sacrifices should be associated with goddesses.
Rangda is associated with evil and death, unlike her
Through sacrifice human beings create bonds between them-
Hindu counterpart, Ka¯l¯ı, who has a more nurturant side.
selves and deities. Because people turn to goddesses to fulfill
Ka¯l¯ı grants boons to those who respect her, but she is easily
their needs, it is logical for sacrificial offerings to be made
angered and must not be crossed. Her major role is to battle
as expressions of thanksgiving. Despite the fact that blood
demons, whose skulls she wears in a garland around her neck.
sacrifice has been outlawed in many parts of the world, this
Like Rangda, Ka¯l¯ı is linked to death by her association with
custom continues to thrive, often underground. Sometimes
widowhood and graveyards. In a brilliant essay on the god-
various types of sacrificial substitutions are made in place of
dess Ka¯l¯ı, C. Mackenzie Brown (in Olson, 1983,
blood offerings, like the sacrifice of cucumbers, pumpkins,
pp. 110–123) notes that her bloody intoxication with rage
or money.
and violence is not an indication that she is evil. Ka¯l¯ı is
“mother of us all”—she gives birth, dazzles with her splen-
The many patterns of goddess worship evident through-
dor, and consumes in the game of life. Both beneficient and
out the world extend deep into antiquity and continue to
terrible qualities are combined in the image of Ka¯l¯ı. Just as
thrive in many of the world’s religions even today. Goddesses
Hindu disease goddesses become angry and cause epidemics
played a prominent role in prehistoric cultures, throughout
because people have neglected to worship them, Ka¯l¯ı rises
the development of agriculture, and in the emergence of
up from time to time, bringing about a reign of chaos in the
urban life associated with the great traditional civilizations.
realm of human order. Thus, she evokes enormous fear and
They continue to be a fertile source of religious experience
ambivalence among devotees. Such violent expressions of
within the contemporary world. Goddesses are multivalent
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GODDESS WORSHIP: AN OVERVIEW
3591
sacred images best understood within their separate historical
Olson, Carl, ed. The Book of the Goddess, Past and Present: An In-
and cultural contexts.
troduction to Her Religion. New York, 1983. This is one of
the most recent volumes dedicated to the study of female dei-
SEE ALSO Agriculture; Feminine Sacrality; Lady of the Ani-
ties. The contributions to this book represent a wide variety
mals; Neolithic Religion; Paleolithic Religions; Prehistoric
of studies of goddess worship written by historians of religion
Religions; Shekhinah; Virgin Goddess.
and feminists. The articles are uneven in quality; there is no
overall synthesis or index.
BIBLIOGRAPHY
Patai, Raphael. The Hebrew Goddess. New York, 1967. This bril-
Bhardwaj, Surinder Mohan. Hindu Places of Pilgrimage in India.
liant essay on goddess worship in Judaism written by an an-
Berkeley, Calif., 1973. This excellent survey of pilgrimage
thropologist represents a major contribution to comparative
cycles in North India conducted by a cultural geographer of-
religions. Its bold thesis, challenging the purity of Jewish mo-
fers many insights into the contrast between pilgrimages to
notheism, remains both controversial and stimulating. An
the shrines of male and female deities.
important source that deserves special attention.
Campbell, Joseph. The Masks of God, vol. 1, Primitive Mythology.
Preston, James J. “Goddess Temples in Orissa: An Anthropologi-
New York, 1959. This work explores the early Upper Paleo-
cal Survey.” In Religion in Modern India, edited by Giri Raj
lithic and Neolithic roots of goddess worship. It represents
Gupta, pp. 229–247. New Delhi, 1983. An anthropological
a Jungian orientation suggesting a universal Great Goddess.
study of the network of goddess temples in Orissa, eastern
Somewhat dated but useful as a secondary source if read criti-
India. Particularly valuable as an illustration of how goddess
cally.
worship reflects religious, political, and social dimensions of
Campbell, Joseph. The Masks of God, vol. 2, Oriental Mythology.
human community.
New York, 1962. This work refers frequently to goddess
Preston, James J. Cult of the Goddess: Social and Religious Change
worship in Eastern religious traditions. Much generalization
in a Hindu Temple. New Delhi, 1980. A rare ethnographical
here, but still useful.
work on a Hindu goddess temple located in eastern India.
Gimbutas, Marija. The Goddesses and Gods of Old Europe, 7000–
Particularly valuable as a resource for the role of goddesses
3500 B.C.: Myths, Legends, and Cult Images. London, 1982.
in the process of cultural change.
An extensive discussion of the art and symbolism of Old Eu-
Preston, James J., ed. Mother Worship: Theme and Variations.
rope for the Neolithic period.
Chapel Hill, N.C., 1982. This volume is the most compre-
James, E. O. The Cult of the Mother Goddess. New York, 1959. A
hensive and up-to-date collection of data about goddess wor-
thorough discussion of goddess worship derived from archae-
ship in the field of anthropology. Particularly useful as a
ological and documentary evidence for the Middle East, the
source of primary data from firsthand fieldwork on the phe-
eastern Mediterranean, and India. An excellent source, al-
nomenon with a comprehensive introduction and conclu-
though some of the interpretation is dated.
sion discussing countemporary issues in the study of female
Leach, Edmund. Virgin Birth. Cambridge, U.K., 1966. The
sacred images.
Henry Myers Lecture.
Sangren, P. Steven. “Female Gender in Chinese Religious Sym-
Marshack, Alexander. The Roots of Civilization. New York, 1972.
bols: Guan Yin, Ma Zu, and the ‘Eternal Mother.’” Signs:
An outstanding analysis of Upper Paleolithic data on goddess
Journal of Women in Culture and Society 9 (1983): 4–25. An
worship, suggesting that the phenomenon is part of a com-
excellent anthropological treatment of Chinese goddesses.
plex notational system rather than merely an indication of
Particularly valuable here is the author’s discussion of how
fertility symbolism. While Marshack’s thesis may be contro-
female deities differ from their earthly counterparts.
versial, the volume is a rich source of information and re-
Turner, Victor, and Edith Turner. Image and Pilgrimage in Chris-
mains a major scholarly contribution.
tian Culture. New York, 1978. An excellent treatment of var-
Mellaart, James. Earliest Civilizations of the Near East. London,
ious Marian shrines within the context of pilgrimage. One
1965. A discussion of archaeological research on the Near
of the few anthropological studies of Christianity.
East with particular emphasis on the emergence of Neolithic
Wolkstein, Diane, and Samuel Noah Kramer. Inanna: Queen of
cultures. Mother goddesses are discussed throughout the vol-
Heaven and Earth. New York, 1983. this is the most up-to-
ume, particularly at the famous site of Çatal Hüyük.
date discussion of the ancient Sumerian goddess Inanna. The
Mellaart, James. Çatal Hüyük: A Neolithic Town in Anatolia. New
body of the volume comprises Sumerian texts together with
York, 1967. This is the field report of an archaeologist who
excellent commentaries by several authors on various aspects
excavated a major Neolithic town in 1961–1963. The data
of Sumerian culture history.
presented here constitute an important contribution to our
New Sources
understanding of goddess worship in the Neolithic period.
Benard, Elisabeth, and Beverly Moon, eds. Goddesses Who Rule.
At the level of interpretation, the author tends to oversimpli-
New York, 2000.
fy, attributing much of the evidence for goddess worship to
a fertility cult.
Billington, Sandra, and Miranda Green, eds. The Concept of the
Goddess. New York, 1996.
Obeyesekere, Gananath. The Cult of the Goddess Pattini. Chicago,
1984. In this classic study of the goddess cult in Sri Lanka,
Campbell, Joseph, and Charles Musès, eds. In All Her Names: Ex-
the author has brought to bear a number of disciplines—
plorations of the Feminine in Divinity. San Francisco, 1991.
anthropology, psychoanalysis, and ethnohistory—to reveal
Erndl, Kathleen M. Victory to the Mother: The Hindu Goddess of
the complex, multifaceted manifestation of goddess worship
Northwest India in Myth, Ritual, and Symbol. New York,
in Sinhalese religion.
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
3592
GODDESS WORSHIP: GODDESS WORSHIP IN THE ANCIENT NEAR EAST
Frymer-Kensky, Tikva Somone. In the Wake of the Goddesses:
be compiled from personal and place names, god lists and
Women, Culture, and the Biblical Transformation of Pagan
offering lists, seal inscriptions and votive dedications, mytho-
Myth. New York, 1992.
logical literary compositions and liturgical hymns, petition-
Hawley, John S., and Donna M. Wulff, eds. Devi: Goddesses of
ary prayers and exorcistic incantations.
India. Berkeley, 1966.
The literary and visual evidence are neither complemen-
Hiltebeitel, Alf, and Kathleen M. Erndl, eds. Is the Goddess a Femi-
tary nor comparable. Unfortunately, the texts have no pic-
nist? The Politics of South Asian Goddesses. New York, 2000.
tures and the pictures rarely bear texts. In Mesopotamia, im-
Hurtado, Larry W. Goddesses in Religions and Modern Debate. At-
ages of goddesses were clearly differentiated from mortal
lanta, 1990.
women by their divine horned headdresses. In other cultures,
Husain, Shahrukh. The Goddess: Power, Sexuality, and the Femi-
non-human features such as wings and animal attributes are
nine Divine. Ann Arbor, 2003.
indicators of divinity.
Kinsley, David R. The Goddesses’ Mirror: Visions of the Divine from
The most problematic artifactual material are figurines
East and West. Albany, 1989.
of nude women known from the Neolithic through all later
Kinsley, David R. Tantric Visions of the Divine Feminine: The Ten
periods and in all areas of the Near East, from Egypt to Iran.
Mahvidyas. Berkeley, 1997.
In prehistory, there are no written records to explain these
Pintchman, Tracy. The Rise of the Goddess in the Hindu Tradition.
mute figurines, but they are commonly assumed to be images
Albany, 1994.
of the goddess and/or images for fertility magic. Their exag-
Pintchman, Tracy, ed. Seeking Mahadevi: Constructing the Identi-
gerated hips and breasts could also be understood as stylized
ties of the Hindu Great Goddess. Albany, 2001.
conventions for rendering ideal feminine beauty. No evi-
dence exists to identify the typical figurine with any major
JAMES J. PRESTON (1987)
goddess. On the rare occasions that goddesses were depicted
Revised Bibliography
naked, they can be distinguished by context, stance, or at-
tribute.
The meaning of figurines is not something enshrined in
GODDESS WORSHIP: GODDESS WORSHIP IN
them but something that people confer on them, changing
THE ANCIENT NEAR EAST
with time and context. Figurines can be considered both as
The diversity of female divinities within ancient Near East-
“images of” human form and as “images for” important
ern societies makes it impossible to arrange them into neat
human concerns. Written records and anthropological evi-
categories, and any attempt to do so would inevitably involve
dence suggest numerous possible functions and meanings for
a great deal of simplification. There are two main reasons for
these miniature human representations. Magical ritual texts
this: the complexity of the religious systems, and the long pe-
specify how the figurines of a sick person are to be used dur-
riod over which they developed.
ing healing rituals. In Tanzania, adolescent boys are shown
One could and should ask, with some legitimacy, why
figurines of pregnant women during rites of initiation into
female deities are singled out for separate analysis. The an-
adulthood. Had such images been found out of context, this
swer to this lies, to a large degree, in the history of the discus-
type of figurine could easily have been identified as a “god-
sions on goddesses. The topic has sometimes been covered
dess” rather than as a symbolic device that plays a role in the
with academic rigor, sometimes with highly charged ideolog-
formation of male identity.
ical arguments. In the cultures investigated in this article,
There is an immense range of possible uses for figurines.
goddesses were inseparably integrated into a complex divine
They may have been cult figures, focal points of veneration
world. No single fundamental pattern universally repeats it-
in a private household shrine or public chapel. Conversely,
self even in the cultures of the ancient Near East. The gen-
figurines found in temples may well have been votive offer-
ders of the deities are culturally determined. For example, the
ings given by worshippers to the deity, expressing their do-
sun was gendered male in Mesopotamia, while it was gen-
nors’ fervent piety, heartfelt thankfulness, or heartfelt en-
dered female in the Levant and Anatolia. The “fickle” moon,
treaty. Figurines discovered in temple depositories may have
universally assumed to be female, was gendered male
been images created as part of a temple ritual.
throughout the ancient Near East. In Egypt the sky goddess
belies the “Earth Goddess” stereotype. Thus, the goal of this
Outside the temple, figurines were used in magic rituals
article will be to identify the range of goddesses in particular
to prevent or produce certain situations or states, such as en-
societies and to comprehend their symbolic significance,
suring fertility or good luck, warding off evil, curing illness,
rather than to delineate a rigid code that holds for all con-
or causing harm to others. In these situations, the figurines
texts. Unfortunately, the limited space allows only an intro-
might serve as talismans, amulets, fetishes, or therapeutic ob-
duction to the subject.
jects. These varied functions are known from many texts re-
cording charms, incantations, and descriptive rituals.
THE NATURE OF THE EVIDENCE. Reconstructions of ancient
Near Eastern theologies are based on texts and artifacts, un-
On a more personal level, figurines might be markers
evenly distributed in time and space. Data on goddesses can
of special times such as birthing or rebirthing, or periods of
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GODDESS WORSHIP: GODDESS WORSHIP IN THE ANCIENT NEAR EAST
3593
transition or of other time-based processes such as female
varied places of discovery precludes any single explanation
menstrual cycles. Figurines were employed as educational
of their purpose. Some seem to be site-specific, reflecting
aids and teaching figures, used in initiation or puberty rites
local religious customs, such as the alabaster statuettes from
to illustrate sexual topics for adolescents of both sexes. Di-
Tell es-Sawwan.
minutive anthropomorphic images were also undoubtedly
One particular site (and its interpretation) has provided
put to use as toys, in particular as dolls. They could also be
the basis for the belief in the worship of a universal monolith-
adapted to illustrate songs, epics, or myths.
ic “Mother Goddess”—the site of Early Neolithic Çatal
Figurines may have been placed in graves as part of buri-
Hüyük in south-central Anatolia, where certain female figu-
al rites to counteract the harmful effects of the ghost of the
rines are portrayed with large stomachs and pendulous
dead, as substitutes for the dead person’s body in the next
breasts similar to the European prehistoric examples. In
world, as images of a protective deity who guided the de-
1993, excavations began again at the site, now seen not as
ceased to the underworld, or perhaps as favorite possessions
distinctive but within the context of a range of settlements
to be enjoyed by the dead in the afterlife.
from Early Neolithic Çayönü in southeastern Anatolia to
Late Neolithic Hacilar in western central Anatolia.
The functions listed above cover only part of the spec-
trum of possibilities, and a single figurine may have served
GODDESSES OF MESOPOTAMIA. For over three millennia, the
more than one of these functions. Given the range of types,
religious life of Mesopotamia was presided over by thousands
sizes, and potential uses of figurines, it is clear that no single
of deities worshipped by a mixed population of Sumerians,
explanation could ever account for them all.
Akkadians, Amorites, Kassites, and Arameans. A continual
process of reinterpretation and syncretism, mutation and fos-
PREHISTORIC EVIDENCE OF FEMALE DIVINITIES (10,000–
silization, fusion and fission generated a Mesopotamian reli-
4000 BCE). Female figurines with large stomachs and pendu-
gion that was a complex, multilayered accumulation.
lous breasts from the European Upper Paleolithic and Neo-
lithic periods (c. 40,000 to 5,000 years ago) are claimed to
It has often been remarked that female deities dominat-
provide evidence of a homogeneous European prehistoric re-
ed early Mesopotamian religion. Major cities dedicated to
ligion centered on the “Great Goddess,” whose image is re-
goddesses were: Uruk and Zabalam, dedicated to Inanna
flected in these figurines. Many scholars have interpreted
(goddess of love, war, and sexuality), Eresh, dedicated to Ni-
these figurines as depicting pregnant and/or breast-feeding
daba (goddess of grain and writing), Shuruppak, dedicated
women, and thus signifying fertility. This speculative inter-
to Sud (daughter of Nidaba, perhaps related to water and pu-
pretation was subsequently applied to the ancient Near East,
rification), Kesh and Nutur, dedicated to Ninhursaga (god-
where the first stone figures known were found in the Jordan
dess of birthing), and Lagash, dedicated to Gatumdug
Valley, on the shores of the Dead Sea, and around Mount
(Mother of Lagash). However, other cities of equal rank had
Carmel (c. 10,000 BCE). In the ensuing period, crude female
male tutelary deities.
figurines of clay and stone appear at Mureybet, on the upper
In the second millennium, previously important cities
Euphrates (8000–7600 BCE). Anthropomorphic and zoo-
in the lower stretches of southern Mesopotamia were aban-
morphic examples occur in central Anatolia (8000–7000
doned for political, demographic, and perhaps ecological rea-
BCE) and in the Valley of the Yarmuk River (late 7000–early
sons. As the earlier cult centers began to lose their priority,
6000 BCE). Yarmukian anthropomorphic representations in-
the religious center of Nippur gained by their loss. In Nip-
clude those made of clay and of river pebbles, both detailed
pur, Ninlil assumed the prerogatives of many of the other
and schematic, some with cowry-like eyes and massive thighs
goddesses. This process was mythologized: Sud of Shurup-
but minimal breasts. On the Tigris in Mesopotamia, 6000
pak was equated with Ninlil of Nippur through marriage
BCE graves (especially those of infants) have yielded female
with the god Enlil. When Sud became the bride of Enlil, she
alabaster statuettes while ordinary settlement debris con-
was renamed Ninlil. Once she was identified with Ninlil, she
tained clay figurines, both human and animal. The alabaster
disappeared for all practical purposes from the Mesopota-
statuettes are carved schematically with no accentuation of
mian religious scene. Thus, the decline in the number of
any female anatomical sexual parts. Disparate clay figurines
goddesses as city patrons between the third and second mil-
are found at 6000 BCE sites in Mesopotamia and on some-
lennia has been explained as due to the decline of the cities
what earlier Zagros sites such as Jarmo. Farther east, from
of lower Mesopotamia. Similarly, the rise of northern cities
the Bakhtaran region in Iran, female figurines with tall necks,
brought their gods into prominence, such as Babylon and its
no facial features, and bulging breasts and thighs were uncov-
god Marduk.
ered in the excavations of Ganj Dareh and Tepe Sarab. Hala-
fian sites in northern Syria and northern Mesopotamia (5000
Other elements of nature, such as the earth, played a
BCE) produced a variety of figurines, of which the most fa-
minor role in ancient Near East mythology. The primal fe-
mous are the painted terra-cottas of seated women with
male elemental at the beginning of time was water—the min-
pinched heads, long necks, arms encircling large breasts, and
gling of the waters was considered the source of life. The god-
fat, bent legs lacking feet. The significance of these figurines
dess of subterranean waters, Namma, was the engenderess of
is difficult to explain because their remarkable diversity and
all—the heaven, the earth, and the gods.
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GODDESS WORSHIP: GODDESS WORSHIP IN THE ANCIENT NEAR EAST
The “mother goddesses” in Mesopotamia were birthing
Despite her masculine gender roles, she was conceived
mother figures. The emblem of the “mother goddess” was
as the epitome of femininity. She was the youthful goddess
the omega-shaped uterus rather than a child in her arms. The
of love, and literary compositions relate the romance of Inan-
interchange of Ninhursaga (Lady of the Foothills), Nintur
na and Dumuzi. Paradoxically, some compositions extol her
(Lady Birth-hut), Ninmah (Great Lady), and other “mother-
as a timid virgin while others exalt her as a licentious harlot.
goddess” figures becomes increasingly common as time
In love poetry, she manifests her eroticism and celebrates
passes.
sensuality.
The expected functions of “mother goddesses” regard-
In the late fourth millennium, there existed a pan-
ing other aspects of human and animal life were in the hands
Mesopotamian league centered on Uruk and its deity Inan-
of diverse goddesses and gods. The fish and water-fowl god-
na. The importation of Inanna into every community, and
dess Nanshe was better known for her association with divi-
her absorption of local female divinities of various character,
nation, dreams, and oracles. She was also an administrator,
resulted in one mega-female divinity. In addition to this pro-
responsible for checking weights and measures, protecting
cess of syncretism, her character became more ambiguous as
the weak, meting out justice, and punishing immoral acts.
the result of further fusion and fission. Inanna and her Se-
While Ninurta (the god of agriculture) was responsible for
mitic counterpart Ishtar had partly merged by the mid-third
the fertility of the land, grain goddesses (of which Nidaba
millennium. Simultaneously with this fusion, different god-
was the most prominent) were accountable for the growth
desses split off from this amalgam. At the end of the third
of the grain. She was also in charge of the scribal arts, includ-
millennium, the goddess Nanaya appeared in Uruk as the
ing accounting and surveying.
goddess of love. Inanna shared her aspect as Venus with Nin-
sianna, the “red lady of heaven,” who executed divine judge-
Goddesses occupied the same sex roles in the divine
ments.
family as in the human family: mothers, wives, brides, sisters,
and daughters. Pronounced complementarity existed be-
The Canonical Temple List assigns the largest number
tween the divine genders, especially in a brother-sister rela-
of temples to various manifestations of Ishtar. These god-
tionship. The archetypical sister was Geshtinanna (Grape-
desses were understood as both one goddess and as many.
vine of Heaven), a paragon of sisterly devotion. She
They were hypostases of a single divine archetype, a situation
sheltered, mourned, and substituted for her brother Dumuzi
similar to the proliferation of the various Zeus figures of clas-
in the netherworld. She played a prominent role as a singer
sical antiquity or the local manifestations of the Virgin in
of dirges and was associated with singing and music in gener-
Catholic belief.
al, and she became the recorder of the gods, particularly of
The second millennium brought changes in the theo-
the netherworld in the second and first millennia.
logical system. Gradual reduction of the roles played by fe-
Goddesses were also responsible for clothing manufac-
male divinities, as well as domination by divine male spouses,
ture, beer brewing, the education of children, and doctoring
curtailed their power of independent action. They therefore
the sick. Healing was always in the hands of the goddesses
assumed an increasingly mediatory function between the
of medicine throughout the millennia, while pestilence and
human world and the masculinized divine world. Most of
destruction were in the hands of the gods.
the goddesses popular in the third millennium continued to
be worshipped but commonly under the names of their Ak-
Inanna (in Sumerian, Ishtar in Akkadian) was the most
kadian counterparts.
revered and popular goddess of ancient Mesopotamia, and
she has consequently served as a focus for persons seeking to
With the rise of Babylon and its god Marduk to su-
revive “goddess” worship. Inanna first appears in the late
preme dominion of the divine and human worlds, Sumerian
fourth millennium as the patron deity of the city of Uruk,
and Akkadian divinities, both male and female, were relegat-
where she represented the numen of the central storehouse.
ed to lower positions in the hierarchy.
GODDESSES OF IRAN. Iran’s vast terrain is divided into areas
Even at this period, Inanna appears in various manifes-
of relatively isolated local cultures. The best known is Elam,
tations, each of which has a separate temple and cult. Two
in southwestern Iran. Yet, it is difficult to say anything cer-
of her manifestations, “Morning” and “Evening,” describe
tain about Elamite deities since little is known about Elamite
the goddess as the planet Venus, in the morning and in the
mythology and the only sources of information are royal in-
evening sky. In later texts, as Morning Star, Venus was fe-
scriptions.
male; as Evening Star, male. The two aspects corresponded
to the double character of Inanna/Ishtar as goddess of love
The major goddesses were: Pinengir, Kiririsha,
and war. She was viewed as a beautiful goddess of love who
Narunde, and Manzat. In a treaty from the third millennium
ruled the day and as a bearded goddess of war who ruled the
invoking the gods of Elam, the goddess Pinengir appears in
night. Even in her male role, she never becomes fully male,
first place as the highest deity of the Elamite pantheon. De-
but seems to be a female with male gender characteristics,
spite assumptions concerning her being a mother goddess,
thus providing a powerful symbol of the ambiguities of pure
nothing is known about her character until the Middle
sexuality.
Elamite period (latter part of the second millennium) when
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GODDESS WORSHIP: GODDESS WORSHIP IN THE ANCIENT NEAR EAST
3595
not only a temple but also an “inn” was dedicated to her. The
warlike goddess, the protective deity of the land. In addition
latter suggests that Pinengir was responsible for love and sex
to being a goddess of the wild animals, she was said to have
life. During the second millennium on the coast of the Per-
power over fields and floods.
sian Gulf, another goddess, Kiririsha (Great Lady), occurs.
At the head of the Hittite pantheon were the storm-god
Apparently, from Middle Elamite times, two separate deities
and the sun-goddess of Arinna, identified with Hattic
existed, both designated “mistress of the sky,” “mother of the
Wurunshemu. A mother goddess, Hannahanna (Grand-
gods,” and “great consort.” Kiririsha seems also to have been
mother), was a wise old woman, skilled in healing and child-
responsible for combat and battle, judging by her votive of-
birth, whose advice was regularly sought by other gods in the
ferings of battle axes.
old Hittite vanishing god myths. Two important groups of
Narunde, the sister of the seven good demons, is found
goddesses were the Gulsh(esh) goddesses of fate and the
only in the third millennium. She was a goddess of victory,
mother goddesses. Kamrushepa, the Luwian goddess of heal-
who fought against the seven evil demons. Manzat (Rain-
ing, was responsible for the curing of earthly and heavenly
bow) was the wife of Simut, god of Elam, and her function
diseases and illnesses.
may have been to protect women as votive offerings of female
Deities of Hurrian origin were mostly worshipped in
figurines were found in her temple.
Kizzuwatna (southern Anatolia) during the Hittite Empire
period. In the sanctuary at Yazilikaya, a procession of the
In the latter part of the second millennium, Medes and
chief divinities of the Hurrianized Hittite pantheon was
Persians migrated from the Asian steppes onto the Iranian
carved on its walls: one procession of gods on the western
plateau. Among the Iranian deities, one goddess alone is
wall and another procession of goddesses on the eastern, with
prominent: Ardvi Sura Anahita. She was the goddess of all
the principal deities meeting in the center. This monument
the waters upon the earth and the source of the cosmic ocean.
provides an affirmation of the symmetry and equal impor-
She was regarded as the source of life, purifying the seed of
tance of the gods and goddesses. Leading the goddesses was
all males and the wombs of all females. Because of her con-
Hepat, the spouse of the storm-god Teshup, with their son,
nection with life, warriors in battle prayed to her for survival
Sharruma, and daughter, Allanzu. From her images together
and victory.
with her son, she is thought to be a mother goddess and gen-
GODDESSES OF ANATOLIA. In Anatolia, peoples of different
erally bears the title “the Lady, Queen of Heaven.” Shaushka,
languages and cultures coexisted producing a heterogeneous
the bellicose and beautiful sister of the storm-god Teshup,
polytheistic system—an amalgam of Hattic, Hittite, Luwian,
appears twice, among both the gods and the goddesses. It is
and Hurrian traditions with Syrian and Mesopotamian in-
assumed that she had a bisexual nature, with both male and
fluences. It is difficult to determine the original character of
female characteristics and attributes.
the gods of the Hattic people, who preceded the Hittites on
GODDESSES OF THE LEVANT. Deities from a variety of back-
the central Anatolian plain, since knowledge of these gods
grounds were venerated in the Levant: Syrian, West Semitic
has been transmitted through Hittite traditions. The Hittites
(Amorite, Canaanite), Hurrian, Akkadian, and Sumerian. In
were an Indo-European people who have left numerous texts
the second half of the second millennium, mythological and
dealing with religious practice and theology. Another Indo-
ritual compositions found at the site of Ugarit (modern Ras
European group, the Luwians, resided in southwestern Ana-
Shamra) on the Levantine coast provide a window into Ca-
tolia. The Hurrians were speakers of a Caucasoid language
naanite theology. The principal Ugaritic goddesses were:
whose influence expanded throughout Syria and Anatolia in
Athirat (Ashratu, Asherah), Anat, and Athtart (Ashtart[e]).
the mid-second millennium.
The goddess Athirat appears for the first time as Ashrata
As the Hittite kingdom expanded, the cults of the vari-
in Amorite personal names in Mesopotamia during the first
ous peoples of Anatolia, all of whom had their own religious
half of the second millennium BCE and sporadically in later
traditions and local gods, were incorporated into the Hittite
Mesopotamian sources. In the latter half of the millennium,
system. Interference between these theological systems re-
this goddess occurs in texts from Ugarit, Akhetaten (modern
sulted at times in gender change: the male Hattic/Hittite
Amarna) in middle Egypt, and Taanach in northern Israel
ruler of the underworld Lelwani became female under Hurri-
while in the first millennium her worship was limited to sites
an influence and was identified with the Hurrian goddess of
in southern Judah, Philistia, and northern Sinai, and to writ-
the underworld, Allani. The Hattic goddess Kait, the deity
ten references from the Bible. Nevertheless, she was invoked
of vegetation, became the Hittite god Halki (Grain).
in one Phoenician magical plaque found in the Aramean city
of Hadatu (modern Arslan Tash).
Important goddesses of the Hattic pantheon were the
two sun-goddesses, the sun-goddess of the sky, Wurunshe-
In Ugarit, this goddess appears as Datrt (or Athirat). In
¯
mu, the consort of storm-god, and the sun-goddess of the
the mythological texts, she was the wife to the god El and
earth (or the netherworld). The name of the sun-goddess of
mother to his seventy sons. She held the title “progenitress
the earth in both Hattic and Hittite is unknown while in late
of the gods” and was associated with the fecund sea.
Hittite texts she was referred to by the Hurrian designation
In the Bible, Asherah occurs most frequently as a cultic
Allani. Next in importance was Inar (Hittite: Inara), a young
symbol of the divinity (wooden pole or tree), as in Deuteron-
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3596
GODDESS WORSHIP: GODDESS WORSHIP IN THE ANCIENT NEAR EAST
omy 16:21, and occasionally as the goddess herself. She was
Canaan and associates her with fertility and love rather than
often associated with Baal, as in 1 Kings 18:19, when Elijah
warfare.
rails against four hundred and fifty prophets of Baal and four
From this review, it can be seen clearly that none of
hundred prophets of Asherah.
these major goddesses were “fertility” goddesses and that
Evidence of the importance of Asherah in the popular
there were no “fertility” cults in ancient Canaan. The deities
religion of the region of southern Judah is found in the con-
responsible for fertility were male. Baal was responsible for
troversial inscriptions on the pithoi vessels at Kuntillet
the fertility of the land and El for the fertility of human
Ajrud. One inscription reads: “I bless you by YHWH of Sa-
beings.
maria and his asherah.”
GODDESSES OF EGYPT. As in the other regions of the ancient
The two deities Anat (Ent) and Ashtart (Eˇstrt, Greek
Near East, the goddesses of Egypt can be described as local
form: Astarte) share similar characteristics. Both were beauti-
deities, although several local deities were worshipped
ful maidens and doughty warriors, and both were depicted
throughout Egypt, from the beginning of the historical peri-
as smiting goddesses, brandishing weapons above their heads
od onward.
and holding a shield and spear. After their first appearance
According to the Heliopolitan cosmogony, the creator
in Syria, the worship of these two goddesses spread through-
god Atum (He who makes/is complete), appears spontane-
out Egypt and the Levant. Both goddesses were venerated in
ously in the waters of the god Nun. He engendered from
Egypt: at Deir el-Medineh, the craftsmen’s village in Upper
himself the next generation of deities: the male Shu, the pre-
Egypt, the workers set up reliefs in their honor, while an Ash-
serving force of dry air, and the female Tefnut, the corrosive
tart sanctuary was discovered at Pi-Ramesses, the northern
force of moisture. Atum was said to have produced the pair
capital in Lower Egypt. Both Anat and Ashtart survive in for-
by masturbation, by his personified feminine hand, or by a
mal lists of Egyptian gods well into Roman times. In the first
female complement, Iusaas (“She comes and grows great”).
millennium BCE, Ashtart was the chief deity of the Phoeni-
Shu and Tefnut bore the earth god Geb and the sky goddess
cian city of Tyre (in modern Lebanon) and took precedence
Nut. Geb and Nut produced two more pairs of gods and
over Anat, although the latter continued to appear sporadi-
goddesses: the gods Osiris and Seth and their respective wives
cally in dedications from as far afield as Lower Egypt. Both
and sisters Isis and Nephthys. One myth tells of the conflict
goddesses were invoked in the treaty made by the Assyrian
between the two brothers Osiris and Seth. It describes how
king Esarhaddon with the king of Tyre.
Seth, envious of his brother Osiris, drowned him and cut his
Although these two goddesses were similar in character,
body into pieces. However, Isis and Nephthys managed to
they had different origins. The name Anat goes back to
collect the parts of Osiris’ dismembered body. With her ex-
Hanat, the theos eponymous of the Amorite Hanean tribes-
traordinary magical powers, Isis then revived her husband-
men in Syria, in the early second millennium. The cult of
brother, was impregnated by him, and later gave birth to
Anat was first attested in Egypt in the late Middle Kingdom
Horus.
(eighteenth century BCE). As the daughter of the sun-god Re
The three goddesses Nut, Isis, and Nephthys were wor-
and the wife of the war-god Seth, Anat acted as a mediator
shipped as the most important goddesses of Egypt. The sky-
between the two. In late second-millennium Ugaritic myths,
goddess Nut was the regenerative mother, the mother of the
she was the sister of the storm god Baal, and again a mediator
deceased king (and thus a mortuary goddess). She was also
between him and the great god El. She was the mistress of
the mother of the solar deity Re who traveled by boat
animals, both protectress and huntress, as well as midwife at
through the night sky within the body of the goddess. At
both animal and human births. She was pictured as a young
dawn the god was reborn from between the thighs of the
maiden without children, swift as a bird and fierce as a lion-
goddess in the East.
ess. Her proficiency in battle was legendary. The Baal myth
tells of her bellicose attacks on men and divinities, as well
Isis was the primary symbol of the devoted mother and
as her help in placatory mediation for the building of Baal’s
wife; she was referred to as “the Savior” and “Great of
palace. Anat searches for Baal in the realm of Mot (Death),
Magic,” and she was entreated for protection, particularly on
and with the help of the sun-goddess Shapsu she finds and
behalf of women and children. Representations of Isis suck-
buries him and finally revives him by vanquishing Mot.
ling the infant Horus in her arms illustrate her role as the
protective goddess-mother.
Ashtart epitomized the fury of battle and probably had
astral associations with the planet Venus. In Emar (on the
Although Nephthys (Mistress of the House) was the
bend of the Euphrates River), one of her manifestations was
wife-sister of the god Seth, her loyalty to Osiris, her hus-
Ashtart-of-Battle. In Egypt, she was addressed as “Lady of
band’s opponent, earned her a similar position in the funer-
the Battle, goddess of the Asians.” In the Phoenician cities
ary cult to that of her sister Isis. Like Isis, she was regarded
of Tyre and Sidon during the first millennium, she was the
as the savior and protector of Osiris, and consequently of
leading goddess. In the Bible, Ashtart appears both in singu-
every dead person. Nephthys also played the role of wet
lar and plural forms: Eashtoret and Eashtorot. The Bible cites
nurse, despite not being able to give birth to children of her
her worship as widespread among the original inhabitants of
own.
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GODDESS WORSHIP: GODDESS WORSHIP IN THE ANCIENT NEAR EAST
3597
Two other notable goddesses were Neith and Hathor.
Religion 5 (1989): 65–76. As essay analyzing the influence of
The history of Neith begins with the earliest history of
nineteenth and twentieth traditional scholarship on the view
Egypt, when she had a close, protective relationship with the
of Canaanite goddesses as “fertility goddesses” and the con-
king and queens. Her emblems, the double bow and crossed
struct “fertility religion” as a euphemism for ritual sexual
arrows, indicate her role as huntress. Once the most promi-
practice.
nent goddess, her cult faded until the Late Period of ancient
Sources on Prehistory
Egypt. In the Greco-Roman period she came to be portrayed
Cauvin, Jacques. Naissance des divinités, naissance de l’agriculture:
as a primordial creator deity.
La Révolution des symboles au Néolithique, Paris, 1994. Trans-
lated as The Birth of the Gods and the Origins of Agriculture
In the latter part of the Egyptian Old Kingdom, the
(Cambridge, U.K., and New York, 2001). The essence of
goddess Hathor of Dendera came to the fore. Her complex
Cauvin’s controversial theory is that a “symbolic revolution”
nature is reflected in her numerous and diverse roles, her dif-
occurred in the Near East at the time of the origin of plant
ferent forms, and her many cult centers. Hathor appeared as
domestication. In particular the female figurines show a god-
a woman, a cow, a falcon, “Lady of the Sycamore Tree,” a
dess, the universal mother, while the bull signifies a brute
fiery uraeus (the cobra), and a savage lioness. Her name,
force that is tamed and converted into the virile essence of
which means “House of Horus,” identifies her as the mother
the male.
of the king (who was identified with Horus), and is associat-
Meskell, Lynn. “Twin Peaks: The Archaeologies of Çatalhöyük.”
ed with her ancient role as the celestial cow and mother of
In Ancient Goddesses: Myths and Evidence, edited by Lucy
the sun. Hathor was also the beautiful and sensual goddess
Goodison and Christine Morris, pp. 46–62. London, 1998.
Review of James Mellaart’s initial publications of this site
of love, sexuality, joy, dance, and music.
from the 1960s and the subsequent use of his work by propo-
Taweret (the Great One) was one of the most popular
nents of the goddess movement to construct a gynocentric
deities, associated with pregnancy and childbirth. She was
culture with a religion centered on worship of the “Great
usually represented as a composite being, with the body and
Goddess” followed by a summary of the preliminary reports
head of a hippopotamus, the paws of a lion, and the tail of
from new excavations under the direction of Ian Hodder.
a crocodile, or a complete crocodile on her back. She was
Oates, Joan. “Religion and Ritual in Sixth-Millennium BC Meso-
shown standing on her hind legs; her swollen abdomen and
potamia.” World Archaeology 10 (1978): 117–124. An at-
pendulous breasts indicate her association with pregnancy
tempt to look at the archaeological evidence for religious rit-
and nursing. The goddess Maat represents the perfect, stable
uals, with particular attention to the place of the sites Tell
es-Sawwan and Choga Mami, within their cultural context.
order of existence which governs every aspect of the world
Ucko, Peter J. Anthropomorphic Figurines of Predynastic Egypt and
from the laws of nature to the rules of human social life.
Neolithic Crete. London, 1968. The seminal book on the in-
Clearly, there is no one gender role incorporated by
terpretation of prehistoric anthropomorphic figurines. Ucko
these goddesses, each of whom exhibit an amazing amount
points out the flimsiness of the identification of prehistoric
of individuality.
figurines as representations of the mother goddess and dis-
cusses other possible uses for them.
BIBLIOGRAPHY
Yakar, Jak. Prehistoric Anatolia: The Neolithic Transformation and
General Sources
the Early Chalcolithic Period. Tel Aviv, 1991. Valuable up-to-
Beckman, Gary. “Goddess Worship—Ancient and Modern.” In
date summary of sites in all areas of Turkey, against which
A Wise and Discerning Mind: Essays in Honor of Burke O.
the excavations at Çatal Höyük must now be viewed. See also
Long, edited by Saul M. Olyan and Robert C. Culley,
Supplement No. 1 (1994) by the same author.
pp. 11–23. Providence, R.I., 2000. An excellent review of
Mesopotamia
the evidence for the flourishing of a pre-modern Goddess
Abusch, Tzvi. “Ishtar.” NIN, Journal of Near Eastern Gender
cult, emphasizing material from the scholar’s own area of ex-
Studies 1 (2000): 23–27.
pertise, the religion of the Hittites.
Bahrani, Zainab. “The Iconography of the Nude in Mesopota-
“Can We Interpret Figurines?” Cambridge Archaeological Journal
mia.” Source XII (1993): 11–19. Essay on the function and
6 (1996): 281–307. A collection of essays on the subject of
significance of nudity in Mesopotamian Iconography.
figurine interpretation, stressing context and definition.
Bahrani, Zainab. “The Whore of Babylon.” NIN, Journal of Near
Frymer-Kensky, Tikva. In the Wake of the Goddesses. New York,
Eastern Gender Studies 1 (2000): 95–106.
1992. This feminist scholar reviews the representations of the
Black, Jeremy and Anthony Green. Gods, Demons, and Symbols of
varied goddesses in Mesopotamian polytheism and seeks to
Ancient Mesopotamia: An Illustrated Dictionary. London,
answer what happened to their functions under biblical mo-
1992. A very useful encyclopedic review of Mesopotamian
notheism.
religion, with succinct descriptions of gods, demons, rituals,
Goodison, Lucy, and Christine Morris, eds. Ancient Goddesses:
mythological themes, and iconographical elements.
Myths and Evidence. London, 1998. The goal of this antholo-
Finkel, Irving L., and Markham J. Geller, eds. Sumerian Gods and
gy is to compare archaeologists’ reconstructions of ancient re-
Their Representations. Groningen, Netherlands, 1997. A col-
ligion with the reconstruction proposed by proponents of the
lection of recent papers given at a symposium in the memory
modern “Goddess Movement.”
of Thorkild Jacobsen.
Hackett, Jo Ann. “Can a Sexist Model Liberate Us?: Ancient Near
Frymer-Kensky, Tikva. “Lolita-Inanna.” NIN, Journal of Near
Eastern ‘Fertility’; Goddesses.” Journal of Feminist Studies in
Eastern Gender Studies, 1 (2000): 91–94.
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GODDESS WORSHIP: GODDESS WORSHIP IN THE ANCIENT NEAR EAST
Lambert, Wilfred G. “The Historical Development of the Meso-
by Jack M. Sasson, vol. 3, pp. 1959–1969. New York, 1995.
potamian Pantheon: A Study in Sophisticated Polytheism.”
Up-to-date summary of the known material from Iran with
In Unity and Diversity, edited by Hans Goedicke and J. J. M.
bibliographic references.
Roberts, pp. 191–199. Baltimore, 1975. Discussion of the
Anatolia
Mesopotamian principle of one patron deity to one city, the
Archi, Alfonso. “How a Pantheon Forms: The Cases of Hattic-
processes of syncretism, assimilation, and the theological de-
Hittite Anatolia and Ebla of the Third Millennium BC.” In
velopment of the god lists.
Religionsgeschichtliche Beziehungen zwischen Kleinasien, Nord-
Lambert, Wilfred G. “Goddesses in the Pantheon: A Reflection
syrien, und dem Alten Testament, edited by Bernd Janowski,
of Women in Society?” In La femme dans le Proche-Orient an-
Klaus Koch, and Gernot Wilhelm, pp. 1–18. Freiburg, Swit-
tique, edited by Jean-Marie Durand, pp. 125–130. Paris,
zerland, 1993. The first half of the article reviews the earliest
1987. Offers hypothesis of the decline in the number of god-
evidence for the gods of Anatolia and their integration into
desses as city patrons due to the accident of city decline, but
the pantheon of the Hittite state.
replete with gender assumptions about goddesses.
Beckman, Gary. “Ishtar of Nineveh Reconsidered.” Journal of Cu-
Michalowski, Piotr, “’Round about Nidaba: On the Early God-
neiform Studies 50 (1998): 1–10. A discussion of the Hurrian
desses of Sumer,” In Sex and Gender in the Ancient Near East,
origin of Ishtar of Nineveh, Shaushka, and her worship in
edited by Simo Parpola and Robert M. Whiting,
the Hittite state.
pp. 413–422. Helsinki, 2002. Critical review of the idea that
female deities dominated early Mesopotamian religion and
Haas, Volkert. Geschichte der hethitischen Religion. Leiden, 1994.
a reinterpretation of their decline due to various factors, one
The definitive volume on Hittite religion.
of which was the absorption of one goddess by another.
Laroche, Emmanuel. Recherches sur les noms des dieux hittites. Paris,
Selz, Gebhard. “Five Divine Ladies: Thoughts on Inana(k), Istar,
1947. First comprehensive listing and categorization of the
In(n)in(a), Annunitum, and EAnat, and the Origin of the
pantheon of ancient Hattusha.
Title Queen of Heaven.” in NIN, Journal of Near Eastern
Laroche, Emmanuel. “Hattic Deities and their Epithets.” Journal
Gender Studies 1 (2000): 29–62.
of Cuneiform Studies 1 (1947): 187–216. Early attempt to
Szarzyn´ska, Krystyna. “Cult of the Goddess Inanna in Archaic
differentiate the Hattic deities.
Uruk.” in NIN, Journal of Near Eastern Gender Studies 1
McMahon, Gregory. “Theology, Priests, and Worship in Hittite
(2000): 63–74.
Anatolia.” In Civilizations of the Ancient Near East, edited by
Westenholz, Joan Goodnick. “Goddesses of the Ancient Near
Jack M. Sasson, vol. 3, pp. 1981–1995. New York, 1995. A
East.” In Ancient Goddesses: Myths and Evidence, edited by
short succinct review of the present state of scholarship in re-
Lucy Goodison and Christine Morris, pp. 63–82. London,
gards to Hattic, Hittite, and Hurrian deities and their wor-
1998. Examination of problems in understanding ancient
ship in Hittite Anatolia.
Near Eastern polytheism and overview of the most important
Singer, Itamar, “‘The Thousand Gods of Hatti’: Limits of an Ex-
goddesses and their roles in the third and second millennia.
panding Pantheon.” In Concepts of the Other in Near Eastern
Westenholz, Joan Goodnick. “King by Love of Inanna—An
Religions, edited by Ilai Alon, Ithamar Gruenwald, and Ita-
Image of Female Empowerment?” NIN, Journal of Near East-
mar Singer, pp. 81–102. Leiden, 1994. Discussion of Hit-
ern Gender Studies 1 (2000): 75–89.
tites’ respectful attitude towards foreign gods and the absorp-
Westenholz, Joan Goodnick. “Great Goddesses in Mesopotamia:
tion of various divinities from ethnically different regions
The Female Aspect of Divinity.” Bulletin of the Canadian So-
into Hittite pantheon and worship.
ciety for Mesopotamian Studies 37 (2002): 13–26. The article
Van Gessel, Ben H. L. Onomasticon of the Hittite Pantheon. Lei-
investigates the theology of “goddess” in Mesopotamia, as
den, Vols. I-II, 1998; Vol. III, 2001. The most recent com-
well as the concept of a female divine elemental at the begin-
prehensive list of Hittite deities in cuneiform Hittite texts,
ning of time. A definition of the female aspect of divinity is
but lacks information about the gender of the deities, their
followed by an analysis of the figure of the goddess Inanna/
origin, and functions.
Ishtar, in regards to the possibility that she was the personifi-
cation of the female aspect of divinity.
Syria/Canaan/Israel
Wiggermann, Franz A. M. “Theologies, Priests, and Worship in
On the subject of the goddess Asherah there is a plethora of vol-
Ancient Mesopotamia.” In Civilizations of the Ancient Near
umes regarding her role and character, especially in view of
East, edited by Jack M. Sasson, vol. 3, pp. 1867–1869. New
the biblical connotations. In the following, only the recent
York, 1995. Excellent article in which the author elaborates
books in English published since 1990 are listed.
on a possible development of the Mesopotamian pantheon
Binger, Tilde. Asherah: Goddesses in Ugarit, Israel, and the Old Tes-
from non-anthropomorphic genderless deities to the later
tament. Sheffield, U.K., 1997. A thesis from the Copenhagen
one of anthropomorphic deities of fixed gender.
school of Biblical criticism with a review of textual sugges-
Wiggermann, Franz A. M. “Nackte Göttin (Naked Goddess). A
tions for the Khirbet el-Qom and Kuntillet Ajrud inscrip-
Philologisch.” Reallexikon der Assyriologie 9 (1998): 46–53.
tions.
An attempt to match the textual and iconographic evidence
Cornelius, Izak. “Anat and Qudshu as the ‘Mistress of Animals,’
for an interpretation of nude female images as the personifi-
Aspects of the Iconography of the Canaanite Goddesses.”
cation of Pride, Dignity, and Sexuality.
Studi Epigrafici e Linguistici 10 (1993): 21–45. Excellent dis-
Iran
cussion of the iconography of the West Semitic goddesses.
Koch, Heidemarie. “Theology and Worship in Elam and Achae-
Day, Peggy L. “Anat: Ugarit’s ‘Mistress of Animals’.” Journal of
menid Iran.” In Civilizations of the Ancient Near East, edited
Near Eastern Studies 51 (1992): 181–190. In this article,
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GODDESS WORSHIP: GODDESS WORSHIP IN THE HELLENISTIC WORLD
3599
Peggy Day argues against the common tendency to describe
Sasson, vol. 3, pp. 1697–1709. New York, 1995. Descrip-
the Canaanite goddess Anat as a goddess of fertility. She re-
tion of creation myths and the Osiris myth. Discussion of the
examines the Ugaritic texts and demonstrates that Anat was
relative scarcity of written mythical stories and various theo-
rather a “mistress of animals,” both as huntress and a protec-
logical schools.
tress.
JOAN GOODNICK WESTENHOLZ (2005)
Hadley, Judith M. The Cult of Asherah in Ancient Israel and Judah.
New York, 2000. An important contribution to the debate
about the exact nature of Asherah and her significance in pre-
exilic Israel and Judah.
GODDESS WORSHIP: GODDESS WORSHIP IN
Kletter, Raz. “Asherah and the Judean Pillar Figurines Engen-
THE HELLENISTIC WORLD
dered?” In Sex and Gender in the Ancient Near East, edited
by Simo Parpola and Robert M. Whiting, pp. 289–230. Hel-
After Johann G. Droysen’s famous Geschichte des Hellenismus
sinki, 2002. Discussion of the Judean Pillar figurines and
(1833–1843; 1877–1878), the term Hellenism was increas-
their interpretation, see references in article for more infor-
ingly used to qualify a crucial period in the history of the an-
mation on this controversial material.
cient Mediterranean world. Droysen considered the exploits
Walls, Neal Hugh Jr. The Goddess Anat in Ugaritic Myth. Atlanta,
of Alexander the Great (356–323 BCE) as a crucial turning
1992. Similarly to Peggy Day, Walls denies that Anat is the
point in the politico-cultural history of the vast geographical
consort of Baal or that the two deities had a sexual relation-
area around the Mediterranean and saw the year of his death
ship.
as the beginning of a new historical cycle. This cycle started
Watson, Wilfred G. E. “The Goddesses of Ugarit: A Survey.”
with the progressive fragmentation of the supranational em-
Studi Epigrafici e Linguistici 10 (1993): 47–59. An excellent
pire set up by the Alexander in the thirteen years of his daz-
survey of the principal goddesses of Ugarit, their names, epi-
zling career (336–323 BCE) and the creation of new king-
thets, and characters, with the exception of Attartu, for
doms by his generals, the Diadochi, and ended with the
which he refers to a French publication.
Roman conquest of Egypt after the Battle of Actium (31
Wiggins, Steve A. A Reassessment of “Asherah”: A Study According
BCE). By reducing the ancient kingdom of the Pharaohs (sub-
to the Textual Sources of the First Two Millennia BCE. Ke-
sequently inherited by the Ptolomies) into a Roman province
velaer/Neukirchen-Vluyn, Germany, 1993. An attempt to
(30
place Asherah in the wider ancient Near Eastern perspective,
BCE), the new power of Rome, soon itself at the head of
but does not treat the Mesopotamian sources in chronologi-
an empire, concluded its gradual conquest of the kingdoms
cal order.
of ancient Macedonian origin.
Wiggins, Steve A. “Of Asherahs and Trees: Some Methodological
THE HELLENISTIC PERIOD. Hellenism covers a wide period:
Questions.” Journal of Ancient Near Eastern Religions 1
three centuries of intense political, military, social, econom-
(2001): 158–187. Explores the evidence for the dendrical as-
ic, and religious events that influenced in various ways all the
sociations of Asherah and their relation to Israel and other
peoples of the Mediterranean. In the East, in particular, it
religions of the ancient Near East.
affected the kingdoms that had been formed from the divi-
Egypt
sion of lands conquered by Alexander. However, this circum-
Hassan, Fekri A. “The Earliest Goddesses of Egypt.” In Ancient
scribed definition is now considered inadequate, and the
Goddesses: Myths and Evidence, edited by Lucy Goodison and
scope of Hellenism extends to cover the entire time span of
Christine Morris, pp. 98–112. London, 1998. Essay focuses
the Roman Empire until its transformation into a Christian
on bovine and maternal imagery relating to the royal ideolo-
Empire at the end of the fourth century. At this time bloody
gy based on the author’s idiosyncratic hypothesis that Egyp-
sacrifices were prohibited by Theodosius (391
tian religion had its roots in cattle herding in the Sahara.
CE), with the
aim of putting an end to the traditional cults of the Mediter-
Hornung, Erik. Conceptions of God in Ancient Egypt: The One and
ranean world. The antipagan legislation of the Christian em-
the Many. Translated by John Baines. Ithaca, N.Y., 1982.
Basic work on the Egyptian theological system.
perors took effect gradually and over a long period of time,
and polytheistic religious traditions persisted, albeit to a less-
Lesko, Barbara. The Great Goddesses of Egypt. Norman, Okla.,
1999. Overview of the major goddesses of Egypt. Lesko cites
er extent, in many regions of this vast geographical area for
the evidence for their earliest appearances, traces their cults
at least another two centuries. It was however the clear sign
through Egyptian history, and often uses the texts of prayers
of a deep cultural and religious transformation that brought
from ancient sources to illustrate the powers and attributes
to a close the long and variegated historical period known
of each deity.
as Hellenism. A distinction between early and late Hellenism
Troy, Lana. “Engendering Creation in Ancient Egypt: Still and
can be identified, respectively, as the ancient Droysenian
Flowing Waters.” In A Feminist Companion to Reading the
phase and that of Imperial Rome—each have particular as-
Bible: Approaches, Methods, and Strategies, edited by Athalya
pects while also being part of an historical continuum.
Brenner and Carole Fontaine, pp. 238–268. Sheffield, U.K.,
1997. The author demonstrates how, for ancient Egyptians,
Hellenistic culture. Unlike the Greek etymon hellenis-
creation on all levels was firmly linked to reproductive sexu-
mos, which defines Greek as opposed to those different than
ality.
Greeks (represented by the “barbarians”; i.e., all non-
Van Dijk, Jacobus. “Myth and Mythmaking in Ancient Egypt.”
Greeks), after Droysen the term Hellenism—insofar as it re-
In Civilizations of the Ancient Near East, edited by Jack M.
fers to the last three centuries before the Christian era—was
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GODDESS WORSHIP: GODDESS WORSHIP IN THE HELLENISTIC WORLD
used to express the complex cultural physiognomy of that
open-mindedness and the preeminence of the individual
age, with its repercussions in subsequent centuries. This was
(i.e., the overcoming of the particularistic barriers of both the
the result of Greek elements meeting and amalgamating to
polis and the wider national aggregate) and (2) the initiative
various extents with the traditions of those peoples—above
of the individual who, by making new life choices, may reject
all Asian, but also Western—who came into direct contact
traditional patterns and participate independently in the
with them. The first and most evident consequence of the
many activities available in a supranational panorama. In this
gesta of Alexander the Great, who had created an immense
situation the individual often looks for new forms of aggrega-
supranational empire and modeled the subsequent structure
tion, including from a religious point of view, and may join
of Hellenistic kingdoms, was in fact the intense movement
groups, communities, and associations that in foreign lands
of people that, although mainly for military and commercial
practice the cult of one or another deity (of the nation of pro-
purposes, acted as a vehicle of wide-ranging cultural ex-
venience or of local deities) encountered by immigrants in
change and the source of profound changes also on a reli-
their new home. In the case of the indigenous populations,
gious level.
certain divine figures are sometimes the object of particular
veneration by groups of worshipers, independent of public
Extremely significant differences existed on the social,
or city traditions, and thus fuels dynamic forms of personal
economic, and institutional levels, between the nations of the
religion.
eastern Mediterranean, where monarchic Hellenistic states
lived alongside independently ruled Greek cities and their
The phenomenon of religious contacts and influences
leagues. However, it is possible to talk of Hellenism as a suffi-
is an almost structural factor in the history of Mediterranean
ciently homogeneous cultural entity, based on a common
peoples as far back as the observation of history allows. For
language (the Greek of the koine set up on the basis of the
the Greeks, it represented an important aspect of their colo-
Attic dialect) and characterized by common spiritual and in-
nial experience in the East and West, in which they took
tellectual traits. The religious component is an essential part
their own gods and came into contact with those of the local
of this culture, and here also there is significant homogene-
populations. However, it assumed particular relevance in the
ity, albeit with local and national variety. This homogeneity
Hellenistic period and, subsequently, under the Roman Em-
is the result of various kinds of interference between the
pire. The Greeks and almost all the peoples of the Near East
Greek religion and that of the peoples with which it came
and the West had in fact ethnic religious traditions whose
into contact. In other words, in religious terms the Hellenis-
origins and development were contemporaneous to the ori-
tic period was characterized by a phenomenon that, although
gins and developments of the communities in which they
foreshadowed and rooted in the archaic and Classical peri-
originated, where they were perceived as an essential compo-
ods, now acquired such large proportions that it became a
nent of cultural identity, together with language and the
distinguishing feature of an entire phase in the history of
socio-economic and political framework. Because they are re-
Mediterranean civilization.
lated to highly civilized peoples, the respective religious con-
texts may be defined as national rather than ethnic because
A distinction should also be made between the situation
they have (to varying extents) common constants and ten-
in the western Mediterranean and of the oriental regions,
dencies that, as in the case of the numerous Greek poleis, give
where Hellenism penetrated deeply into the local humus and
homogeneity to the religious life of the individual ethnic
from which in turn it sucked vital nutrients. Here, alongside
group and go beyond local identities. The national religions
peoples only marginally touched by Greek expansion in the
of the ancient Mediterranean world were, then, the heritage
early Hellenistic period, there were entire regions such as
of individual peoples, mutually acknowledged and cohabit-
Magna Graecia and Sicily, with a Greek tradition dating
ing without intolerance or exclusivism.
back to the seventh and eighth centuries BCE, and Etruria,
An essential component of the picture is the structure
with centuries of contact with Greece and the East. For its
of such religious traditions, which, with the exceptions al-
part, during its gradual expansion through the peninsula,
ready mentioned, may all in various ways be defined as poly-
Rome was receptive to Hellenic influence already in the mo-
theistic, implying the belief as reflected in ritual praxis in a
narchic age, whereas the Classical period brought direct con-
series of superhuman entities with more or less clearly de-
tact with the poleis of continental Greece. Moreover, with
fined personalities. These divine figures possess particular at-
the eastward expansion of the Roman Republic, the Helle-
tributes and prerogatives and are often connected with the
nistic period witnessed the large-scale Hellenization of the
various cosmic departments whose working they ensure and
cultural and religious life of the Urbs, which would continue
with human institutions over whose foundation they presid-
throughout the life of the Empire.
ed and of which they are now protectors. Greek polytheism
Fundamental tendencies of Hellenism. Although
may be defined as a dynastic-departmental religious struc-
tending to be linked primarily to tradition, the dialectic con-
ture, because the various deities (especially the main ones)
nection between various components of a cultural system,
are linked by bonds of parentage and endowed with power
beliefs, and cults nevertheless influence change in a commu-
over the various spheres of cosmic and human life.
nity’s socio-political and economic life. Two fundamental
As contact intensified in the early Hellenistic period
tendencies run through Hellenistic culture: (1) cosmopolitan
and, subsequently, in the Imperial Roman period, the struc-
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GODDESS WORSHIP: GODDESS WORSHIP IN THE HELLENISTIC WORLD
3601
tural similarities between the religious traditions of Mediter-
which they create the goddesses’ images and organize their
ranean peoples made possible the phenomenon of religious
cult. Additionally, all the religious contexts converging in
cosmopolitanism that characterizes the period. In fact, cer-
this vast geographical area maintained their ancestral struc-
tain cults (i.e., mythical–ritual complexes gravitating around
tures and, despite the more or less profound changes caused
single deities or divine “families”) spread progressive beyond
by the politico-military and socio-economic events of the
their respective national boundaries, as is the case of the ori-
age, fundamentally conserved the beliefs and worship prac-
ental cults that spread through Greece and the West. At the
tices consolidated by tradition. Each of the divine figures of
same time, Greek religion penetrated extensively into the
the numerous national pantheons had by now assumed uni-
East, in part superimposing itself on local systems and in part
versally recognizable stable and defined prerogatives and at-
cohabiting with them, giving the religious life of the great
tributes, so a full description would require the examination
Eastern cities—whether newly founded or of ancient ori-
of the deity’s entire history, right back to the most ancient
gins—a more or less marked but in any case decisive Hellenic
sources.
stamp. With the affirmation of the power of Rome, numer-
ous figures of the Roman pantheon also began to be wor-
Despite these reservations, we may try to identify the
shiped under various guises by the peoples of the Mediterra-
peculiarities of certain main female divine figures that occu-
nean and were found to be susceptible to forms of
pied a dominant role in the collective religious imagination
convergence or identification with local deities.
of early and late Hellenism. The distinguishing traits of this
wide historical time span were individualism and cosmopoli-
METHODOLOGICAL ISSUES. Before examining the Goddess
tanism—factors able to trigger processes of confluence and
worship in the Hellenistic World, two preliminary difficul-
cultural homogenization. Also, on a religious level, it is legiti-
ties need to be discussed. The first regards the polytheistic
mate to focus attention on those figures and their mythical–
structure of the religious contexts in question, in which each
ritual systems that were involved in similar processes, group-
figure acts and functions with specific attributes and preroga-
ing aspects and prerogatives of similar figures from other cul-
tives yet also within a complex web of relationships involving
tural contexts around an original national identity. These are
the other superhuman entities—particularly those to which
not phenomena of syncretism (a widely abused term that is
they are linked due to having similar or contrasting func-
contested by religious historians) but authentically creative
tions. This web implies a strongly anthropomorphic gender
processes, whereby certain aspects of a deity’s defining func-
differentiation, which is translated into a distinction between
tions and attributes were selected and developed so that the
gods and goddesses (i.e., in the creation of a male and female
deity drew to itself other divine figures with similar functions
divine world). The question, as posed by Nicole Loraux
but from different historico-cultural contexts.
(1990), then becomes “what is a goddess?”—an inquiry that
can be related to the Greek pantheon as well as similar Medi-
GREEK ORIGINAL TRAITS IN GODDESS WORSHIP. In this
terranean religious contexts.
process, as in other components of the Hellenistic cultural
amalgam, a predominant and guiding role was played by the
When facing the problem of the significance of female
Greek religious tradition, in which there were a number of
divine figures within the religious systems of a Hellenistic
great goddesses with a long history (perpetuated by various
milieu, the structural dialectic of the relations operating
sources of nourishment) and whose origins were often un-
among all their components and, in particular, between the
clear (e.g., Mediterranean, Indo-European, Near Eastern),
two gender dimensions must be taken into full consider-
but which had by now assumed strong polyhedral identities.
ation. The focus on the various female presences should not
Figures included Hera, bride of the great Zeus, whose distin-
overshadow the individual basic reality of religious contexts
guishing feature is her link with marriage; Athena, the par-
in which the divine world is articulated according to the
thenos (never a child, always a virgin) who emerged intact and
complementary functions and prerogatives of these two di-
motherless from the head of Zeus as a warrior and patron
mensions.
of the arts, protectress of the polis, and civilizing deity; Arte-
The second difficulty regards the very notion of Helle-
mis, the virgin huntress, mistress of the animals (potnia
nism assumed as the parameter of reference for the theme
thero¯n), and protectress of the critical passages of human life
under discussion. As mentioned previously, this term com-
from birth to male and female initiations; and, lastly, Aphro-
bines a time span that current historical research extends sig-
dite. She represented the very force of sexual desire and, ac-
nificantly beyond the limits of Droysen’s formula with an ex-
cording to Hesiodic tradition, was born before the other gods
tremely wide-ranging spatial dimension, enveloping all the
of Olympus from the marine foam fertilized by the member
cultures of the Mediterranean area that in various ways came
of Uranus and mutilated by his son Cronus to open the cos-
into contact with Greek culture. It follows that, in principle,
mic space necessary for the creation of gods and men. This
the entire chronological and cultural framework in question
figure undoubtedly had oriental connections in contiguity
must be examined to identify the personality and role at least
and probably in continuity with the Babylonian and Phoeni-
of its main female figures, who embody the spiritual and reli-
cian Astarte (perhaps via the Cypriot culture; Kypris is al-
gious needs that the worshipers—both men and women—in
ready a typical Homeric name given to her) and also brings
turn express through the prerogatives and the attributes with
together warlike aspects and a bisexual component.
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In the Hellenistic period, Aphrodite once more takes
Leukophryene; of Sardis; of Perge in Pamphylia; of Bargylia,
forceful possession of those far-off roots, moreover never for-
with the epithet Kindyas; and of Hypaipa, where she is iden-
gotten, to become associated and identified with numerous
tified with the Persian Anaitis. In fact, in the Hellenistic peri-
goddesses of Near Eastern pantheons. Already in the archaic
od, the Persian goddess was worshiped in various Anatolian
and Classical periods, those roots were expressed, amongst
centers, which to a varying extent preserved traces of ancient
other ways, in the typical love–death relationship with Ado-
Persian domination. In the game of finding similarities be-
nis, whose typological analogies and historical connections
tween the traits and functions of divine figures that emerged
with the Babylonian Tammuz are clear. Associated in Sap-
from the contact between different religious contexts, she is
pho’s female thiasos with the ritual of mourning and in classi-
usually identified with the Greek goddess. The name Persian
cal Athens with women dancing on roofs in a state of emo-
Artemis (persike), in fact, is one of the most frequent names
tional turmoil, in the city of Alexandria during the days of
given to Anaitis—especially in Lydia, which emphasizes how
Arsinoë II, wife of Ptolemy II, the cult of Adonis was, in-
various defining traits of the two figures are similar, such as
stead, the great city festival described in the famous Idyll XV
their links with nature and the animal kingdom in particular.
of Theocritus, thus confirming a religious continuity that in
THE ORIENTAL AND EGYPTIAN CONTRIBUTION. In the Hel-
the Hellenistic period widened to involve the cosmopolitan
lenistic period, other major Eastern goddesses began to be
public of the newly founded cities.
worshiped beyond their national boundaries, thus increasing
The metropolis of Alexandria was, in fact, built on
their number of worshipers. The contact with some of the
Egyptian soil by Alexander the Great as a tangible sign of hel-
main characters in the Greek, and then also Roman pan-
lenismos introduced into the heart of the ancient local civili-
theon, led to partial changes in their personalities.
zation and, under Ptolemaic rule, was considered one of the
Dea Syria. A case in point is the Semitic goddess Atar-
most prestigious cultural and religious centers of the Medi-
gatis, whose main center of worship was the city of Hi-
terranean world. The traditional Greek cults were practiced
erapolis-Bambyke in northern Syria. She had been known in
there, and sources indicate that the prevalent cult was that
Greece since the third to second century BCE by the name
of Demeter, who was the subject of numerous festivals also
of Pure (hagne) Aphrodite or Goddess Syria and was on occa-
observed in Egyptian society and in Eleusis, a suburb of Alex-
sions called Aphrodite Goddess Syria or Hagne Aphrodite
andria, where she was evoked in her peculiar dimension as
Atargatis, confirming that worshipers perceived certain anal-
the figure-head goddess of the mystery cult. With no local
ogies between the two goddesses. Moreover, Atargatis did
“branch offices” to perform its role, Attic Eleusis would re-
not lose her own distinct identity, underlined by the national
main a religious center of extreme vitality throughout early
name and clearly expressed in her traditional association with
and late Hellenism, attracting worshipers from all over the
the great Syrian Baal Hadad, lord of the tempest and of light-
Mediterranean and, in particular, from Italy and Rome.
ning, who was linked to the kingdom of the underworld and
Eleusis was also visited by many emperors from Augustus (31
fertility.
BCE) to Gallienus (264/65 CE); Hadrian, an admirer of Greek
culture, was a particularly devoted worshiper. They displayed
In Delos, where the cult was introduced by Syrian mer-
a special respect for Demeter’s gifts, which the famous Cic-
chants, the two gods were first venerated together as patrician
eronian formula listed as cereal cultivation and the mysteries
gods by the Eastern community. When Athens took control
with their eschatological guarantees.
of the island, the public of worshipers widened to envelop
its entire cosmopolitan population, and the goddess progres-
On the acropolis of Pergamum (founded by Attalus I
sively acquired supremacy over her male counterpart. From
and capital of his kingdom) near the great altar of Zeus,
118/117 BCE the holder of the priesthood seems to have been
stands the sanctuary of Demeter, together with those of
an Athenian, who proclaimed himself hiereus t¯es agn¯es
Athena Polias and Hera Basileia. This sanctuary testifies to
Aphrodit¯es (priest of the Pure Aphrodite). This title is an in-
the substantial Greek influence on the new Asian kingdom,
dication of the advanced process of Hellenization in which
along the lines of the ancient Hellenic colonies in the Anato-
the goddess was by now involved. Lucian (second century
lian peninsula. This sanctuary, moreover, was also a particu-
CE) is attributed with the treatise “The Syrian Goddess,”
lar center for the worship of Artemis, who in numerous sites
which provides a description of the cult and religious tradi-
of ancient origin or Hellenistic foundation displayed evident
tions related to the great sanctuary of Hierapolis-Bambyke.
oriental traits (reflecting both the marked Mediterranean and
The goddess, although linked to her male counterpart Hadad
Anatolian components of her ancient roots) and new conflu-
and to a lower ranking figure of unknown identity, seems to
ences with figures of great local goddesses. Examples include
be the undisputed protagonist of the cult and of relative
the great sanctuary at Ephesus in which the unusual iconog-
mythical traditions. Assuming the identification of Hadad
raphy of the cult statue of the goddess, enclosed within a
with Zeus—considering that the numerous Semitic Baals
sheath decorated with numerous animal protomes (heads or
and the major male deities of the numerous local pantheons
foreparts), plastically expresses her essential dimension as
tended to be assimilated with the king of the Greek gods or
mistress of wild animals (pothnia thero¯n); those of Magnesia
with the Roman Jupiter, by now perceived as his counter-
on the Meander, in which Artemis bears the name of
part—Lucian also puts Atargatis on the same level as Hera.
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GODDESS WORSHIP: GODDESS WORSHIP IN THE HELLENISTIC WORLD
3603
However, confirming the polyhedral nature of this divine
though her title identifies her with the bride of the highest
figure, Lucian declares that “on the whole, she is certainly
Roman god, the iconographic type of the Juno of Doliche
Hera, but she also has something of Athena, Aphrodite, Sele-
reveals its oriental origin in a number of characteristic ele-
ne, Rhea, Artemis, Nemesis and the Fates” (De Dea Syria
ments. In parallel with her divine bridegroom, who is depict-
32).
ed standing on a bull’s back, the goddess appears upright on
an animal (not always clearly identifiable as bovine or cer-
There is an evident sense of a “game of identification”
vine) in a long robe with her head covered by a veil, or some-
between various divine figures, clearly perceived by contem-
times wearing a diadem (jeweled headdress) or a calathos (a
porary peoples, as a tool for classifying and evaluating their
cylindrical cap). The scepter and the mirror are her typical
functions and prerogatives when comparing the numerous
attributes.
national pantheons. The presence of phallic symbols in the
Heliopolitan sanctuary, together with many other elements
Cybele. The Phrygian goddess of animals and moun-
of the ritual praxis, shows the goddess’s fundamental link
tains, Cybele was already known to the first Greek colonists
with nature and fertility. The existence of a religious staff
on the coasts of Asia Minor and since the seventh to sixth
consisting of eunuch Galloi and of men and women who in
century BCE was included in the Greek pantheon under the
the grip of obsession worshiped the goddess with singing,
name of Great Mother (M¯eter Megal¯e) on the basis of her
dancing, and the music of sacred instruments (De Dea Syria
identification with Rhea, mother of the Olympian gods. The
43), indicates a cult with clear orgiastic traits, similar to that
iconographic scheme that originated in this period would re-
of the great Anatolian mother Cybele, with whom some an-
main basically unchanged until the last manifestations of her
cient sources identify Atargatis. The marked astral and cos-
cult, which became one of the most widespread in the Medi-
mic characterization of her personality (often identified with
terranean world after its official introduction in Rome in 204
the constellation of Virgo), together with her peculiar traits
BCE. In this solemn image of the goddess, she seated on her
as protectress of the polis and her identification with Fortuna
throne, often within a naiskos (shrine or small temple), with
and Tyche, portray a complex personality. This was the re-
her veiled head surmounted by the polos, bearing the attri-
sult of a long historical process that grew from the ancient
butes of the sceptre, the patera (a libation bowl), and the tim-
local roots of a sovereign goddess of a city community to be-
panum (tambourine), and with a lion cub in her lap or ac-
come—according to the canons of Hellenistic cosmopolitan-
companied by one or two lions in a heraldic position near
ism—the figure of the omniparens (universal genetrix; moth-
the throne.
er of all) and omnipotent cosmic deity celebrated by
Apuleius (second century
More or less Hellenized (also due to her relationship
CE).
with Demeter) the Anatolian goddess does not lose the pecu-
In terms of the diffusion and significance of her cult in
liar connotations of her personality and cult. Her individual
the Mediterranean regions, Atargatis took her distance from
characteristics are expressed in the names that refer to her
her original male counterpart, who also—as Zeus or Jupiter
Eastern origins (Berecynthian, Idaea, Cybele) and in the or-
Heliopolitanus and often bearing the name Optimus Maxi-
giastic forms of the rite, with a significant role given to
mus—enjoyed a certain popularity under the Empire. The
women and its nocturnal connotations. In fact, the goddess
divine consort of another Syrian god, the Baal of the city of
has the prerogative of infusing obsession (mania) both in the
Doliche in Commagene (northern Syria), however, assumed
religious dimension of divine possession and in the destruc-
a subordinate position to her companion, while enjoying the
tive manifestation of pathological madness, which however
latter’s great popularity in the imperial period (second–third
she may also cure in her role of healing goddess. Above all,
century CE) only by reflection. This figure is identified with
the presence of a male counterpart, Attis, the subject of a
Iuppiter Optimus Maximus and bears the localized title of
bloodthirsty cult involving the self-castration of a number of
Dolichenus. He has warlike but also celestial and cosmic at-
worshipers forming the group of the Galloi, shows the orien-
tributes and a bride whom epigraphic and iconographic
tal roots of the mythical–ritual system revolving around the
sources identify with Juno, or often Regina Juno or Santa
Anatolian Great Mother.
Juno.
The process of Hellenization of this system, which in
This assimilation fits perfectly into the general frame-
the Classical period caused the figure of Attis and his bloody
work in question and shows how the major female figures
rites to be abolished, did not however achieve its radical
in the Greek and Roman pantheons, which were by now ex-
transformation. In the early Hellenistic period in Greece, the
tremely similar, provided specific parameters of reference
young male counterpart of Cybele reemerged on a mythical
that allowed many divine figures with different national ori-
and ritual level. His anthropomorphic representation dis-
gins to be received into the great Hellenistic cultural amal-
plays the connotations of a superhuman figure linked to veg-
gam. Moreover, filtered by Hellenic and Roman influence,
etation. He is the protagonist of a tragic event of death, re-
these figures acquire a supranational, cosmopolitan dimen-
deemed by a promise of bodily incorruptibility and, above
sion and are often characterized in cosmic terms, assuming
all, by the ritual evocation of the event itself. In this way, he
functions and prerogatives of many other female deities
becomes the subject of worship together with the Great
while never totally obscuring their primitive identity. Al-
Mother. The official introduction in Rome of the Metroac
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GODDESS WORSHIP: GODDESS WORSHIP IN THE HELLENISTIC WORLD
cult apparently supplants the Greek experience of it, because
until the end of Hellenism. In the late fourth century CE she
at the height of the military and political crisis caused by
would unite in the taurobolium those representatives of the
Hannibal’s presence on Italic soil during the Second Punic
Roman aristocracy who had remained impervious to Chris-
War (218–210 BCE) the Senate turned to King Attalus of
tianization. From Vettius Agorius Praetextatus and his bride
Pergamum as mediator at the sanctuary of Pessinunt, home
Fabia Aconia Paulina to many other members of the great
of the Great Goddess. On arriving in the Urbs, the Black
Roman senatorial families, the tenacious loyalty to ancestral
Stone, aniconic image of the goddess was housed in the tem-
religious traditions would be given particular importance and
ple of Victoria on Palatine Hill and then transferred to the
attention through devotion to the Magna Mater Idaea,
sacred temple dedicated to her on the same hill, the center
whose ancient Eastern personality is inextricably intertwined
of the city’s ancestral cults. The Hellenized dimension is
with the equally marked traits of her Hellenic and Roman
present also in the figure of the Roman Magna Mater Idaea,
manifestations.
adopted as national deity due to her links with the tradition
Isis. The Egyptian goddess Isis is undoubtedly the fig-
of the city’s Trojan origins as protectress of Aeneas, son of
ure that more than any other exemplifies the Hellenistic ty-
an Aphrodite perceived as homologous to the goddess Venus.
pology of a national deity assuming a cosmopolitan nature
In fact, the religious policy implemented by the public pow-
when coming into contact with similar personalities and
ers of Rome once again reflects the trends typical of the con-
under dominant Hellenic influence. Herodotos (c. 484–
temporary religious scene, whereby an oriental deity was in-
between 430 and 420 BCE) noted in his Histories that all
troduced into the traditional religious structure and the
Egyptians, independent of their innumerable local cults, ven-
aspects most suited to that structure were developed and its
erated the couple of Isis and Osiris. For thousands of years
physiognomy remodeled to harmonize it with the other
they played a central role in Egyptian religion, due to their
members of the pantheon.
triple connection with pharaonic ideology, funerary practices
At the same time, the new goddess does not lose her
and eschatology, and agrarian fertility.
own identity, which in the case of Cybele would be affirmed
In the light of the Greek interpretation, Osiris is identi-
strongly in the late Republic and early Empire when the
fied with Dionysos because of his chthonic and agrarian as-
Phrygian and mystic aspects of the cult reemerged. These as-
pects and especially the path¯e (sufferings) embodied in his
pects had been relegated to within the Palatine sanctuary, to-
mythical story and cult, and Isis is identified with Demeter.
gether with the figure of Attis and the eunuch Galloi, where-
This identification, however, only covers the aspect of her
as the official space had been entirely occupied by the public
divine personality linked to fertility and maternity. Parallel
festival organized by the aristocrats of the annual Megalesia
to a progressive diffusion of her cult in Greece, Asia Minor,
games, which included the procession of the divine image
the islands of the Aegean and the West (first in Sicily and
and its immersion in the waters of the river Almo. The em-
southern Italy and then throughout the peninsula and in the
perors Claudius (41–54) and Antoninus Pius (138–161) in-
various regions of the Empire) in the Hellenistic period Isis’s
stituted the Phrygian festival cycle of March 15–17, in which
attributes and prerogatives underwent such extraordinary de-
the story of Attis was publicly evoked with manifestations of
velopment that she became a panthea goddess. In his novel
mourning and joy and marked also by the bloody practices
Metamorphoses, Apuleius (second century CE) defined her as
of the Galloi. Once the Metroac ritual was adopted as the
“single Godhead (numen unicum) adored by the whole world
official cult of the state, thereby protected and promoted by
in varied forms, in differing rites and with many diverse
the emperors, this Roman festive cycle spread to many parts
names” (Metamorphoses 11, 5). In the prayer that the protag-
of the Empire. By 160 CE the entire Empire knew of the
onist of the novel addresses to the bright moon rising from
Metroac sacrificial rite in its dual form of the taurobolium
the waters of the sea over the beach of Cenchreae (Corinth),
(sacrifice of a bull) and criobolium (sacrifice of a ram) and
he invokes the Regina caeli (Queen of Heaven) by listing the
was performed by city communities and private individuals
main figures of the Greek-Roman pantheon—all expressions
for the health of the emperor and his family as an expression
of her multiform identity: Ceres honored at Eleusis, the
of devotion and loyalty toward the highest public authority.
caelestis (heavenly) Venus “worshipped in the island shrine
In the drastic evolution of lifestyle and religious feeling in
of Paphos; or the sister of Phoebus . . . now adored in the
subsequent centuries, the cathartic connotations of the
celebrated temples of Ephesus; or whether as Proserpine
taurobolium were accentuated, and it shifted from being a
. . .” (Metamorphoses 11, 5). He concluded: “By whatever
public rite performed for the salvation of the social commu-
name or ceremony or visage it is right to address thee, help
nity in the person of its highest representative to become an
me now in the depth of my trouble” (Metamorphoses 11, 5).
individual, private rite. Its aim was thus the purification and
In the reply of the epiphanic goddess, further details are
salvation of the worshiper.
added to the divine picture:
Both in the forms of the festival cycle of March and in
Thus the Phrygians, earliest of races, call me Pessinun-
those of the bloody rite of the taurobolium, the Great God-
tia, Mother of the Gods; thus the Athenians, sprung
dess, protagonist of the cult, together with her male counter-
from their own soil, call me Cecropeian Minerva; and
part, Attis, would maintain her position of importance up
the sea-tossed Cyprians call me Paphian Venus, the ar-
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GODDESS WORSHIP: GODDESS WORSHIP IN THE HELLENISTIC WORLD
3605
cher Cretans Diana Dictynna, and the trilingual Sicil-
task of searching for the dismembered body of her spouse.
ians Ortygian Proserpine; to the Eleusinians I am Ceres,
On recomposing it, she celebrated the funeral rites, through
the ancient goddesses, to others Iuno, to others Bellona
which she made the great Osiris immortal. At the same time,
and Hecate and Rhamnusia. But the Ethiopians . . .
Plutarch defines the salvific function of the goddess toward
together with the Africans and the Egyptians who excel
humanity:
through having the original doctrine, honour me with
my distinctive rites and give me my true name of Queen
The sister and wife of Osiris . . . , nor did she allow
Isis. (Metamorphoses 11, 1–5)
the contests and struggles which she had undertaken,
her wanderings and her many deeds of wisdom and
Deeply Hellenized but at the same time rooted in the ancient
bravery, to be engulfed in oblivion and silence, but into
Egyptian tradition, this image of Isis Myrionyma (with ten
the most sacred rites she infused images, suggestions
thousand names) is most vividly expressed in the hymns of
and representations of her experiences at that time, and
praise (aretalogies). In these, the goddess declares her powers
so she consecrated at once a pattern of piety and an en-
(dynameis) and lists the benefits she has bestowed on human-
couragement to men and women overtaken by similar
kind, configuring herself as a typical cultural heroine in line
misfortunes. (De Iside et Osiride, 27 as cited in Griffiths,
with the Hellenistic model of the euret¯es (inventor of the fun-
1970, pp. 26–27)
damental human techniques and institutions) and euerget¯es
The divine story contemplates suffering and death but also
(benefactor). The Isiac aretalogies are attested by epigraphs
provides a positive solution in the reanimation of Osiris, who
in many places of the Hellenized world and by literary docu-
regains life and sovereignty, albeit in the kingdom of the un-
ments and probably derive from a single prototype in which
derworld. To the eyes of the Greeks, who are aware of the
ancient Egyptian concepts were elaborated in the light of a
religious experiences typical of the Greek mystery cults, the
new religious vision typical of the Hellenistic period. The
story becomes an exemplary model for contemporary men
model of Isis’s aretalogies is, in fact, attributable to the begin-
and women. Translated into ritual terms (the teletai), it offers
ning of this period and was aimed at promoting diffusion of
worshipers the hope of overcoming the difficulties and suf-
the cult of the goddess whose functional identity and iconog-
ferings of human existence.
raphy had by now become deeply Hellenized. After the god-
dess’s genealogy and a list of her main cult centers, a list fol-
Plutarch’s text thus draws a picture that is clearly illus-
lows of her cosmogonic exploits (e.g., separation of the land
trated in Book 11 of the Metamorphoses, namely, the pres-
from the sky, fixing the route followed by the stars, the sun
ence in the Isiac cult of the initiatory and esoteric praxis of
and the moon) and of the benefits she bestowed on humanity
the mysteries, insofar as they are rites that place the worship-
(e.g., the abolition of cannibalism; the institution of public
er in intimate contact with the deity through the ritual reevo-
and family law; the invention of language, writing, and navi-
cation of a painful event that, however, has a positive out-
gation; the institution of religious rites; and the definition
come. The mystery component—absent from the ancient
Egyptian religious context—is the result of the undeniable
of ethical laws). The listing of the numerous aretai presents
influence of the Greek, probably Eleusinian model, as in
a picture of Isis as a universal power, mistress of the cosmos
other cults of oriental deities. In particular, at the beginning
in its natural and human dimension, and in some documents
of the Hellenistic period in some Greek centers, Cybele, an-
(e.g., Hymn from Andros, Hymn from Kyme, Metamorphoses)
other great goddess involved in the process of Hellenization
sovereign of astral destiny—the Heimarmene (fate) imposed
characteristic of the age, assumed traits typical of mystery
on Hellenistic society as a dark and tyrannical force. This
cults. These would persist with different forms and methods
prerogative of the goddess is expressed in the frequent name
up until the imperial period, when they are discussed by
of Tyche or Fortuna with which worshipers invoked her and
Christian authors such as Clement of Alexandria (150–215)
in the iconographic attributes of the cornucopia and the rud-
and Julius Firmicus Maternus (fourth century CE).
der. Its liveliest representation is the story of Lucius narrated
by Apeuleius in Metamorphoses. This trait explains the excep-
Insofar as they are subjects of a mystery cult resulting
tional favor that Isis enjoyed in the entire Mediterranean
from the dense network of contacts with Greek religious in-
world and represents the most typically Hellenistic aspect of
fluences and in particular with that of the Eleusinian Deme-
her personality. In the variety of her attributes and her typol-
ter to whom in various ways both are typologically related,
ogy, the figure of Isis—although rooted in a national tradi-
the two goddesses, Isis and Cybele, express an important
tion—is a typical creation of Hellenism in the sense that she
component of the great Hellenistic religious amalgam. They
exemplifies its cosmopolitan aspects and at the same time sat-
are, in fact, characterized by marked individualistic tensions,
isfies individuals’ needs for personal guarantees for the pres-
which on a religious level are reflected in the search for a
ent and future. To this end, according to ancient Egyptian
more intimate and personal relationship with the deity, such
ideology, an essential role is played by the goddess in the
as could be realized in initiatory and esoteric rites. At the
mythical–ritual framework associating her with her spouse
same time, the Isiac cult is one of the most characteristic
Osiris and her son Horus. In the organic explanation of the
manifestations of the tendency to set up new community
second century CE Greek writer Plutarch (before 50–after
groups because it requires total devotion of the initiate. In
120 CE), the Egyptian myth attributes Isis with the essential
exchange for the divine protection that broke the bonds 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
3606
GODDESS WORSHIP: GODDESS WORSHIP IN THE HELLENISTIC WORLD
the blind Fortuna and introduced him into the secrets of the
Turcan, Robert. Les cultes orientaux dans le monde romain. Paris,
cult, the Lucius of Apuleius must dedicate to Isis his whole
1989.
existence in a total relationship of personal religion. Al-
Turner, Judy A. Hiereiai. Acquisition of Feminine Priesthood in An-
though not definable in terms of conversion because it per-
cient Greece. Santa Barbara, Calif., 1983.
sists within the framework of special devotion for a single
Aphrodite, Atargatis, and the Dea Syria
deity without excluding the other members of a polytheistic
Atallah, Wahib. Adonis dans la littérature et l’art grecs. Paris, 1966.
pantheon, this relationship nevertheless expresses a religious
experience of significant intensity and personal commit-
Attridge, Harold W., and Robert A. Oden, trans. The Syrian God-
dess (De dea Syria) attributed to Lucian. Missoula, Mont.,
ment, different from that offered by the traditional practices
1976.
of public cults.
Baslez, Marie-Françoise. Recherches sur les conditions de pénétration
A last characteristic of the Hellenistic Isis—typical of
et de diffusion des religions orientales à Délos (IIe–Ier s. avant
numerous contemporary cults of female deities, yet in her
notre ère). Paris, 1977.
case particularly significant—is the extension and role of the
Baslez, Marie-Françoise. “Le culte de la Déesse Syrienne dans le
female presence that without being either exclusive or pre-
monde hellénistique. Traditions et interprétations.” In Les
ponderant is proportionally large, both in terms of worship-
syncrétismes religieux dans le monde méditerranéen antique, ed-
ers and priestly staff. As is known, in the ancient world a con-
ited by C. Bonnet and A. Motte, pp. 229–248. Brussels,
nection often appears between female deities and female
1999.
priesthoods, without however there being any exclusion of
Bonnet, Corinne, and Vinciane Pirenne-Delforge. “Deux déesses
male priesthoods nor of priestesses in the cults of gods. In
en interaction: Astarté et Aphrodite dans le monde égéen.”
any case, both in the public forms of the cult exercised in the
In Les syncrétismes religieux dans le monde méditerranéen an-
great Hellenistic temples and in private forms of religious as-
tique, edited by C. Bonnet and A. Motte, pp. 249–273.
sociations that are often of a local nature, the role of the fe-
Brussels, 1999.
male priesthood is highly significant in the worship of De-
Detienne, Marcel. Les Jardins d’Adonis. La mythologie des aromates
meter, Artemis, Athena, Cybele, the Goddess Syria Atargatis,
en Grèce. Paris, 1972.
and Isis. The fact that a special web of relationships relates
Drijvers, H. J. W. Cults and Beliefs at Edessa. Leiden, 1979.
each of these divine figures in various ways to the life of
Lambrechts, Pierre, and P. Noyen. “Recherches sur le culte
women in their fundamental roles of wife and mother is
d’Atargatis dans le monde grec.” La Nouvelle Clio 6 (1954):
equally important. Among these, Isis stands out once more
258–277.
as the Hymn from Kyme proclaims: “I am she who is called
God by women . . . I forced women to be loved by men”
Pirenne-Delforge, Vinciane. L’Aphrodite grecque. Contribution à
l’étude de ses cultes et de sa personnalité dans le panthéon ar-
(as cited in Beard, North, and Price, 1998, vol. 2,
chaique et classique. Athens, 1994.
pp. 297–298).
Van Berg, Paul L. Corpus Cultus Deae Syriae (CCDS). Leiden,
SEE ALSO Cybele; Hellenistic Religions; Isis; Roman Reli-
1972.
gion, article on the Imperial Period; Women’s Studies in
Demeter and Eleusinian Mysteries
Religion.
Clinton, Kevin. “The Eleusinian Mysteries: Roman Initiates and
Benefactors, Second Century BCE to AD 267.” In Aufstieg und
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GODDESS WORSHIP: THE HINDU GODDESS
3607
Cybele
on local, oral, village contexts where goddesses tend to thrive.
Duthoy, Robert. The Taurobolium. Its Evolution and Terminology.
With increasing numbers of publications, however, the best
Leiden, 1969.
way to characterize Hindu goddesses, either as individuals or
Sfameni Gasparro, Guilia. Soteriology and Mystic Aspects in the Cult
as a category, has become contested and complex. Accord-
of Cybele and Attis. Leiden, 1985.
ingly, this essay has three aims: to cover representative Hindu
Vermaseren, Maarten J. Cybele and Attis. The Myth and the Cult.
goddesses; to indicate the types of scholarly methodologies
London, 1977.
currently employed to study them; and to describe major
Vermaseren, Maarten J. Corpus Cultus Cybelae Attidisque (CCCA).
hermeneutical controversies in their interpretation.
7 vols. Leiden, 1977–1989.
For heuristic purposes, this survey organizes goddesses
Isis
via a pacific (saumya)/fierce (raudra) spectrum, or, as Wendy
Bricault, Laurent. Atlas de la diffusion des cultes isiaques (IVe s. av.
Doniger first labeled it, a juxtaposition between “breast”
J.-C.—IVe s. apr. J.-C.). Paris, 2001.
(gentle and nurturing) and “tooth” (ambiguous and poten-
Bricault, Laurent. Isis en Occident. Actes du IIème Colloque interna-
tially dangerous) goddesses (1980, pp. 90–91). In general,
tional sur les études isiaques, Lyon III 16–17 mai 2002. Lei-
breast goddesses are boon bestowing and provide mediation
den, 2004.
and access to their more powerful consorts. One example is
Bricault, Laurent, ed. De Memphis à Rome. Actes du Ier Colloque
S´r¯ı or Laks:m¯ı, associated from the Vedic period with royalty
international sur les études isiaques, Poitiens-Futuroscope, 8–10
and from the epic period with auspiciousness, fertility,
avril 1999. Leiden, 2000.
wealth, and usually Lord Vis:n:u. Iconographically, she is por-
Dunand, Françoise. Le culte d’Isis dans le bassin oriental de la Mé-
trayed either alone, seated on a lotus and surrounded by sym-
diterranée. 3 vols. Leiden, 1973.
bols of fecundity (coins, water, elephants, and the color red)
Eingartner, Johannes. Isis und ihre Dienerinnen in der Kunst der
or with Vis:n:u in a position of humble subservience. Theo-
römischen Kaiserzeit. Leiden, 1991.
logical reflections on Laks:m¯ı reach their apex in the medieval
Grandjean, Yves. Une nouvelle arétalogie d’Isis à Maronée. Leiden,
writings of South Indian S´r¯ı Vais:n:avas, for whom she is
1975.
Vis:n:u’s inseparable breast-jewel, and she argues with her lord
over devotees, independently granting them grace (prasa¯da).
Griffiths, J. Gwyn. Apuleius of Madauros. The Isis–Book (Metamor-
phoses, Book XI). Leiden, 1975.
Other instances include Sarasvat¯ı, the Vedic river god-
Griffiths, J. Gwyn, ed. and trans. Plutarch’s De Iside et Osiride.
dess who by the epic period symbolized purity, learning, and
Cambridge, U.K., 1970.
the arts, and who, though putatively linked to Brahma¯, helps
Heyob, Sharon K. The Cult of Isis among Women in the Graeco-
devotees directly; S¯ıta¯, the wife of Ra¯ma, the model of wifely
Roman World. Leiden, 1975.
perfection who, in Tulsida¯sa’s sixteenth-century Hindi ver-
Loraux, Nicole. “Herakles: The Super-Male and the Feminine.”
sion of the Ra¯ma¯yan:a, the Ra¯mcaritma¯nas, acts as the devo-
In Before Sexuality: The Construction of Erotic Experience in
tee’s intermediary to Ra¯ma; and the various forms of S´iva’s
the Ancient Greek World, edited by David M. Halperin, John
wife Sat¯ı, or Pa¯rvat¯ı, the one to draw her unpredictable hus-
J. Winkler, and Froma Zeitlin. Princeton, N.J., 1990.
band from the sphere of moks:a to that of dharma through
Malaise, Michel. Inventaire préliminaire des documents égyptiens dé-
her beauty and sexuality. In the South Indian theological
couverts en Italie. Leiden, 1972.
speculations of S´aiva Siddha¯nta, she is identified with S´iva’s
Malaise, Michel. Les conditions de pénétration et de diffusion des
grace (arul:), inherent in every human. In all cases, these me-
cultes égyptiens en Italie. Leiden, 1972.
diator-goddesses are said to be svakiya, or married to their
consorts, and even if they are soteriologically more signifi-
Malaise, Michel. “La diffusion des cultes égyptiens dans les prov-
inces européennes de l’ Empire romain.” In Aufstieg und
cant than the male gods, the latter are more important onto-
Niedergang der römischen Welt: Vol. 17.3. Religion, pp.
logically.
1615–1691. Berlin, 1984.
“Tooth” goddesses are sometimes dangerous and must
Walters, Elizabeth J. Attic Grave Reliefs that Represent Women in
be viewed with caution. Famous examples are Durga¯, or
the Dress of Isis. Princeton, N.J., 1988.
Ambika¯/Can:d:ika¯, the battle queen of the famed sixth-
GIULIA SFAMENI GASPARRO (2005)
century Sanskrit “Dev¯ı-Ma¯ha¯tmya” section of the
Ma¯rkan:d:eya Pura¯n:a, who slays demons on behalf of the gods
and who offers her devotees either worldly enjoyment (bhuk-
ti) or liberation (mukti); and Ka¯l¯ı, the emaciated demon-
GODDESS WORSHIP: THE HINDU GODDESS
chopper who emerges from Durga¯’s wrath to have an auton-
Academic interest in Hindu goddesses has burgeoned since
omous career as an awesome mother goddess, rescuing her
the 1970s because of three coalescing factors: in the United
votaries from distress. Other instances of ambivalent god-
States, funding for fieldwork in South Asia through postwar
desses include those whose provenance is local calamity or
area studies programs; feminist scholarship, with its stress on
disease, such as S´¯ıtala¯ and Ma¯riyamman, goddesses of small-
women’s experience and feminist perspectives; and the move
¯
pox and skin maladies. Like “tooth” goddesses in general,
from a reliance on texts and elite viewpoints to an emphasis
they represent both the release from suffering and the cause
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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GODDESS WORSHIP: THE HINDU GODDESS
of that suffering; devotees of S´¯ıtala¯ in pox outbreaks claim
about individual goddesses and the theoretical nuancing of
that the mother’s “mercy” (daya¯) is manifest on the bodies
scholarly approaches to goddesses in general. Alongside
of those she favors. Each of these powerful, independent god-
translations or descriptive works, therefore, are field studies
desses, though potentially allied with a male, either as con-
promoting feminist, neo-Dukheimian, Freudian, or post-
sort (S´iva is the husband of both Durga¯ and Ka¯l¯ı) or as com-
colonial interpretive lenses. These treat a variety of individual
panion (Jva¯ra¯sura, the Fever Demon, is S´¯ıtala¯’s helper), are
goddesses, such as An˙ka¯l:aparame¯cuvari, Bhadraka¯l:i,
not intermediaries to their male partners; one prays to them
Draupad¯ı, Ma¯riyamman, and M¯ına¯ks:¯ı, from South India,
directly, hoping that their compassionate sides will “inter-
¯
and Manasa¯, Nanda¯dev¯ı, S´¯ıtala¯, and Vais:n:odev¯ı, from the
cede,” so to speak, with their more dangerous aspects.
north. As a group, such works challenge two influential her-
Midway between “breast” and “tooth” goddesses are
meneutical frameworks proposed when the study of Hindu
those who are neither subservient nor independently power-
goddesses was still nascent in the 1960s and 1970s. The first
ful, neither peaceful nor fierce, but who claim an equal status
rests on a dichotomy between the local or “little” and the
with their male companions. Pa¯rvat¯ı in her form as the fe-
universal or “great” traditions and claims that local goddess
male sexual organ (yoni), coupled with that of the male, S´iva
cults lack geographic spread, textual articulation, Brahman
linga, is a perfect example of such complementarity, as are
priests, sophisticated theology, vegetarian ethos, and a do-
S´iva and Pa¯rvat¯ı as two halves of the same being,
mesticated deity. As new field research shows, such juxtapo-
Ardhana¯r¯ı´svara, S´iva Half-woman. Ra¯dha¯, Kr:s:n:a’s cowherd
sitions may be too stark. An˙ka¯l:aparame¯cuvari is a village god-
lover, is another illustration; although, like the “breast” god-
dess prominent in Tamilnadu and Andhra Pradesh; her
desses mentioned above, she renders Kr:s:n:a accessible to
spread is wider than that of M¯ına¯ks:¯ı, who lives solely in one
Vais:n:ava devotees, offering her grace and compassion to
temple in Madurai, but the latter is a royal deity whose fame,
those who seek it (see Su¯rda¯s’s Su¯rsa¯gar and the Brahmavai-
and the wealth and Brahmanical prestige of her temple draw
varta Pura¯n:a). In other texts Kr:s:n:a exalts her over himself
crowds from around the country. Bhadraka¯l:i, a multiform
and even serves as a model of devotion to her rather than the
of the north Indian Ka¯l¯ı, shares several important elements
reverse (see Jayadeva’s G¯ıtagovinda and Ru¯pa Gosva¯min’s
with her northern namesake, but her cult in Kerala has many
Vidagdhma¯dhava).
unique features. The same is true of Manasa¯, the goddess of
In a theological move similar to that of Kr:s:n:a in the
snakes, who is widely worshiped throughout India but in va-
Bhagavadg¯ıta¯, who asserts that all gods are really just forms
rying ritual and iconographic forms. Draupad¯ı is reputed for
of himself, Hindu goddess worshipers also claim that all
her role in the Maha¯bha¯rata, but only in South India is there
manifestations of the divine feminine, whether benign or
a cult centered on her. Nanda¯dev¯ı and Vais:n:odev¯ı, both
ambivalent, are simply faces or aspects of the one Great God-
variants of Durga¯, inspire complex local traditions in the cen-
dess, Maha¯dev¯ı. This profession is attested textually from at
tral and western Himalayas, respectively. Finally, S´¯ıtala¯ and
least the time of the “Dev¯ı-Ma¯ha¯tmya,” where one finds epi-
Ma¯riyamman share a concern with skin diseases, but their
¯
thets praising one goddess in terms of another, stories in
iconography, personalities, and ritual prescriptions differ
which goddesses emerge from each other, and philosophical
from region to region across India. Such scholarly studies
declarations about female energy (´sakti), primordial nature
imply twin processes at work: Sanskritization or Brahmaniza-
(prakr:ti), delusive power (ma¯ya¯), and the absolute ground of
tion, the identification of the local with the universally re-
being (brahman), each of which is said to characterize female
spected “higher” culture, and localization, whereby widely
deities. The concept of Maha¯dev¯ı was an especially powerful
recognized goddesses adapt to bounded geographic contexts.
tool for assimilating local, indigenous goddess cults into the
Hence, the demarcation between “great” and “little” tradi-
normative, widespread Hindu pantheon, and the Pura¯n:as
tions is more porous than scholars once thought. A second
(fifth to eighteenth centuries) are textual repositories of lore
influential opposition, according to which divine ferocity is
concerning this process of consolidation. Recent anthropo-
associated with marital independence, has also been disput-
logical studies underscore the same point: tribal and local de-
ed; Kathleen Erndl, Lynn Foulston, and Stanley Kurtz all
ities in Orissa are slowly being identified with the pan-Indian
document sweet, married goddesses who accept blood sacri-
Durga¯; a local “girl” in Madurai has risen through identifica-
fice, possession, and fire walking, as well as independent god-
tion with S´iva’s consort Pa¯rvat¯ı to the status of his royal wife,
desses who are benign and vegetarian.
now more beloved by devotees than her husband; and Val:l:i,
Among other themes of interest to contemporary schol-
Murukan’s Tamil wife, is a classic low-caste Cinderella
¯
ars of Hindu goddesses is the question of origins: from where
whose origins have nearly been erased in her gradual upward
do Hindu goddesses come? From the Indus Valley civiliza-
mobility. The 108 S´a¯kta “seats” (p¯ıt:has) of the Goddess,
tion, in the third millennium BCE or earlier? The Vedic peri-
each a local shrine glorified by its incorporation into the leg-
od, after the mid-second millennium BCE? Autochthonous
end about the fallen body parts of S´iva’s wife Sat¯ı, are anoth-
tribal culture? Although the issue is hotly debated, the schol-
er illustration of regional deities being unified under the ban-
arly consensus is that the Indus Valley peoples were probably
ner of a universal goddess.
goddess revering, as there are parallels between scenes depict-
One of the results of the proliferation of studies on
ed on some of their steatite seals and later Dravidian sacrifi-
Hindu goddesses has been both the expansion of knowledge
cial goddess cults. Goddess worship is also important, as 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
GODDESS WORSHIP: THE HINDU GODDESS
3609
sees even today, in many tribal societies. In spite of the natu-
of her sons’ heroic self-sacrifice. Most scholars, whether Indi-
ral theological desire to read goddesses back into the Vedic
an or not, find the explicit equation of the nationalists’ ene-
tradition, there is little evidence for this in the Vedic texts
mies with the goddess’s victims to be extremely worrying.
themselves, although it is likely that because they are au-
Of course, goddesses are a malleable lot, and the nation-
thored by the Brahman elite, they do not represent the totali-
alists are not the only ones to employ them for human ends.
ty of Vedic religiosity.
For example, Santos:¯ı Ma¯, Goddess of Contentment, found
An additional topic that galvanizes scholarly and popu-
a mass following after the release of a Bollywood film cele-
lar audiences, East and West, is the relationship of Hindu
brating her power in 1975, the AIDS-A¯mma¯ was created by
goddesses to Hindu women. Does the worship of female dei-
a health educator from Andhra Pradesh in 1999, and many
ties imply anything about expectations for women’s behav-
ecologically minded activists are exploring goddess traditions
ior? The evidence is mixed: many goddesses appear to act as
for environmentally friendly stories, rituals, or associated
approved models for Hindu women. S¯ıta¯, Sa¯vitr¯ı, and
philosophical concepts. Again, the data is conflicting; to take
Pa¯rvat¯ı embody the ideal in wifely virtue; Nanda¯dev¯ı’s ritu-
the case of the Ganges River, the same belief in the Ganga¯
alized reluctance to leave her parents’ home for S´iva’s abode
as goddess leads some Hindus to overlook pollution, since
mirrors the feelings of out-married Garhwali women; and
the Mother’s purity is inviolable, whereas others attempt to
the Orissan Ka¯l¯ı’s outstretched tongue is interpreted locally
cleanse her out of reverence.
as a symbol of desired wifely shame on the part of the god-
A further topic is the intersection between S´a¯ktism and
dess when she realizes that she has stepped on her husband’s
Tantra, the antinomian ritual and philosophical system in
prostrate body. In such cases the goddess’s conduct acts to
which the normally forbidden is utilized as a means to the
reinforce what many see as patriarchal values. Other goddess-
divine. From at least the tenth century, particularly in Bengal
es, however, represent the opposite: no mother would want
and Kashmir, Tantric speculation has involved goddesses:
her daughter to have the fate of Ra¯dha¯, an adulteress played
the ten maha¯vidya¯s (great goddesses of transformation), the
upon by the fickle Kr:s:n:a, or the character of the unruly Ka¯l¯ı,
seven ma¯tr:ka¯s (mothers), and numerous yogin¯ıs and d:a¯kin¯ı
who dances naked, uncontrolled. Several scholars have inves-
(female ghouls or adepts) in addition to Ka¯l¯ı and other dei-
tigated the specific effect that goddess worship has on women
ties. As David Kinsley opines, because of the ambiguous,
in particular locales. Most of them conclude that goddesses
death-dealing nature of many Tantric goddesses, they push
have not always been “good” for women: Bhadraka¯l:i’s cult
the devotee to new insight: if one can embrace, worship, even
in Kerala is nearly exclusively male and represents male fears
love such deities, then one wins the Tantric boon of freedom
of women; almost no women in Vindhyachal at the shrine
from fear (1975, p. 144). Investigations of Tantric goddesses
to Vindhyava¯sin¯ı find any relationship between the ´sakti of
cults aim to decipher the relationships between the Tantric
the Goddess and ordinary women; and even the famed spiri-
elevation of goddesses and ideas of women (most scholars
tual giant, A¯nandamay¯ı Ma¯, is perceived by her devotees as
conclude that, ideology notwithstanding, Tantra is primarily
transcending gender entirely. However, such authors also
male oriented); to understand the nexus between the patron-
concede that the potential for positive influence is present.
age of Tantric goddess cults and the power ambitions of their
As Kathleen Erndl notes, the goal for Hindu feminists on an
sponsors (since the time of the late guptas in the sixth to sev-
ideological level is “to rescue ´sakti from its patriarchal pris-
enth centuries, kings, whether real or titular, have utilized
on,” in which women, because of their power, need to be
Tantric symbolism to bolster their own claims to prestige);
subdued (1993, p. 96). Western feminists and denizens of
to study the interaction between Hindus and the British dur-
women’s spirituality have long found Hindu goddesses inspi-
ing the colonial period (for instance, in reaction to the first
rational sources of inner strength; until recently, however,
partition of Bengal in 1905, many nationalists used Tantric
Indian feminists have eschewed goddess symbolism as being
images of bloodthirsty goddesses to exhort rebellion against
a tool of patriarchal oppression.
the white colonialists); and to chart the British-influenced
Hindu critique of Tantric deities, due to which many have
Another site for the investigation of Hindu goddesses
lost their rough, sexualized, meat-eating demeanors.
is the context of Hindu nationalism. With the rise of the
Vishwa Hindu Parishad and the Bharatiya Janata Party in
Evidence of the health and vitality of Hindu goddesses
the late 1980s, one sees a concomitant resurgence of interest
is indicated by the number who have made their homes out-
in the cult of Bha¯rat Ma¯ta¯, or Mother India, and the weap-
side India. Whether the new residence is the Caribbean, Eu-
on-bearing eight-armed As:t:abhuja¯, a deity self-consciously
rope, Britain, or North America, mainstream dev¯ıs such as
constructed by the women’s wing of the Rashtriya Swayam-
Laks:m¯ı, S¯ıta¯, Ka¯l¯ı, Durga¯, M¯ına¯ks:¯ı, and Vais:n:odev¯ı have
sevak Sangh to provide women with an anti-Muslim rallying
adapted in novel ways to their host environments. Most
symbol. The politicized use of goddess imagery in the mod-
Hindu communities attempt to replicate as faithfully as pos-
ern period goes back at least as far as the late nineteenth cen-
sible the worship settings of “back home”—temples known
tury, with Bankimcandra Chatterjee’s famed hymn, “Hail to
for their claims to authenticity are the Ka¯l¯ı temple in Toron-
the Motherland,” or “Bande Ma¯taram!” (1882), in which the
to and the M¯ına¯ks:¯ı temple in Houston—but even so, ac-
land of India is equated with the pillaged goddess in need
commodations are made in terms of festival timings, temple
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3610
GODDESS WORSHIP: THE HINDU GODDESS
construction and zoning laws, and types of offerings. Devo-
the Flute: Ka¯l¯ı and Kr:s:n:a, Dark Visions of the Terrible and the
tees must also contend with the fact that non-Hindus in dias-
Sublime in Hindu Mythology (Berkeley, Calif., 1975), Jeffrey
pora settings may have strange or even hostile attitudes to-
J. Kripal, Ka¯l¯ı’s Child: The Mystical and the Erotic in the Life
ward their imported deities. How should a New York Hindu
and Teachings of Ramakrishna, 2d ed. (Chicago, 1998), Ra-
react to gift shop lunch boxes decorated with the face of
chel Fell McDermott, Mother of My Heart, Daughter of My
Durga¯, or to Western feminists’ interpretations of Ka¯l¯ı as a
Dreams: Ka¯¸li and Uma¯ in the Devotional Poetry of Bengal
(New York, 2001), and Rachel Fell McDermott and Jeffrey
symbol of women’s rage against patriarchy? Such appropria-
J. Kripal, eds., Encountering Ka¯l¯ı: In the Margins, At the Cen-
tions are balanced by what is perceived as more “genuine”
ter, In the West (Berkeley, Calif., 2003); on Ma¯riyamman,
attitudes towards Hindu theism, like the Western-organized
¯
chapters in Paul Younger, Playing Host to Deity: Festival Reli-
and -financed Ka¯l¯ı Mandir in Laguna Beach, California, to
gion in the South Indian Tradition (New York, 2002); on
which priests from Kolkata’s Dakshineswar Ka¯l¯ı Temple are
M¯ına¯ks:¯ı, C. J. Fuller, Servants of the Goddess: The Priests of
regularly brought for ritual accuracy. As scholars note and
a South Indian Temple (Cambridge, U.K., 1984) and Wil-
devotees experience, the Hindu Goddess, embodied in
liam P. Harman, The Sacred Marriage of a Hindu Goddess
countless goddesses in Hindu contexts the world over, is
(Bloomington, Ind., 1989); on Nanda¯dev¯ı, William S. Sax,
complex, theologically flexible, and alive and well.
Mountain Goddess: Gender and Politics in a Himalayan Pil-
grimage (New York, 1991); on Santos:¯ı Ma¯, Stanley R. Kurtz,
SEE ALSO Bengali Religions; Durga¯ Hinduism; Ganges
All the Mothers Are One: Hindu India and the Cultural Re-
River; Hindi Religious Traditions; Hindu Tantric Litera-
shaping of Psychoanalysis (New York, 1992); and on
ture; Indian Religions, article on Rural Traditions; Marathi
Vais:n:odev¯ı, Kathleen Erndl, Victory to the Mother: The
Religions; Ra¯dha¯; S´aivism; Sarasvat¯ı; Tamil Religions;
Hindu Goddess of Northwest India in Myth, Ritual, and Sym-
Vais:n:avism.
bol (New York, 1993). Richard L. Brubaker’s dissertation
from 1978 is still a very good introduction to the category
of village goddesses: The Ambivalent Mistress: A Study of
BIBLIOGRAPHY
South Indian Village Goddesses and their Religious Meaning.
A number of excellent volumes cover a range of Hindu goddesses:
For a modern discussion, see Lynn Foulston, At the Feet of
Vidya Dehejia, ed., Dev¯ı: The Great Goddess: Female Divinity
the Goddess: The Divine Feminine in Local Hindu Religion
in South Asian Art (Washington, D.C., 1999); John Stratton
(Brighton, U.K., 2002).
Hawley and Donna Marie Wulff, eds., The Divine Consort:
Ra¯dha¯ and the Goddesses of India (Berkeley, Calif., 1982) and
Explorations of the relationship between goddess worship and the
Dev¯ı: Goddesses of India (Berkeley, Calif., 1996); David R.
status of women may be found in Lisa Lassell Hallstrom,
Kinsley, Hindu Goddesses: Visions of the Divine Feminine in
Mother of Bliss: A¯nandamay¯ı Ma¯ (1896–1982) (New York,
the Hindu Religious Tradition (Berkeley, Calif., 1986); Axel
1999); and Alf Hiltebeitel and Kathleen Erndl, eds., Is the
Michaels, Corelia Vogelsanger, and Annette Wilke, eds.,
Goddess a Feminist? The Politics of South Asian Goddesses
Wild Goddesses in India and Nepal, Studia Religiosa Helveti-
(New York, 2000). Suzanne Ironbiter’s Dev¯ı (Stamford,
ca, vol. 2 (Bern, 1996); and Wendy Doniger O’Flaherty,
Conn., 1987) is a good example of a Western woman read-
Women, Androgynes, and Other Mythical Beasts (Chicago,
ing a Hindu goddess-text in a personalized fashion; Shobita
1980). The philosophical aspect of the goddesses cult is ex-
Punja’s Daughters of the Ocean: Discovering the Goddess With-
plored by Tracy Pintchman in The Rise of the Goddess in the
in (New Delhi, 1996) is a Hindu woman’s counterpart. For
Hindu Tradition (Albany, N.Y., 1994) and Tracy Pintch-
women, goddesses, and nationalism, see Paola Bacchetta,
man, ed., Seeking Maha¯dev¯ı: Constructing the Identities of the
“All Our Goddesses Are Armed: Religion, Resistance, and
Hindu Great Goddess (Albany, N.Y., 2001). For excellent
Revenge in the Life of a Militant Hindu Nationalist
studies and translations of seminal S´a¯kta texts, see Thomas
Woman,” Bulletin of Concerned Asian Scholars 25, no. 4
B. Coburn, Dev¯ı-ma¯ha¯tmya: The Crystallization of the God-
(1993): 38–51; and Tanika Sarkar and Urvashi Butalia, ed.,
dess Tradition (Delhi, 1984) and Encountering the Goddess:
Women and Right-wing Movements: Indian Experiences (Lon-
A Translation of the Dev¯ı-ma¯ha¯tmya and a Study of its Inter-
don, 1995). For Tantra in relation to Hindu goddesses, con-
pretation (Albany, N.Y., 1991); and Cheever Mackenzie
sult: Douglas Renfrew Brooks, Auspicious Wisdom: The Texts
Brown, Dev¯ı G¯ıta¯: The Song of the Goddess: A Translation,
and Traditions of S´r¯ıvidya¯ S´a¯kta Tantrism in South India (Al-
Annotation, and Commentary (Albany, N.Y., 1998), God as
bany, N.Y., 1992) and Secret of the Three Cities: An Introduc-
Mother: A Feminine Theology in India: A Theological Study of
tion to Hindu S´a¯kta Tantrism (Chicago, 1990); David R.
the Brahmavaivarta Pura¯n:a (Hartford, Vt., 1974), and Tri-
Kinsley, Tantric Visions of the Divine Feminine: The Ten
umph of the Goddess: The Canonical Models and Theological
Maha¯vidya¯s (Berkeley, Calif., 1997); Hugh B. Urban, Tan-
Visions of the Dev¯ı-Bha¯gavata Pura¯n:a (Albany, N.Y., 1990).
tra: Sex, Secrecy, Politics, and Power in the Study of Religion
Apart from essays surveying individual goddesses contained in the
(Berkeley, Calif., 2003); and David Gordon White, Kiss of
edited volumes listed above, monographs on the following
the Yogin¯ı: “Tantric Sex” in its South Asian Contexts (Chicago,
figures are highly recommended: on An˙ka¯l:aparame¯cuvari,
2003). Finally, discussions of goddess traditions providing
Eveline Meyer, An˙ka¯l:aparam¯ecuvari: A Goddess of Tamil-
(or not) inspiration for ecological consciousness may be
nadu, Her Myths and Cult (Stuttgart, Germany, 1986); on
found in Madhu Khanna, “The Ritual Capsule of Durga
Draupad¯ı, Alf Hiltebeitel, The Cult of Draupad¯ı, 2 vols.
Puja: An Ecological Perspective,” in Hinduism and Ecology:
(Chicago, 1988); on Ka¯l¯ı, Sarah Caldwell, Oh Terrifying
The Intersection of Earth, Sky, and Water, edited by Christo-
Mother: Sexuality, Violence, and Worship of the Goddess Ka¯l¯ı
pher Key Chapple and Mary Evelyn Tucker, pp. 469–498
(New Delhi, India, 1999), David R. Kinsley, The Sword and
(Cambridge, Mass., 2000); and Vijaya Rettakudi Nagarajan,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GODDESS WORSHIP: THEORETICAL PERSPECTIVES
3611
“The Earth as Goddess Bhu Devi: Toward a Theory of ‘Em-
in the life of that people” (Bachofen, p. 75). The matriarchal
bedded Ecologies’ in Folk Hinduism” (pp. 269–296), and
period of human history was one of sublime grandeur, when
Kelly P. Alley, “Idioms of Degeneracy: Assessing Ganga¯’s Pu-
women inspired chivalry, chastity, and poetry in men. Al-
rity and Pollution” (pp. 197–330) in Purifying the Earthly
though men had superior strength, women strove for peace,
Body of God: Religion and Ecology in Hindu India, edited by
justice, and religious consecration—guiding the men’s “wild,
Lance E. Nelson (Albany, N.Y., 1998).
lawless masculinity.” This early phase of cultural evolution
RACHEL FELL MCDERMOTT (2005)
was displaced, in Bachofen’s view, by a later period of con-
quest and patriarchy.
As early as 1851 proponents of the matriarchy theory
GODDESS WORSHIP: THEORETICAL
were embroiled in a controversy set off by the famous jurist
PERSPECTIVES
Sir Henry Maine, who insisted that the patriarchal family
was the original social unit. This was the same year in which
Theories about goddess worship have been advanced ever
Bachofen was preparing his work Das Mutterrecht, asserting
since the emergence of the social sciences disciplines in the
exactly the opposite thesis. Over thirty years later, anthropol-
nineteenth century. Religion specialists in the fields of an-
ogist and folklorist J. F. McLennan (1886) reasserted the ma-
thropology, sociology, folklore, psychology, and comparative
triarchal theory, citing new anthropological evidence. Again
mythology have contributed numerous theories to explain
in 1891 the matriarchy concept was discredited by Edward
the phenomenon of goddess worship. The topic has been re-
A. Westermarck, who was disturbed by Bachofen’s idea that
vived in recent years, particularly by specialists in the area of
myths and legends preserve the “collective memory” of a peo-
women’s studies. The following survey of theoretical issues
ple. Westermarck’s argument attempted to reestablish
in the study of goddess worship reflects controversies that
Maine’s patriarchal theory of human origins.
have raged over broader issues concerning the more general
interpretation of religion.
The issue flamed into controversy once again in 1927
EARLY PERSPECTIVES ON GODDESS WORSHIP. Nineteenth-
with the publication of Robert Briffault’s encyclopedic work
century European social scientists and specialists in compara-
The Mothers. Arguing against Maine and Westermarck, Brif-
tive religion were fascinated by what they conceived to be
fault reasserted the existence of a primitive matriarchy that
universal themes of human experience. Because they relied
universally preceded patriarchy. However, unlike Bachofen,
heavily on the accounts of missionaries, traders, and other
who defined matriarchy as a period of mother rule and inher-
travelers to different cultures rather than firsthand fieldwork,
itance through the female line, Briffault conceived matriar-
many of their speculative theories are discredited today.
chy to be a period when women were socially rather than po-
These writers were concerned with the origins of human in-
litically dominant. Briffault speculated that the “male
stitutions such as marriage, law, and religion. Contemporary
instinct” created the original social herd and that the “female
scholars tend to be more cautious than these early writers
instinct” was responsible for the establishment of the family.
about the origins of religion, believing that it is just as dan-
Much of Briffault’s evidence was derived from the study of
gerous to speculate about the past as it is to develop theories
religion; he thought that the widespread existence of lunar
about other cultures without firsthand field observation.
deities among primitive peoples was proof of the early social
dominance of women, because women were the first hiero-
One of the most influential theories in the study of god-
phants of lunar cults. Briffault’s evolutionary theory was not
dess worship was advanced by the nineteenth-century Swiss
the last of its kind. As recently as the 1930s Wilhelm
jurist and historian of Roman law J. J. Bachofen (1815–
Schmidt advanced a theory for the origin of religion employ-
1887), who linked goddess worship with a more general the-
ing a multilinear rather than unilinear model of cultural evo-
ory of social development. He asserted that the first human
lution. Schmidt assumed the existence of three types of “pri-
societies were matriarchal and characterized by widespread
mary cultures”—matrilineal, patrilineal, and patriarchal.
promiscuity, which was reflected in the worship of female de-
According to Schmidt, women were involved in the earliest
ities. While this theory has been discredited by contemporary
cultivation of plants. Consequently their social importance
anthropologists, early social theorists such as Lewis Henry
increased, giving rise to widespread goddess worship.
Morgan, Karl Marx, and Friedrich Engels praised it. Sir
James Frazer set himself the task of completing Bachofen’s
Few psychologists have contributed theories about god-
assemblage of evidence for matriarchy among world cultures.
dess worship. Freud thought devotion to female deities rep-
Even Sigmund Freud thought that goddess worship was
resented an infantile desire to be reunited with the mother.
linked to an earlier stage of matriarchy. For Bachofen and
According to Freud, goddess worship represents universal
his followers, “mother right” marked a fixed and predeter-
unconscious fantasies characteristic of a stage in early psychic
mined stage in the evolution of human cultures. This stage
development in which the mother seems to be all-powerful
in human evolution, according to Bachofen, can be con-
to the child. C. G. Jung placed the religious impulse in a
firmed by myths about goddess worship, which are living ex-
more central position than did Freud. He postulated a set
pressions “of the stages in a people’s development, and for
of innate universal archetypes operative in the human psy-
the skillfull observer, a faithful reflection of all the periods
che, one of which was the feminine principle. Jung utilized
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3612
GODDESS WORSHIP: THEORETICAL PERSPECTIVES
symbolism from primitive, archaic, and contemporary reli-
the analysis of single, manageable cultural entities through
gions to shed light on the operation of these archetypes.
direct fieldwork. Armchair speculation went out of style with
the emergence of the Boasian school in anthropology during
The Jungian perspective has been most fully developed
the early twentieth century. Few psychologists, excepting
in a classic work by Erich Neumann entitled The Great
Freud and the Jungians, have studied religious topics. Con-
Mother (1955). This massive volume explores the phenome-
temporary psychologists have focused on discrete measurable
non of goddess worship from a number of psychological per-
phenomena, such as the religious content of dreams and the
spectives. Unlike social theorists who traced the development
relationship of psychedelic drugs to altered states of con-
of goddess worship in social time and space, Neumann ana-
sciousness. Within the mainstream of American psychologi-
lyzes the phenomenon purely in terms of inner psychic im-
cal thought virtually nothing has been written on the subject
ages. Although he repudiates Bachofen’s sociological analysis
of goddess worship.
of matriarchy, he praises him for having made lasting discov-
eries about the elementary character of the feminine. In Neu-
Other than anthropologists and psychologists, some re-
mann’s words, “early mankind and the matriarchal stage are
ligion scholars have approached goddess worship from a phe-
not archaeological or historical entities, but psychological re-
nomenological perspective. Joseph Campbell for instance, in
alities whose fateful power is still alive in the psychic depths
his monumental four-volume work The Masks of God takes
of present-day man.” Neumann posits a matriarchal stage se-
a Jungian approach to goddess worship. While he sometimes
quentially preceding patriarchy at the psychic level. This
uses caution in connecting goddess worship with a matriar-
stage in the evolution of the human psyche is represented by
chal stage in cultural evolution, at other times he perpetuates
belief in the Great Goddess. A strange contradiction perme-
the nineteenth-century hypotheses of primitive matriarchy.
ates Neumann’s work; on one hand he discounts Bachofen’s
E. O. James (1959) vacillates between a purely historical de-
sociological argument for matriarchy, but at the same time
scription of different goddesses in their cultural contexts and
he praises Briffault for having “discovered the fact (which is
generalizations that border on a universal psychic unity ap-
still insufficiently recognized) that early culture is in very
proach, much like Erich Neumann’s.
high degree the product of the female group” (p. 281). At
CONTEMPORARY ISSUES IN THE STUDY OF GODDESS WOR-
the methodological level, Neumann admits to removing doc-
SHIP. After nearly thirty years without a major work on god-
uments and images of goddess worship from their cultural
dess worship, there has been a revival of interest in the topic
contexts. He rationalizes this methodology by asserting that
from three quarters—anthropology, religious studies, and
psychohistory (a set of stages in the development of the
feminist scholarship. Several new books have been published
human psyche) does not necessarily parallel historical events
on goddess worship in the early 1980s. The work Mother
in a linear way. Despite such methodological curiosities,
Worship: Theme and Variations (1982), edited by the author
Neumann’s work represents one of the most comprehensive
of this article, utilizes current data generated by anthropolo-
treatments of goddess worship ever assembled by a Western
gists to address the topic. Another volume, The Book of the
scholar. Not only does he demonstrate the great variety of
Goddess: Past and Present (1983), edited by Carl Olson, is a
forms manifested in the phenomenon of goddess worship,
collection of articles by historians of religion and feminist
he reveals the “transformative” nature of this religious im-
scholars. Goddess worship is a central theme in the Autumn
pulse. He sketches out four manifestations of the Great
1983 issue of Signs: Journal of Women in Culture and Society,
Mother archetype: (1) the Good Mother (associated with
which is devoted to the study of women and religion. This
childbearing, vegetation mysteries, and rebirth); (2) the Ter-
recent revival of interest in goddess worship is due to three
rible Mother (linked to death, dismemberment, sickness, and
main factors: (1) a new interest in the old matriarchy contro-
extinction); (3) the Positive Transformative Goddess (related
versy, (2) an active discussion among feminists about goddess
to wisdom, vision, ecstasy, and inspiration mysteries); and
symbolism, and (3) the emergence of a new comparative
(4) the Negative Transformative Goddess (connected to re-
religions.
jection, deprivation, madness, and impotence). Any female
The matriarchy controversy. The issue of primitive
deity can be classified as one of these four functions of the
matriarchy, which once plagued the study of goddess wor-
archetype; some goddesses can be placed in more than one
ship, has not disappeared. Some modern writers continue to
of these categories.
assume there was an early historical phase when females
dominated males. They cling to the notion that goddess wor-
There has been no major work on the topic by a single
ship is a remnant of that earlier period. The controversy con-
author since Neumann’s classic treatment of goddess wor-
tinues to stir lively debate among popular writers, though
ship in the mid-1950s. There are several reasons for this.
many scholars think the issue is a dead one.
First, the works of Neumann and Briffault, who wrote in the
twentieth century, reflect the nineteenth-century approach
Most contemporary historians of religion accept the an-
to comparative religions, which relished the fabrication of
thropological view that a stage of matriarchy never existed.
elaborate and ambitious theoretical frameworks for the study
However, a few scholars of eminent stature like Joseph
of complex phenomena. Also significant is the emergence of
Campbell (in Bachofen, 1967, p. lv) continue to support
scientific anthropology, which, until recently, has stressed
Bachofen’s idea of an age of “mother right” that preceded pa-
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GODDESS WORSHIP: THEORETICAL PERSPECTIVES
3613
triarchy. They insist that this has been “confirmed irrefut-
Even scholars who reject the existence of a historical
ably” by archaeological evidence. Although most feminist
stage of matriarchy sometimes insist that the symbolism of
scholars today agree with the anthropological position, there
goddess worship can provide information about the history
remain a few articulate feminist authors who continue to per-
of female social roles. Some feminists argue, for instance, that
petuate the idea of an original matriarchal stage. An example
the absence of female sacred imagery in Judaism, Christiani-
of this genre is Starhawk’s The Spiral Dance: A Rebirth of the
ty, and Islam is due to the repression of women in Western
Ancient Religion of the Great Goddess (1979), in which the au-
societies. This attempt to draw a parallel between the gender
thor discusses a rediscovery of the ancient “matrifocal civili-
of sacred images and women’s roles is misguided. Occasion-
zations” and the “falsehoods of patriarchal history.” Accord-
ally the two may parallel each other, but the social role of
ing to Sally R. Binford (1981, pp. 150–151) the belief in
women may directly contradict or differ significantly from
early matriarchies has taken a religious form for some femi-
that suggested by a religion’s sacred imagery. A study of
nists; mother-goddess worshipers in Los Angeles, for in-
Hindu goddess worship does not allow us, for instance, to
stance, have become organized into a church with a temple
predict with any certainty the relationship of women to men
and priestesses. They believe that the archaeological data that
in Indian society. This same point is made by the historian
refute their position reflect a conspiracy against women
and women’s studies specialist Judith Ochshorn (in Olson,
among professional archaeologists. Binford calls this move-
1983, p. 18) in her 1982 study of the Middle Eastern god-
ment a “New Feminist Fundamentalism.”
dess Ishtar. According to this scholar, the Near Eastern dei-
ties were heavily anthropomorphized. Sometimes they re-
The only other scholars to take primitive matriarchy
flected the reality of social roles in the Middle East, but more
seriously in recent decades were Soviets, who espoused
often they represented a different concept of community—as
Friedrich Engels’s outdated nineteenth-century notions.
exemplified by the frequent instances of incest among the de-
Alexander Marshack (1972, pp. 338–339) cites Soviet ar-
ities, a totally foreign idea in the social reality of that period.
chaeologists who interpreted Upper Paleolithic mother-
goddess figurines as confirmation of the existence of early
Today most scholars of comparative religions, including
matriarchal hunting societies organized around totemic clans
feminists, would agree that primitive matriarchy is a myth.
controlled by women. According to Marshack, this view is
This does not preclude continued research on male and fe-
simplistic, a distorted interpretation of complex data. He in-
male roles in prehistoric societies. Because fieldwork has not
sists that the goddess images from the Upper Paleolithic era
confirmed the existence of even a single matriarchal society,
are evidence for symbolic processes “extremely variable in
the matriarchy controversy is a quasi-religious issue that has
meaning and use and that they played a number of special-
no place in the serious study of goddess worship. Far more
ized and generalized roles across the complex, integrated,
important is the contemporary scholarship of feminists who
time-factored culture. . . . These facts do not confirm a
seek to deepen the understanding of the relationship of
matriarchy.” Marshack adds one final but crucial note to his
human nature to religion without invoking dubious nine-
argument: the era was also marked by a separate, specialized
teenth-century issues like primitive matriarchy. In much of
masculine imagery and complex animal mythology, and the
this work women are searching for a new focus of identity
female figurines must be considered in this context. Thus,
in the modern world. Goddess worship has been intimately
Upper Paleolithic society was neither matriarchal nor patriar-
linked to this quest.
chal, despite Marxist claims to the contrary.
The feminist revival of goddess worship. One reason
There is no anthropologist today who would argue for
for the increasing popularity of goddess worship as a subject
a stage of matriarchy associated with goddess worship. It has
of inquiry is the expanding influence and scholarly develop-
been refuted on many occasions by anthropologists of all the-
ment of women’s studies. According to Carol Christ (in
oretical persuasions, including Marxists and feminists. In a
Olson, 1983, p. 235) feminist writings about the gender of
brilliant argument against the matriarchy theory, Carolyn
deities reflect two distinct types of argumentation: (1) reli-
Fluehr-Lobban (1979, p. 343) notes three errors committed
gions that stress the maleness of the supreme being deify the
by scholars who insist on perpetuating this myth: They mis-
masculine principle and see it as the only source of legitimate
takenly assume that (1) the presence of female deities is evi-
authority; (2) the attribution of male qualities to deities re-
dence of matriarchy, (2) matrilineal societies are survivals of
flects distorted concepts derived from alienated male experi-
an era of matriarchy, and (3) matrilineality and matriarchy
ence in Western societies. Feminists who use the first argu-
are related to each other. According to Binford (1981,
ment stress the need to eliminate masculine pronouns and
pp. 152–153) all these ideas are false and misleading. In fact
gender-specific titles from Jewish and Christian scriptures
the myth of matriarchy is damaging to the cause of feminists.
and liturgy to restore authority to women. Feminists who as-
Women are not freed by perpetuating the myth. The idea
sert the second argument oppose this simple solution because
that the type of complex social organization required for ma-
in their eyes the distorted male image of divinity in Western
triarchy could be found among prehistoric societies is so pa-
religions cannot be removed by merely changing gender-
tently ridiculous as to be a source of embarrassment for seri-
specific language. They argue that the symbolism will remain
ous scholars pursuing the study of religion.
biased because of the dualistic, conquest-oriented, patriar-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3614
GODDESS WORSHIP: THEORETICAL PERSPECTIVES
chal, and hierarchical infrastructure that underlies these
century armchair theoreticians has come to an end. This is
male-oriented religions.
reflected in a new comparative religions, which focuses once
again on the main themes of human religious experience. In-
Carol Christ (in Olson, 1983, pp. 238–248) presents a
stead of working from a dubious, in fact erroneous, data base,
schematic view of feminist solutions to the problem of gen-
the new comparative religionists are treating these universal
der in the worship of deities. According to this scholar, there
themes with the benefit of more than fifty years of extensive
are four approaches advanced by feminist theologians to re-
field work conducted in various cultures by cautious social
solve the problem of male symbolism of God: (1) male sym-
scientists. Since the mid-1970s social scientists and religion
bols of God can be reinterpreted in nonoppressive ways;
specialists have been working together more closely. The re-
(2) language used to refer to God can be made androgynous;
sult is the publication of numerous volumes devoted to the
(3) female symbolism for the Supreme Being must be intro-
main themes of religion, such as sacrifice, death, rebirth, rites
duced in order to create an imagery that reflects dual gender;
of passage, the evil eye, pilgrimage, and goddess worship.
(4) male symbolism must be deemphasized to provide an op-
These new works are neither too speculative nor overly cau-
portunity for the Great Goddess, whose existence has been
tious about exploring panhuman dimensions of religious ex-
obscured by this symbolism, to reclaim her ascendancy.
perience.
Western feminists are experimenting with many different
ways to introduce female sacred imagery into Judaism and
One of the most widely publicized and heavily attended
Christianity.
sessions at the American Anthropological Association meet-
Those feminists who believe sexism to be an integral
ings in San Francisco during 1975 was entitled “Anthropo-
part of Western religions want no part in saving them from
logical Inquiries into Mother Worship.” This session result-
what they see as built-in sexist biases; instead, they advocate
ed eventually in an edited volume on the topic (Preston,
a reemergent goddess worship as a focus of religiosity appro-
1982).
priate to complex modern life. These feminists are actively
The mid-1970s marked a watershed in the anthropolog-
developing extensive experimental liturgies for raising con-
ical study of religion. Since that time some anthropologists
sciousness about goddess worship, both as it existed in antiq-
have been about the business of synthesizing a vast amount
uity and in religions outside of Western civilization. Thus,
of data accumulated over the years on various dimensions of
goddess worship and imagery are considered to be the focus
religion. Much of this new information was isolated previ-
of a new power for women rooted in the women’s liberation
ously in the contexts of specific ethnographies devoted to the
movement and grounded in a new symbol system. The Spiral
elaboration of particular cultural descriptions. The large
Dance by Starhawk is a recipe for the rebirth of an “ancient
numbers of people who attended the session on goddess wor-
religion of the Great Goddess.” It reflects the conviction
ship in San Francisco were not attracted by any “star quality”
among some feminists that goddess worship is a source of
scholars making their usual erudite presentations, but rather
strength and creativity for women, and also provides an anti-
the time was ripe for introducing once again a topic that had
dote to the regrettable patriarchal “conquest of nature”
remained more or less dormant for several decades. An exten-
theme that characterizes Western thought.
sive amount of data had been gathered on goddess worship
The debate among feminists about these social and
in many different cultural contexts, and no one knew what
theological issues has been a healthy source of revitalization
to do with it. Scholars were seeking a new frame of reference.
not only in terms of the reawakening of the study of goddess
Historians of religion had been synthesizing the work of an-
worship but also in terms of scholarly inquiry into assump-
thropologists for years. It was now time for anthropologists
tions about human nature that lie at the heart of Western
to return to their original task of making sense of a topic like
religions. The growing literature in this field promises to
goddess worship by placing it in a comparative framework.
shed new light on the role of goddess worship in the contem-
The new approach to goddess worship, though cau-
porary world. Consequently, one can expect a steadily in-
tious, strives to retain a delicate balance between cultural
creasing growth in the amount of research on the veneration
context and the broader panhuman issues that continue to
of female deities, deriving particularly from the work of those
be vital in the comparative study of religion. Despite the
contemporary feminists who are intentionally constructing
early years of ambitious speculation and the later period of
new myths to transform traditional patterns of goddess wor-
overcautious skepticism, many questions about goddess wor-
ship into forms that give women a stronger sense of their
ship remain unanswered. More knowledge about the rela-
own identity, power, and meaning in the modern world.
tionship between male and female deities is needed. Why in
Thus, the feminist movement is a major contributing factor
some religions are female sacred images almost totally absent?
in the revitalization of goddess worship as a topic of inquiry
What about the role of goddess worship in the development
among popular writers and scholars in different disciplines.
of complex forms of social organization? Why do female sa-
The new comparative religions. A significant new di-
cred images continue to thrive, even in Communist coun-
rection is developing in the social sciences after the long siege
tries where religion is not officially sanctioned? How do the
of behaviorism in psychology and historical particularism in
personal religious experiences of devotees who turn to god-
anthropology. The revolt against the errors of nineteenth-
desses differ from those who turn to male gods for answers
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GODDESS WORSHIP: THEORETICAL PERSPECTIVES
3615
to their prayers? Why is goddess worship associated with
Campbell, Joseph. The Masks of God, vol. 1, Primitive Mythology.
such great antiquity? How does the worship of female deities
New York, 1959. This work explores the early Upper Paleo-
fit into the postindustrial world? The new comparative reli-
lithic and Neolithic roots of goddess worship. It represents
gions, with its balanced perspective that incorporates ques-
the Jungian orientation toward a universal Great Goddess.
tions of panhuman and culturally specific levels of analysis,
Somewhat dated but useful as a secondary source if read
critically.
has been another stimulus for the revitalization of major
themes of religious significance shared by human beings the
Campbell, Joseph. The Masks of God, vol. 2, Oriental Mythology.
world over.
New York, 1962. This work is encyclopedic in scope and re-
fers frequently to goddess worship in Eastern religious tradi-
No single theory is adequate to explain the multifaceted
tions. Much Jungian generalization here, but still useful.
phenomenon of goddess worship. What deeply felt impulse
Fluehr-Lobban, Carolyn. “A Marxist Reappraisal of the Matriar-
is there that continuously kindles the veneration of female
chate.” Current Anthropology 20 (June 1979): 341–360. An
sacred images for thousands of years among human popula-
excellent discussion of current anthropological thinking on
tions? Are Victor Turner and Edith Turner (1978, p. 236)
the matriarchate with implications for goddess worship. Par-
correct when they ask whether the resurgent interest in fe-
ticularly important is the author’s attack on the idea that
male sacred images during the modern era is an index of dis-
goddess worship represents an epoch of mother-rule in
content with male iconoclasm, technology, progress, and
human history.
bureaucratization? Elsewhere this author has written (Pres-
James, E. O. The Cult of the Mother Goddess. New York, 1959. A
ton, 1982, pp. 340–341) that the loneliness of urban life, the
thorough discussion of goddess worship derived from archae-
contemporary emphasis on independence, the fast pace of
ological and documentary evidence for the Middle East, the
technological society, and the radical severing of human-
eastern Mediterranean, and India. An excellent source al-
kind’s relationship with the earth have left people in pos-
though some of the interpretation is dated.
tindustrial societies with a deep sense of disenchantment that
Marshack, Alexander. The Roots of Civilization. New York, 1972.
is perceived to have the potential to be healed by a return
An outstanding analysis of Upper Paleolithic data on goddess
to sacred qualities, which are often considered to be best ex-
worship, suggesting the phenomenon is part of a complex
pressed through a divine mother image. Even if one does not
notational system rather than merely fertility symbolism.
agree with the Jungian idea of a feminine archetype, all hu-
While Marshack’s thesis may be controversial, the volume is
mans understand the mother-infant bond and recognize the
a rich source of information and remains a major scholarly
contribution.
related universal symbol of the womb as mother of life. The
worship of female sacred images is deeply entwined with a
Neumann, Erich. The Great Mother: An Analysis of the Archetype.
panhuman experience of this primary bond. While not every
2d ed. Princeton, N.J., 1963. This is one of the most com-
prehensive discussions of goddess worship ever written. It
incidence of goddess worship is an expression of the attempt
represents the most thorough treatment of the subject from
by humans to return to the primary bond of origin, there can
a Jungian psychological perspective. While some of the inter-
be no doubt this theme underlies the strong continuity of
pretation is overly speculative, it is still a valuable resource.
goddess worship expressed in so many different forms and
Olson, Carl, ed. The Book of the Goddess, Past and Present: An In-
in such great profusion throughout the world.
troduction to Her Religion. New York, 1983. This is one of
S
the most recent volumes dedicated to the study of female dei-
EE ALSO Archetypes; Women’s Studies in Religion.
ties. The contributions to this book represent a wide variety
of studies of goddess worship written by historians of religion
BIBLIOGRAPHY
and feminists. The articles are uneven; some are excellent,
Bachofen, J. J. Myth, Religion, and Mother Right. Translated by
others poor. The editor does not supply an overall synthesis
Ralph Manheim. Princeton, 1967. A selection of writings
or index.
translated from Bachofen’s Mutterrecht und Urreligion. Here
Bachofen elaborates on his controversial but dated theory as-
Preston, James J., ed. Mother Worship: Theme and Variations.
serting a predetermined universal stage of matriarchy associ-
Chapel Hill, N.C., 1982. This volume is the most compre-
ated with goddess worship.
hensive and up-to-date collection of data about goddess wor-
ship in the field of anthropology. Particularly useful as a
Binford, Sally R. “Myths and Matriarchies.” Anthropology 81/82
source of primary data from firsthand fieldwork on the phe-
1 (1981): 150–153. A brief but excellent critique of the cur-
nomenon with a comprehensive introduction and conclu-
rent matriarchy controversy. The author is critical of the
sion discussing contemporary issues in the study of female
branch of feminists who cannot accept the fact that there is
sacred images.
no evidence for matriarchy. An important source for illus-
trating the error of predicting sex roles through analysis of
Starhawk. The Spiral Dance: A Rebirth of the Ancient Religion of
sacred images.
the Great Goddess. San Francisco, 1979. The author attempts
Briffault, Robert. The Mothers (1927). Abridged by Gordon R.
to revitalize goddess worship as a focus of worship for femi-
Taylor. New York, 1977. A classic last attempt to argue for
nists. Though erroneous assumptions are made here, the
the nineteenth-century idea linking goddess worship with
basic thrust of attempting to develop new forms of religious
matriarchy. This voluminous work is outdated. It no longer
expression is important.
represents the thinking of contemporary social theorists on
Turner, Victor, and Edith Turner. Image and Pilgrimage in Chris-
the topic.
tian Culture. New York, 1978. An excellent treatment of var-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3616
GODS AND GODDESSES
ious Marian shrines within the context of pilgrimage. One
does not mean that it was originally a matriarchy, for exam-
of the few anthropological studies of Christianity.
ple. It seems that myths about the gods and goddesses cannot
Warner, Marina. Alone of All Her Sex: The Myth and the Cult of
be taken as direct reflections of human historical experiences.
the Virgin Mary. New York, 1976. An excellent study of
At the same time, careful study of the changing visions of the
Marianism attacking the erroneous idea the female sacred
divine beings may suggest some facets of the dynamics of so-
images and women’s roles are equivalent.
cial change within a particular community of people. For ex-
Wasson, R. Gordon, Carl A. P. Ruck, and Albert Hofmann. The
ample, a change in dominance from one god or goddess to
Road to Eleusis. New York, 1978. A controversial and provoc-
another may reflect the rising power of a particular group
ative discussion of the Greek mystery religion suggesting the
within the society with its mythological concerns. Or a
possible use of psychotropic drugs.
change in a particular goddess or god’s function could con-
New Sources
ceivably reflect new needs and concerns on the part of the
Beckman, Gary. “Goddess Worship: Ancient and Modern.” In A
people.
Wise and Discerning Mind: Essays in Honor of Burke O. Long.
Edited by Saul M. Olyan and Robert C. Cully, pp. 11–23.
Another issue questions whether it is possible to identify
Providence, 2000.
the “original” function of certain goddesses and gods, in con-
trast to added or accumulated functions, or to distinguish be-
King, Karen L., ed. Women and Goddess Traditions: In Antiquity
tween “primordial” gods, on the one hand, and lesser spirits
and Today. Minneapolis, 1997.
or deified humans, on the other. While these distinctions can
Mor, Barbara, and Monica Sjöö. The Great Cosmic Mother: Redis-
provide valuable insights, they can also be misleading. Al-
covering the Religion of the Earth. San Francisco, 1987.
though certain central functions may stand out, like those
Orr, Leslie C. “Recent Studies of Hindu Goddesses.” Religious
of creator, warrior, or fertility giver, often a particular god-
Studies Review 25, no. l (1999): 239–246.
dess or god displays a number of functions, and it cannot be
JAMES J. PRESTON (1987)
determined with certainty which should be considered the
Revised Bibliography
original or primordial. In fact, most divine beings are highly
complex and are perceived to meet the needs of the people
in a variety of ways.
GODS AND GODDESSES. In human religious ex-
In the last several years this discussion has been carried
perience, manifestations of sacred power (hierophanies) pro-
on particularly by feminist scholars who have focused a great
vide centers of meaning, order, worship, and ethics. Humans
deal of study on goddesses, with results that have enhanced
have always felt that real life is in close contact with sacred
our understanding of the importance, richness, and com-
power, and that sacred power is often encountered in the
plexity of the individual goddesses. Earlier scholarship em-
form of divine beings. Ideas and experiences of these god-
phasized the importance and variety of male gods while
desses and gods thus are not so much intellectual reflections
stereotyping goddesses as secondary and limited to mother-
as existential concerns, revolving around the fundamental
ing and fertility functions. But feminist scholars have
human questions of life in this world. The manner in which
brought the study of goddesses to the fore and shown con-
the divine beings are imagined and experienced, and the par-
vincingly that they are no less important in power and sover-
ticular types, functions, and personalities of the divine be-
eignty than male gods, and they are equally diverse in their
ings, depend on the cultural context of the particular com-
functions.
munity of people.
One central issue is the question whether there was, in
Gods and goddesses fit most aptly into what have been
the prehistorical period, one unified Great Goddess (e.g.,
called polytheistic cultures, where the divine reality has not
Mother Earth) that is somehow revealed or expressed in the
been unified into monistic or monotheistic systems. Monis-
various goddesses of the different peoples. J. J. Bachofen gave
tic views still allow for goddesses and gods as manifestations
impetus to this theory in Das Mutterecht (1861) by arguing
or emanations of one divine reality, whereas a monotheistic
that mothers ruled over families in the prehistoric era. Other
worldview absorbs their functions as attributes of the one
scholars, such as Sir James Frazer in The Golden Bough
God, or downgrades them to helpers, such as angels or saints.
(1911–1915), Erich Neumann in The Great Mother: An
This article will focus on the major types of gods and god-
Analysis of the Archetype (1955), and E. O. James in The Cult
desses in the cultures in which plurality of divine beings is
of the Mother Goddess (1959), established the idea that the
taken for granted.
cult of the Mother Goddess was prevalent throughout the
Scholarly discussion on gods and goddesses has raised
ancient world and that it reflects an essential human arche-
a number of issues. One question has to do with the relation
type. Archaeologists James Mellaart and Marija Gimbutas ar-
between gods and human society. Even though the goddesses
gued that evidence from archaeology supports the theory
and gods of a particular society necessarily reflect the values
that the cult of the Great Goddess was reflected in the female
and traditions of that society, one cannot assume direct cor-
figurines and other feminine symbols which dominated these
respondences between the mythological divine world and
societies. Gimbutas put forth the view that peoples of ancient
humans. Just because a society emphasizes a mother goddess
Europe and the Near East were devoted to the worship 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
GODS AND GODDESSES
3617
the Mother Goddess in her various forms and lived in matri-
their social, political, economic, and cultural experience in
archal, peaceful societies. They were disrupted and changed
a living process.
by the invasion of war-like Indo-Europeans, who brought
In considering the morphology of goddesses and gods
their male gods and established patriarchal, violent societies.
across various cultures, the modalities by which the sacred
Many feminist scholars, through extensive critical inves-
is experienced are embedded in the structures of nature itself
tigations of goddesses in past and present world religions,
and in the structures of human life. Almost every significant
have questioned this theory of a unified Great Goddess be-
reality in human experience has been seen in one culture or
hind all goddess figures, and of the societal changes that took
another as the arena of a sacred manifestation: sky, earth,
place. These scholars, such as Lucy Goodison and Christine
sun, moon, mountains, water, hunting, planting, sexuality,
Morris in Ancient Goddesses: The Myth and the Evidence,
washing, childbirth, eating, rulership, war, death, and so
argue that the theory that all goddesses represent mother or
forth. Some common cross-cultural themes exist in the way
fertility power actually constricts and diminishes their role.
peoples of the world have envisioned gods and goddesses.
Rather, they find goddesses representing the whole range of
Since their power meets human existence precisely at the
divine functions—creators, rulers, warriors, fertility-givers,
most vital and crucial areas of life, humans experience these
promoters of sexuality, mistresses of animals, bringers of de-
divine manifestations in concrete, compelling forms. The
struction and death, among others. And they show that male
goddesses and gods thus revealed are felt to have efficacious
gods also include so-called feminine functions such as giving
power, personality, and will. The fact that the divine beings
birth, nurturing, and bringing peace. The emphasis in this
have personality and will is rooted in the sense that human
scholarship is not on uncovering a unified Goddess arche-
existence is not just aimless and haphazard but is related to
type, but on recognizing the complexity, diversity, and sig-
the sacred pattern created or structured by the will of the
nificance of goddess figures in the cultures of the world, past
gods and goddesses.
and present.
Each people’s system of gods and goddesses depends on
Yet discussion of the Great Goddess still plays a signifi-
their traditional cultural context, for deities are always envi-
cant role in some contexts. Hindus, with their full array of
sioned in ways appropriate to a culture. For example, divine
goddesses, have long speculated about one Great Goddess
beings in archaic hunting societies include ancestors, sky and
(Maha¯dev¯ı), manifested in various goddesses, including
astral gods, and representations of mother-type goddesses.
Pa¯rvat¯ı, Laks:m¯ı, S¯ıta¯, Durga¯, and Ka¯l¯ı, while at the same
But most characteristic of hunting cultures are sacred beings
time exulting in the individual aspects and activities of these
associated with animals: culture heroes in animal form and,
goddesses. A significant appropriation of the idea of the
above all, masters and mistresses of animals. These are pow-
Great Goddess has also taken place in the contemporary
erful gods and goddesses who represent the sacred as experi-
western movement variously called Goddess Spirituality,
enced in the people’s relationship to animals.
Goddess Religion, and Women’s Spirituality. Growing out
Planting cultures also know animal forms of gods, but
of feminism, Goddess Spirituality resonates to the perception
here earth gods of fertility come to the fore. Earth goddesses
of the Great Goddess, affirming women’s bodies and lives
and gods are creators and givers of life, appearing also in veg-
and providing powerful images of the mysteries of life and
etarian goddess forms as, for example, Mother of Grain. At-
death, regeneration, creativity, and the divine force in all of
mospheric gods—storm and sun—are important in that they
nature.
fertilize the earth goddess and bring fecundity. Dying and
HISTORY AND MORPHOLOGY OF DIVINE BEINGS. To under-
rising deities often symbolize the cycle of vegetal fertility. An-
stand the full dimensions of gods and goddesses in the vari-
cestors or culture heroes are important as the divine beings
ous cultures of the world, it is helpful to keep in mind both
who originated cultivated plants.
the cultural history and the morphology of human involve-
Pastoral peoples are of many types and often include
ment with what they have considered sacred beings. Histori-
some planting activities in addition to keeping their herds.
cally, all the different deity forms that have developed need
Sky and atmospheric gods tend to be supreme among these
to be understood and related to the cultural areas in which
peoples. But they also revere divine powers associated with
they are at home. People of each particular culture choose
herds of animals, because sacred life-giving power comes to
certain types of sacred modalities as strong and efficacious,
the people especially in relation to their herds.
and these modalities define the goddesses and gods as they
are experienced and described within that culture. There is
Cultures that have developed beyond these archaic levels
always an ongoing process of revaluation of the gods and
create very complex pantheons of goddesses and gods. For
goddesses, even in archaic cultures that seem to change very
example, agricultural city-state societies like those of ancient
little over long periods of time. The modalities of the sacred
Egypt, Mesopotamia, Greece, or Mexico typically have a hi-
are dynamic, one form diminishing in importance or becom-
erarchical pantheon ruling over the city-state through a
ing absorbed into another form, while new experiences give
human ruler, the pantheon mirroring in some respects the
strength to other forms of the sacred. The way in which the
various functions of the city-state. The complex civilizations
people envision the gods and goddesses reflects something of
established throughout Europe and Asia by Indo-European
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3618
GODS AND GODDESSES
peoples retained some elements of the early pastoralist gods
rain, and sees and hears all. The Yoruba sky god is O:lo:run,
but greatly expanded and developed these pantheons as they
an almighty, immortal, all-knowing creator. An of ancient
interacted with the religious traditions of the indigenous
Mesopotamia is the supreme authority in the sky, presiding
peoples in their various settlement areas.
over the assembly of the gods. Varun:a of Vedic India is visi-
ble everywhere, with the wind as his breath; he gives rain and
In most cultures the plurality of divine powers is under-
thunder and is all-knowing, thousand-eyed, and is the uni-
stood to operate as some sort of pantheon, a system of gods
and goddesses functioning as a sacred community. Panthe-
versal king and the guardian of cosmic order. Ahura Mazda¯,
ons arise from the experience of the sacred in different arenas
the Iranian supreme god, and Zeus, who became the high
of nature and society. They change over time as some func-
god of the Greeks, retain this celestial character of sovereign-
tions become more important and others less so, reflecting
ty, as do the related sky gods Jupiter of the Romans and
dynamic changes in social groups and culture. Often a pan-
Óðinn (Odin) of the Scandinavians. Among the ancient
theon has some kind of hierarchal structure based on the dif-
Chinese, Tian (Heaven) was considered the upholder of the
ferent functions of its goddesses and gods. There may be a
universal moral order. Hathor, mistress of the sky in ancient
sovereign or head of the pantheon, for example, a father of
Egypt, was closely identified with the king’s sovereignty, and
the gods (such as DEl for the ancient Canaanites) or a great
another sky goddess, Nut, extended that sovereignty to the
goddess who ranks first before all in power and authority
journey into the afterlife. These sky gods and goddesses also
(such as Amaterasu in early Shinto¯). Sometimes the head of
take on many other specialized functions.
the pantheon is envisioned as old or remote, and the vital
Meteorological gods and goddesses. Deities associated
functions of maintaining life and order are performed by
with meteorological and atmospheric phenomena often rep-
other powerful, immanent gods and goddesses. The pan-
resent specialized functions or attributes of the supreme sky
theon functions as a particular culture’s way of understand-
god. Important among these are, first of all, the storm and
ing the various experiences of the sacred in a symbolic sys-
wind deities. Moving away from sovereignty and transcen-
tem, providing orientation and unity to human existence in
dence, they express fecundity, creative force, rain-providing
a world made up of a plurality of divine wills.
power, epiphanies of force and violence and war, sources of
TYPOLOGIES OF GODDESSES AND GODS. In order to sketch
energy for nature and for civil order. An, the Mesopotamian
the rich scope of divine beings in human history and culture,
sky god, in this aspect is called the “fecund breed-bull”; he
two somewhat different perspectives on gods and goddesses
manifests his powers in the spring sky with thunder and fer-
are explored here: a cosmic typology and a social typology.
tilizes Ki (Earth) with rain. In this form, too, appear such
The cosmic typology outlines some of the epiphanies of sa-
great storm gods as Enlil of Mesopotamia, Indra of India,
cred power through the structures of the cosmos and the or-
Min of ancient Egypt, Baal and Hadad of the Northwest
ganization of these divine forms. The social typology ex-
Semites, Marduk of Babylon, and Þórr (Thor) of Scandina-
plores sacred beings in relation to functions in vital areas of
via. While the supreme sky god is quite remote and transcen-
human society and culture.
dent, these storm gods become more immanent: Varun:a the
Cosmic goddesses and gods. Many religious traditions
sky god becomes old and feeble, and Indra takes over; DEl is
expressly recognize a cosmic typology of gods and goddesses.
sometimes pictured as old and impotent, and Baal moves to
The Greeks divided their gods into the Olympians and the
central stage as the fecundator. The storm gods overflow
chthonic gods, and early Shinto¯ myths spoke of kami of
with strength and vitality, burst open the clouds for rain,
heaven and kami of earth. Deities of the Indo-European peo-
send fertility to the fields, and keep the cosmic forces going.
ples typically are related to the three realms (Skt., lokas) of
Wind and storm are destructive as well as fecundating, and
sky, atmosphere, and earth. In ancient Mesopotamian cul-
the ravages of such storm gods and goddesses as Þórr (Thor),
tures, gods had cosmic functions, such as An of the heavens,
Enlil of Mesopotamia, Anat of the Canaanites, Tlaloc of the
Enlil of the storm, and Enki, lord of the earth and waters.
Aztecs, Ngai of the Maasai, and S:ango of the Yoruba are
dreaded.
Sky gods and goddesses. Among cosmic gods, the sky de-
ities generally take precedence. Even the most primal, archaic
Sun divinities are meteorological sacred powers related
cultures know of a primordial supreme god who is mani-
to the sky, embodying and dispensing the power of life. The
fested in the vault of the sky. The characteristics of this god
sun god brings light, enlightenment and wisdom and is often
are drawn from the experience of the sky: this is the high god
characterized by unchangeability, stability, and order. Sha-
with authority over all, all-seeing and thus all-knowing, pres-
mash, sun god in ancient Mesopotamia, was considered god
ent everywhere and sovereign in power. The sky god is also
of oracles and diviners; Hammurabi called him the great
the ultimate creator and sustainer of everything, as well as
judge of heaven and earth, source of laws and order. In an-
the law-giver and moral overseer. At the same time this god
cient Egypt, the sun god, fighting against darkness and
is remote, a deus otiosus. Other goddesses and gods of the sky
chaos, was thought daily to conquer darkness and create light
and atmosphere are often thought of as helpers of the su-
anew. In many cultures the sun god or goddess plays the role
preme sky god. Tribes of southeastern Australia have a sky
of the supreme god; Re-Atum in ancient Egypt, Huitz-
god called Baiame, or Daramulun, who is self-created, causes
ilopochtli in Mexico, the sun god among various North
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GODS AND GODDESSES
3619
American Indians, and Amaterasu in Japan exemplify this.
The earth is the primary source and nurturer of all life,
The sun god also has the power to destroy, especially in de-
and it is also the sacred power that receives all life back again.
sert cultures; this god overpowers the living with heat and
Many human cultures have perceived a particularly signifi-
drought, devouring as well as generating life. The sun god
cant epiphany of the sacred associated with earth itself, some-
has connections with the underworld, like Re of ancient
times named Mother Earth. Hesiod states in his Theogony
Egypt who leads dead souls through the underworld, or Utu
that Gaia (Earth) first gave birth to Ouranos (Heaven), and
of Mesopotamia who acts as their judge during the nightly
the hierogamy between Gaia and Ouranos initiated the
journey.
whole process of life. Humans perceive that the earth itself
is endlessly creative but at the same time passive and indis-
Goddesses and gods associated with the stars and planets
tinct, the repository of a wealth of sacred forces. Manifest in
frequently are experienced as the eyes and/or ears of the sky
the very soil of the place where humans live, this earth type
god, lending themselves to the all-seeing and all-knowing
of goddess is expressed first of all in motherhood (that is, in-
qualities of the supreme god. The Masai of Kenya believe the
exhaustible fruitfulness) from very ancient times in human
sky-rain god Ngai has universal vision through his nighttime
experience. In the long saga of human life prior to the discov-
“eyes”; a falling star is one of the eyes of Ngai coming closer
ery of agriculture, various forms of mother goddesses played
to earth in order to see better. The sky god Varun:a is “thou-
an important role in the way humans understood their exis-
sand-eyed,” and the Samoyed sky god Num employs the
tence; the multitude of female figurines found from Paleo-
stars as his ears, through which he listens to the earth from
lithic cultures provides evidence of the importance of this
the boundless regions of the sky. Inanna, Sumerian goddess
power. And so it has continued through all human history.
of the morning and evening star (the planet Venus), was con-
Children come from the earth mother; the sick are regenerat-
sidered to be the source of the king’s power, one who
ed by being brought again into close contact with her; the
brought the arts of civilization to the city and death and res-
dead are returned to her womb. For example, Ala, worshiped
toration to life. The polestar (north star), because it appears
by the Igbo of Africa, is the source of fertility for the land
not to move, is seen in many cultures to represent divine
and the family, the abode of the ancestors, and the guardian
power of stability; in India, for example, newlyweds worship
of laws; barren women pray to her for children, and men ask
Dhruva (the polestar) as a source of constancy in marriage.
her for success in trade or increase in livestock. Throughout
The complicated movements of the stars and planets led the
human history, goddesses with mothering and nurturing
ancient Babylonians to associate them with divine beings
functions, together with fertility-giving functions, have been
who control events in nature and human life, an idea also
widespread, including both great goddesses widely wor-
expressed by the ancient Greeks and others.
shiped and countless local goddesses.
The moon waxes and wanes, disappears and reappears,
It is striking that often these creative, mothering god-
and thus its divine epiphany epitomizes mysterious power,
desses also have a dark side, seen as a source of violence and
change and transformation, death and rebirth, fertility and
death. For Hindus, the great goddess Ka¯l¯ı epitomizes the
regeneration. Frequently the moon manifests a fertility-
ravages of time and death, as she is pictured with bloody
giving goddess; this is true for Selene among the Greeks,
fangs and devouring mouth, a necklace of human heads, and
Rabie among the Wemale of Ceram, and Pe among the Pyg-
a skirt of human arms. She devours her children, and yet
mies. There are also lunar elements associated with many of
many Hindus worship her as loving mother. Equally grue-
the great goddesses who have other functions. While the
some are mother goddesses among the Aztecs, as, for exam-
moon deity is often thought to be a goddess, in some cultures
ple, Coatlicue, pictured with a skirt of writhing snakes, a
the moon is considered male, while the sun is a female divine
blouse of human hands and hearts, heads of serpents for
being, as, for example, Tsukiyomi and Amaterasu in Shinto¯
hands, claws for feet, with twin spurts of blood gushing from
mythology. The moon deity rules especially over the rhythms
her decapitated body. Her central creative act was giving
of life associated with the waters, rain, vegetation, and the
birth to the great war god Huitzilopochtli just as her four
fertility of earth and all women. At the same time, the moon
hundred children sought to kill her. Huitzilopochtli, born
goddess or god sometimes becomes the mistress or master of
fully grown and armed, slaughtered the siblings, providing
the dead, receiving those who die and regenerating them.
a central motif for the ritual human sacrifices at the Templo
Gods of the moon, such as Thoth of ancient Egypt, Nanna
Mayor of Tenochtitlan. Such goddesses demonstrate the
of ancient Mesopotamia, and Aningaaq of the Inuit (Eski-
human experience that creativity, life, and growth are inevi-
mo), measure time and regulate natural phenomena.
tably linked with violence, death, and decay.
Earth gods and goddesses. Earth deities form an impor-
Indistinct and unformed like the earth, yet similarly
tant and complex category of the cosmic typology. Basic
powerful, the fons et origo (font and origin) of all life is the
types include the various manifestations of the earth itself:
sacred power manifest in water. Water symbolizes the primal
waters, mountains, the great many hierophanies associated
reality from which all forms come and to which all forms re-
with animal forms and vegetal forms—all the divine aspects
turn. Nun in ancient Egyptian mythology, for example, is
that seem “given” in the powerful epiphanies of sacred earth.
the primordial ocean in which are the germs of all things.
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GODS AND GODDESSES
Rich in seeds, the divine water is homologized to semen and
Animal symbols of goddesses and gods include the cow in
fertilizes earth, animals, and women. Hapi, a male god of the
ancient Egypt, a manifestation of the sky goddess Nun; the
Nile, is often depicted with breasts to show that he is a bring-
fox Inari in Japan; the coyote in North America; the bear
er of life. Enki, Sumerian god of waters, helps to organize
among the Ainu; the buffalo among North American Indi-
and create the world and human life. Water also purifies and
ans; serpents and dragons in a great variety of cultures; and
regenerates, and so the Iranian water divinity Aradv¯ı Su¯ra¯
others, including caribou, elephants, dolphins, whales, and
Ana¯hita¯ is thought to purify humans and multiply flocks. A
eagles. Powerful deities in animal form are linked to rain
great many local cults are associated with springs, streams,
and storm, in particular the bull (Baal, Indra, Rudra, etc.),
and lakes in various religions. For Hindus, Gan˙ga¯ (the River
the thunderbird, and the dragon. Imaging the divinities in
Ganges) is a powerful goddess, nourishing the land and me-
animal form expresses a sense of close relation to the sacred
diating between this world and the divine world. The beauti-
life that sustains animals and humans alike.
ful Yoruba river goddess O:s:un bestows gifts of rulership and
With the agricultural revolution came also a revolution
wealth on the rulers of the towns and cities through which
in cosmic epiphanies, giving rise to various forms of goddess-
her river passes. Many of the most powerful deities of the
es and gods of vegetation, as well as giving new emphasis to
Ashanti are those associated with rivers and lakes; they can
the fertilizing male earth gods. Plant life is an epiphany of
cure sicknesses and social ills, but they also have destructive
sacred power. For example, in a bas-relief of Assur, the upper
powers. So water deities are ambivalent: water both generates
part of a god’s body is represented as coming out of a tree;
life and destroys it. There is a sense that the goddesses and
and a seal from the Indus Valley civilization depicts a divine
gods of the waters are capricious, randomly doing good or
being within a tree faced by a group of worshipers. Demeter
evil. Well known from Greek mythology is Poseidon, the un-
was a goddess responsible for grain for the ancient Greeks,
tamed and faithless god of the ocean; from his palace at the
and among the Cherokee the goddess Corn Woman is the
bottom of the sea he swallows the world and renews it in
origin of the corn plant. Among the Polynesians the growth
rhythmic cycles. In Scandinavian mythology, Ran, the sea
of plants such as banana trees and taros actually comes from
god Aegir’s wife, draws people down with her net. Sedna, the
the sacred concentration of power in the ancestral dema dei-
sea goddess of the Inuit, is the mother of sea animals, but
ties of the time of the beginnings. Characteristic of plant life
when humans violate taboos, she sends famine and destruc-
is the rhythmic cycle of death and birth, season after season,
tion with icy dispassion. Water gods and goddesses can be
and so the divinities of vegetation reflect this pattern of death
symbolic of chaos, taking the form of dragons and snakes,
and rebirth; this is true, for example, of Baal of the Canaan-
both destroying the world and bringing rain and fertility;
ites and Tammuz of Mesopotamia. Gods of phallic energy,
Apsu and Tiamat in Babylon, Prince Yamm in Canaan, and
such as the ancient Egyptian Min and the Indian S´iva, ex-
Vr:tra in India exemplify this duality.
press another aspect of the divine source of generative power.
Powerful epiphanies of earth deities are experienced
Gods and goddesses of the underworld. Chthonic dei-
through mountains, strong and distant pillars of heaven, sta-
ties live in the dark recesses of the earth and are especially
bilizing the earth and providing order and fertility. Most
related to the underworld. In some cases, the gods of the un-
mountains in Japan, such as Mount Fuji, are felt to be the
derworld are raging, destructive monsters who bring down
locale of kami presence; and Taishan in China is a divine
even the gods of life; such a figure is Mot in Canaanite my-
mountain that attracts extensive worship. S´iva is called “lord
thology. The ruler of the place of the dead is grim and dread-
of the mountains” in Hindu tradition, and his consort
ed; this is true of Hades in ancient Greece, Ereshkigal in
Pa¯rvat¯ı is “daughter of the mountains”; their favorite abode
Mesopotamia, and Seth and Nephthys in Egypt. Sedna, sea
is on Mount Kailash in the Himalayas. The ancient Hebrews
goddess of the Inuit, and Taishan, a mountain god of the
worshiped DEl Shaddai, apparently related to the mighty
Chinese, are cosmic divinities who receive the dead into their
mountains, and the Israelite god Yahveh was first encoun-
abodes. These goddesses and gods of the world of the dead
tered as the god of Mount Sinai. Mountains are the source
are ambiguous in the extreme: dreaded and avoided, they still
of life-giving springs and streams, and well as violent
have sacred powers that can assist people in this most critical
storms—and so many storm gods are linked with mountains,
passage of life. Often the deities of the underworld are related
such as Baal-Hadad among the Canaanites. Pele, goddess of
to the deities of life-giving power; Satene among the Wemale
volcanic fire in Hawaii, demonstrates the destructive aspect
of West Ceram is an example. After all, it is the divine moth-
of volcanic mountain epiphanies.
er who gives and nourishes life who also finally receives back
the dead. In illustration of this, figurines of pregnant god-
Reaching back to the dawn of human existence is the
desses have been found in prehistoric burial sites, providing
sense that the sacred is manifested in animal form. Epipha-
images of life-giving power within the realm of death.
nies are associated with animals that are powerful and terrify-
ing, those that exhibit wisdom or secret knowledge, those
Gods and goddesses of social functions. Much re-
that are symbolically connected with the power of the earth,
search has been done on the social functions of goddesses and
the moon, or the waters, and above all those that share sacred
gods, especially on the triad of functions common to Indo-
life-power with humans through their very flesh and blood.
European divinities: (1) a sovereignty function with magical
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GODS AND GODDESSES
3621
and juridical aspects; (2) a function of physical power and
see its order. For example, the dema deities of the myths of
bravery, especially in war; and (3) a function of fertility and
the Marind-anim of New Guinea create the vital aspects
prosperity. Georges Dumézil in particular has shown how
of human culture and morality by their actions in the time
this triad of functions penetrates all the societies that stem
of the beginnings. Ancestors often take the place of the high
from proto-Indo-European culture, although each culture
god as guardians of human morality, although the high god
went on to develop their divinities further. While this impor-
is recognized as the ultimate authority, the court of last re-
tant system of categorization is incorporated to some extent
sort. The high gods may have inspectors, like Es:u of the Yor-
in the social typology used here, it should be noted that this
uba and Satan of the Israelites (Job 1–2), to help in uphold-
scheme does not apply as readily to non-Indo-European cul-
ing the divine order.
tures. For example, many deities of the ancient Near East and
of Africa combine the sovereign and the warrior functions,
Goddesses and gods of protection and war. Gods who
and other ancient societies do not so clearly separate the
display physical power often function as gods of protection
food-producing class and its attendant deities from the war-
and war. This role is ascribed especially to cosmic storm god-
rior class and its gods. Most of the great gods and goddesses
desses and gods, such as Indra in the Vedas and Þórr (Thor)
of non-Indo-European peoples cannot be neatly pigeonholed
in Scandinavian mythology. Ancient Near Eastern cultures
into this triad of functional classes; thus the following catego-
have combined sovereign storm gods to function as divine
ries are amplified somewhat.
warriors and protectors; Marduk of the Babylonians and
Yahveh of the Hebrews are two such gods. Mars of the Ro-
Creators and guardians of society and order. Su-
mans is a classical god of war, protecting the state against its
preme or sovereign deities often are considered to be creators
enemies but also preserving fields and herds against damage
and preservers of society and order. Often the supreme god
and disaster. In Mesoamerica, the powerful warrior god Tez-
creates human society and originates and upholds cosmic
catlipoca collaborated in creating the world and is present ev-
and moral law. This god holds people responsible on the
erywhere, but he also promotes conflicts and induces people
basis of the moral design, judges them, and punishes them,
to transgress. Huitzilopochtli, Aztec war god and sun god,
either directly or through other deities who perform this
was born in full warrior regalia and killed threatening deities
function. In Vedic thought, the sky god Varun:a is the cos-
so as to renew world order. For the Yoruba, Ogun is god of
mocrator and also the upholder of r:ta, the cosmic and moral
hunting, iron-making, and war; in great festivals he is wor-
law to which all things are subject. In theistic Hinduism,
shiped by hunters, blacksmiths, and warrior chiefs, as well
Vais:n:avas see Vis:n:u as the originator and preserver of society.
as the king. Mixcoatl, central Mexican warrior god, was also
Kr:s:n:a, avata¯ra of Vis:n:u, advises Arjuna to fulfill the duties
worshiped as god of the hunt. Many goddesses, such as Athe-
of his warrior caste, for even Vis:n:u performs his dharma
na among the Greeks, Anat in Canaanite mythology, Sekh-
(duty) so that the worlds continue to function (Bhagavadg¯ıta¯
met in ancient Egypt, and Durga¯ in Hindu tradition, are also
3.3–24). Yahveh of the Hebrews both originates human soci-
presented as divine warriors and protectors.
ety and gives forth the law that governs all peoples. Jupiter,
the Roman high god, is the guardian of oaths, treaties, and
Deified humans rise to become gods of war and protec-
moral duty. Shangdi, “Lord Above,” worshiped by the Shang
tion, such as the famous Chinese general Guandi, who was
rulers in ancient China, sends both weal and woe in govern-
deified as the warrior protector par excellence. The Christian
ing the fortunes of the rulers. And Tian, “Heaven,” supreme
apostle St. James is known as Santiago in Spain, where his
deity for the Zhou rulers, provided a moral mandate for just
body was miraculously brought after his death; he became
rulers but withdrew it for those who were unjust. In Babylon,
the warrior saint for the Christian Spaniards, driving out the
the assembly of the great gods, having created humans as ser-
Muslims during the reconquest of Spain. Then Santiago was
vants of the gods, supervises human society and determines
invoked as the warrior-protector during the conquest of Me-
human destinies. Widespread among African peoples is the
soamerica, helping to defeat the Indians who resisted becom-
notion that the supreme god is the ultimate originator and
ing Christian. Gods can also appear in human form to de-
authority governing human life, even as other gods fulfill the
stroy evil, as do the avata¯ras of Vis:n:u, whom this high god
needs of everyday life. In Hindu tradition, the great goddess
sends out from age to age to battle the rise of evil in the
S´r¯ı Laks:m¯ı, embodying S´r¯ı (radiance, creative power), was
world.
thought to provide sovereignty and power to the kings in
their rule.
Overall, a great variety of goddesses and gods function
as divine protectors in every conceivable time of crisis: Castor
Sometimes the supreme god or gods create the first
and Pollux protect warriors for the Romans; in China the de-
gods, who then complete the creation. In Mesoamerican
ified girl who became Tianshang Shengmu (Holy Mother in
myths, the supreme dual creator god engendered several
Heaven), known popularly as Mazu, is the protector of sail-
sons, including Tezcatlipoca and Quetzalcoatl, who then cre-
ors; Min of ancient Egypt is the protector of travelers, as are
ated the universe and the other gods. In other mythic
the kami of the road in Japan and Saint Christopher in popu-
scenerios, the original humans are first produced and then
lar Christianity; and gods and goddesses all over the world
as divine culture heroes they complete the creation and over-
protect women in childbirth and children as they grow up.
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3622
GODS AND GODDESSES
Goddesses and gods of fertility and prosperity. Dei-
to kings and prosperity to subjects. And Gan:e´sa, the popular
ties promoting fertility and prosperity fit into an extremely
elephant-headed god, is widely worshiped as the overcomer
broad and diverse category; in fact, the majority of gods and
of obstacles and the bringer of good fortune. The human as-
goddesses take on some of these functions, and the remain-
piration is summed up in the Chinese popular triad, the
ing categories listed below could be included in a general way
Gods of Posterity, Prosperity, and Longevity.
in this basic category.
Domestic and community gods and goddesses. The
All the goddesses and gods associated with hunting and
center of concern for fertility and prosperity is the home, and
agriculture belong in this group. It is perhaps in securing and
many goddesses and gods dwell and function within it,
producing food that humans experience most deeply the in-
guarding the door, presiding over the hearth, sustaining mar-
terpenetration of divine cosmic powers and the divine forces
ital ties, and granting children—everything that makes for
of society and culture. In hunting cultures special impor-
happy home life. Hestia is the goddess of the hearth for the
tance is given to the hierophanies related to the animal herd
Greeks, as Vesta is for the Romans. Among the ancient Ary-
most essential to the survival of the people, such as bears,
ans, Agni, the god of fire, also presides over the family cult
reindeer, caribou, seals, and walruses. Sacred power mani-
of the hearth. Neith in ancient Egypt is skilled in the domes-
fests itself in mythological form as the master or mistress of
tic arts, as is Athena among the Greeks. For the Ainu of
animals; this god or goddess is an archetype of the herd, pro-
northern Japan, the fire goddess, Iresu-Huchi, presides over
tector and master of animal life, who also provides boons to
the home, giving peace and prosperity, receiving and keeping
humans, giving to them of the sacred life of the animals. The
children who have died. Traditional Japanese homes have
Caribou Man of the Naskapi Indians (of Labrador), the
images of Daikoku and Ebisu as protectors of the household,
Great Bull Buffalo of the Blackfeet Indians, and Sedna as the
and the Chinese have Zao Jun, the god of the cooking stove,
keeper of sea animals among the Inuit are examples of this
who watches over and brings prosperity to the family. For
type of divine being.
the Romans, the penates guard the storeroom, and the lares
guard the family estate boundaries.
Planting peoples associate the sacred work of planting
and harvesting with the deities who originate and continue
Beyond the home, local communities have gods of pro-
the powers of vegetal fertility. In West Ceram, myths tell
tection and prosperity. At the entrance to traditional Japa-
how the body of the goddess Hainuwele was cut up and
nese villages stands a stone image of the bodhisattva Jizo¯,
planted in the earth, where it changed into root plants that
erected for the protection and welfare of the village. And the
the people have continued to cultivate. Widely known is the
Chinese earth god Tudi Gong is worshiped in traditional vil-
Mother of Grain, exemplified by Demeter in ancient Greece
lages; he is the god rooted in the locality who keeps track of
as goddess of the cultivated soil, and Corn Woman of Native
village happenings and generally oversees the prosperity and
American tribes.
welfare of the community. For cities, there are the Gods of
Moats and Walls, to perform the necessary bureaucratic
A primary concern in the realm of fertility is human
functions in the divine realm. In India, most traditional vil-
procreation, and most societies have deities of love, marriage,
lages have a powerful local deity (gra¯madevata¯), usually a
and procreation. In Greek mythology, Hera, wife of Zeus,
goddess, celebrated in rousing festivals, thought of both as
is goddess of marriage, and Aphrodite and Eros are instiga-
village founder and protector and also occasional source of
tors of love. Ishtar of Mesopotamia and Hathor of ancient
disease and disaster.
Egypt are goddesses of love and procreation. Freyja in Scan-
dinavian mythology is at the same time divine lover/mistress
Gods and goddesses of healing, sickness, and death.
and wife/mother. All across China, the bodhisattva Guanyin
A major concern in human life has always been sickness and
is invoked to help women in conceiving and child-bearing.
death; appropriately many goddesses and gods operate in this
The central Mexican goddess Xochiquetzal was widely popu-
critical area. Some bring sickness and death, others cure sick-
lar as goddess of the arts, physical pleasure, and amorous
ness and protect the dead, and still others perform both func-
love. Popular Mexican conceptions of the Virgin Mary, espe-
tions. Well known is the Greek god Asklepios, who presides
cially La Virgen de Guadalupe, identify her with indigenous
over healing and medicine. In China, Baosheng Dadi was a
fertility goddesses who occupied the land prior to the coming
human doctor who after death became a god of medicine and
of the Europeans. Aborigines of Australia have myths about
healing. Traditional Japanese keep images of the Buddha
the Great Rainbow Snake who is responsible for human fer-
Yakushi, king of medicines, in their homes for health. Some
tility.
gods and goddesses specialize in bringing about sickness: the
Pakoro Kamui brings smallpox to the Ainu; Irra is the dread-
An extension of this divine function of fertility is the
ed plague of ancient Mesopotamia; and Namtar, the herald
granting of prosperity and wealth. In Scandinavia this func-
of Ereshkigal, Mesopotamian goddess of the underworld, has
tion is performed by the deities known as the Vanir: Freyr,
sixty diseases that he can spread among humans.
for example, grants peace and fertility, and his father, Njo˛rðr
(Njord), dispenses prosperity to those who go to sea. In the
The ambiguity of divine power is often expressed in the
Hindu pantheon, Laks:m¯ı, the divine wife of Vis:n:u, is the
existence of one deity who is both the bringer of health and
goddess of wealth and happiness, granting sovereign power
prosperity and the agent of destruction and death. Hermes,
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GODS AND GODDESSES
3623
protector and guide of travelers, becomes the grim psycho-
Scandinavia is patron of those who build ships and go to sea.
pomp who guides souls to Hades. In the Vedas, the god
In Greek mythology, Herakles and Hermes are associated es-
Rudra often brings sickness and destruction, although he is
pecially with merchants, Athena is associated with women
also revered as the healer. The Great Rainbow Snake of the
artisans, and Hephaistos, the god of fire, is the creative flame
Australians, Hina of the Hawaiians, and Ka¯l¯ı of Hinduism
of the forge in metalwork. Amaterasu in Shinto¯ tradition was
all promote fertility and birth but also cause destruction and
linked to the art of weaving. Among the Yoruba it is believed
death. Human hopes of merciful treatment in the passage of
that Ogun clears away obstacles and gives prosperity to all
death are reflected in the existence of many goddesses and
those who work with iron and steel—warriors, hunters,
gods who guard, nourish, guide or otherwise help the de-
blacksmiths, goldsmiths, barbers, butchers, and (in modern
ceased. Hathor of ancient Egypt nourishes the dead, and the
times) mechanics and taxi drivers. Hermes is the patron not
bodhisattva Jizo¯ in Japan is especially revered as the receiver
only of merchants but also of thieves and rogues; and Inari
and protector of infants who die. Yama of Hinduism, as the
of Japan is the kami of rice growers as well as geisha and pros-
first mortal to die, guides the dead to the celestial world.
titutes.
Amida (Skt., Amita¯bha) is popularly worshiped in Japan as
Gods and goddesses of esoteric knowledge and
the merciful Buddha who, when a person dies, appears with
magic. The mysterious character of divine power finds ex-
his holy retinue to lead the soul to rebirth in the Pure Land
pression in deities associated with secret mysteries and magi-
paradise. Some cults link the worshiper to the story of the
cal powers that are available only to those who have special
deity’s death and resurrection. Prominent cults of this type
knowledge or have been initiated into the worship of these
are that of Osiris and Isis in Egypt, Tammuz in Mesopota-
goddesses and gods. The high god of the Indo-Europeans is,
mia, as well as several of the Hellenistic mystery religions.
in one of his aspects, the source of esoteric knowledge and
Gods and goddesses of culture, arts, and technology.
magic. Varun:a of the Vedic period in India has the sun as
Divinities related to cultural expressions are quite diverse,
his eye and controls ma¯ya¯ (“creative power,” but later also
with roles corresponding to the needs and experience of a
“illusion”). Óðinn of the Scandinavians is one-eyed, having
particular society. Among divine culture heroes are Prome-
left his other eye in the well of the giant Mímir in return for
theus, who stole fire from the gods for the benefit of humans;
the gift of wisdom. A famous poem describes how Óðinn
Blacksmith in Dogon tradition, who acquired seeds from
hung on a tree for nine days and nights in order to acquire
heaven and brought them to earth for the first crops; Ra¯ma,
the esoteric knowledge of magical runes. Deities of esoteric
the carrier of culture, whose feats are recounted in the Hindu
knowledge inspire poets, shamans, and prophets, and they
Ra¯ma¯yan:a; Nyikang, the first king of the Shilluk of Africa;
give up secret knowledge to diviners. The Scandinavian god-
and Quetzalcoatl, the deified hero of the Aztec. Some culture
dess Freyja, for example, taught the gods magical knowledge,
heroes are thought of as the original humans who created the
and this is tapped into by women called vo˛lva, who go into
vital aspects of human existence in the mythic time of the
trances and act as soothsayers. Yogic exercises in Daoism at-
beginnings. The dema of the Marind-anim and the ancestors
tempt to tap into the power of the exterior and interior gods,
in the Dreaming of Australian myths provide the prototypes
and Tantric practices in Esoteric Buddhism involve invoking
for human cultural activities such as planting, sexuality, and
the cosmic Buddhas and bodhisattvas for esoteric knowledge
festivals. The changing image of the trickster, such as Coyote
and power.
among North American Indians, perhaps could fit here;
though not necessarily worshiped as a god, the trickster typi-
SEE ALSO Agriculture; Animals; Cosmogony; Culture He-
cally wrests some cultural benefit for humans from the gods.
roes; Deity; Deism; Deus Otiosus; Earth; Henotheism;
Indo-European Religions; Lady of the Animals; Lord of the
Gods and goddesses are patrons of the arts, representing
Animals; Meteorological Beings; Monotheism; Moon;
the creative force and the secret knowledge of individual arts.
Mountains; Polytheism; Sky; Stars; Sun; Supreme Beings;
Creativity comes from divine sources, and so worship of gods
Theism; Underworld; War and Warriors; Water.
and goddesses provides inspiration and creative energy for
poets, writers, sculptors, painters, weavers, dancers, musi-
BIBLIOGRAPHY
cians, and various other artists. Sarasvat¯ı in Hinduism is the
A classic discussion of the meaning and typology of gods and god-
goddess of learning, art, and music, widely worshiped in
desses throughout all cultures is Mircea Eliade’s Patterns in
school festivals. Thoth, the god of wisdom in ancient Egypt,
Comparative Religion (New York, 1958). Raffaele Pettazzoni
is endowed with complete knowledge and is the inventor of
provides a model cross-cultural study especially related to the
all the arts and sciences: arithmetic, surveying, geometry, as-
omniscient quality of deities in The All-Knowing God: Re-
tronomy, soothsaying, magic, medicine, surgery, music,
searches into Early Religion and Culture (London, 1956). Al-
though outdated, The Mythology of All Races, 13 vols., edited
drawing, and—above all—hieroglyphic writing. In India,
by Louis H. Gray (Boston, 1916–1932), contains a wealth
S´iva is the lord of the dance, inspiring festival dancers; Ogun
of valuable information. Scholarly analyses of the major my-
inspires ecstatic dancing among the Yoruba as well as creative
thologies can be found in Mythologies of the Ancient World,
body art done with iron tools.
edited by Samuel Noah Kramer (Garden City, N.Y., 1961).
There are goddesses and gods for almost every conceiv-
Of the immense amount of scholarship focused on goddesses,
able occupation, craft, and technology. Njo˛rðr (Njord) of
Marija Gimbutas, in books such as Gods and Goddesses of 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
3624
GÖKALP, Z˙IYA
cient Europe (London, 1974) and The Language of the Goddess
looks at the Indian gods and goddesses from the early Vedic
(San Francisco, 1989), has been most influential in promot-
period to the late Puranic tradition. A flurry of scholarly in-
ing the theory of the Great Goddess worshiped in ancient
vestigation has focused on the Hindu goddesses, including
cultures, manifest in countless forms and symbols through-
Seeking Maha¯dev¯ı: Constructing the Identities of the Hindu
out old Europe and Asia before being suppressed by male-
Great Goddess, edited by Tracy Pintchman (Albany, N.Y.,
dominated cultures and gods. This theme is continued in
2001); and Dev¯ı: Goddesses of India, edited by John Hawley
Jean Markale’s, The Great Goddess: Reverence of the Divine
and Donna Wulff (Berkeley, Calif., 1996). A model investi-
Feminine from the Paleolithic to the Present, translated from
gation of one Hindu goddess is Sarah Caldwell’s Oh Terrify-
the French by Jody Gladding (Rochester, Vt., 1999). A more
ing Mother: Sexuality, Violence, and Worship of the Goddess
nuanced view of mother-type goddesses is put forth in Moth-
Ka¯l:i (New York, 1999).
er Worship: Themes and Variations, edited by James J. Preston
(Chapel Hill, N.C., 1982). Many scholarly studies have
THEODORE M. LUDWIG (1987 AND 2005)
questioned the theory of a unified Mother Goddess as they
carefully lay out the great variety of goddesses, as seen in
works including Ancient Goddesses: The Myths and the Evi-
GÖKALP, Z˙IYA
dence, edited by Lucy Goodison and Christine Morris (Mad-
(1876–1924), Turkish sociologist in-
ison, Wis., 1998); Goddesses Who Rule, edited by Elisabeth
fluential in the modernization of religious thinking and in
Benard and Beverly Moon (New York, 2000); and Lotte
the development of Turkish nationalism. He was born Meh-
Motz, The Faces of the Goddess (New York, 1997).
med Ziya in the small town of Diyarbakır in southeastern
Turkey. After a traditional Muslim primary education and
Richard Wilkinson’s, The Complete Gods and Goddesses of Ancient
a secular secondary education in Diyarbakır, he went to Con-
Egypt (London, 2003), offers a comprehensive survey of the
deities worshiped by the ancient Egyptians. Thorkild Jacob-
stantinople to continue his studies in 1895. Five years later
sen’s The Treasures of Darkness: A History of Mesopotamian
he was arrested and banished to his hometown for his in-
Religion (New Haven, Conn., 1976) is a masterful presenta-
volvement with the Young Turks, then a secret organization.
tion and interpretation of ancient Sumerian and Babylonian
Following the successful Young Turk revolution of
divinities. John S. Mbiti’s Concepts of God in Africa (New
1908, he went to Salonika as a delegate to the Society (later
York, 1970) surveys ideas from all over Africa, emphasizing
the importance of the high god. Focusing on the Yoruba, J.
Party) of Union and Progress. There he contributed to a
Omosade Awolalu discusses some of the main deities of their
journal of philosophy (Yeni felsefe mecmuasi) and a literary
vast pantheon in Yoruba Beliefs and Sacrificial Rites (London,
review (Genç kalemler) published by the Young Turks. It was
1979). Africa’s Ogun: Old World and New, edited by Sandra
at this point that he adopted the pen name Gökalp (“sky
Barnes (2d ed., Bloomington, Ind., 1997), is a model investi-
hero”), which he retained for the rest of his life.
gation of one specific god, Ogun, laying out many facets of
this god’s cult in traditional times and describing vital trans-
With the outbreak of the Balkan War, he and his asso-
formations among contemporary Yoruba both in Africa and
ciates moved to the Ottoman capital, where their Turkish
in the Americas. For a helpful survey of the deities of native
nationalist ideas were sharply opposed by the politicians and
North Americans, see Sam Gill, Dictionary of Native Ameri-
writers known as Islamists, as well as by the traditional Otto-
can Mythology (Santa Barbara, Calif., 1992), and David
manists. In Constantinople Gökalp became acquainted with
Adams Leeming, The Mythology of Native North America
a group of Turkish-speaking émigré writers from Kazan, the
(Norman, Okla., 1998). Excellent information on deities of
Crimea, and Azerbaijan whose ideas had been influenced by
Mesoamerica is found in Oxford Encyclopedia of Mesoameri-
those of the Russian Narodniks. Prominent among these
can Cultures, edited by David Carrasco (3 vols.; Norman,
writers was Yusuf Akçura of Kazan, the author of a lengthy
Okla., 1998). For convenient information on deities of
essay entitled Three Ways of Policy (Üç tarz-i siyaset), in which
South America, see John Bierhorst’s, The Mythology of South
he speculated on three possible directions for the Ottoman
America (New York, 2002).
Empire—a continuation of Ottomanism, a political unifica-
Georges Dumézil’s views on Indo-European deities are well repre-
tion of Muslims, or a national unification of the Turks (pos-
sented in his Gods of the Ancient Northmen, edited by Einar
sibly including those of the Russian Empire).
Haugen (Berkeley, Calif., 1973), and his Archaic Roman Reli-
gion, 2 vols. (Chicago, 1970). Much interesting information
This formulation of the Turkish problem had a strong
on the Scandinavian deities is carefully presented in E. O. G.
influence upon Gökalp, whose writings after 1911 were con-
Turville-Petre’s Myth and Religion of the North: The Religion
cerned with the resolution of Akçura’s trilemma within the
of Ancient Scandinavia (New York, 1964). While not cover-
framework of the modern nation, although the modifica-
ing all Greek mythology, W. K. C. Guthrie’s The Greeks and
tions he proposed were unacceptable not only to the Otto-
Their Gods (London, 1950) is still a helpful study of Greek
manists and Islamists but even to the Turkists themselves.
goddesses and gods; and Mark Morford’s, Classical Mythology
In his major work, Türkle¸smek, islamla¸smak, muasirla¸smak
(5th ed., White Plains, N.Y., 1995), covers the whole range
of gods and goddesses. Robert Turcan’s, The Gods of Ancient
(Turkism, Islam, and Secularization, 1918), he presented the
Rome: Religion in Everyday Life from Archaic to Imperial
concept of secularization, already initiated by the Tanz:¯ıma¯t
Times (New York, 2001), includes descriptions of the an-
reforms, as a means of reconciling the “three ways.”
cient Roman gods and goddesses. For India, Sukumari Bhat-
Throughout his life Gökalp dealt with the political, religious,
tacharji’s The Indian Theogony (Cambridge, U.K., 1970)
cultural, and educational ramifications of what he believed
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GOLD AND SILVER
3625
to be the reforms necessary to arrest the decline of Turkish
GOLD AND SILVER are among the most widespread
national unity. Following the fall of the Ottoman Empire he
symbols in the history of religions. Their exceptional physical
welcomed the birth of the nationalist, republican, and secu-
qualities make them—like their celestial counterparts, the
lar regime in 1921, and in the remaining three years of his
sun and the moon—unusually powerful symbols of spiritual
life he strove to adapt his earlier writings to it.
realities. As a physical substance, gold is quite literally incor-
ruptible: it is highly resistant to chemical reactions and is im-
Central to Gökalp’s thought were two distinct yet inter-
mune to the corrosion that affects baser metals. It is also in-
related concepts, “civilization” and “culture.” The first of
trinsically luminous, seeming to shine with a light of its own.
these he associates with traditions created by and belonging
Thus no speculative leap was required to make gold the uni-
to different ethnic groups and capable of being transmitted
versally acknowledged symbol of life and the spirit and of
from one group to another, while “culture” represents the
perfection and immortality. There is a certain obviousness
specific and unique set of mores of a particular nation. For
to the symbolic value of gold that explains its universal ap-
Gökalp “culture” is the more basic of the two because with-
peal throughout history and in virtually every corner of the
out cultural roots, any attempt to develop a dynamic civiliza-
world.
tion will be unsuccessful.
Silver too is naturally suited to serve as a religious sym-
In applying this distinction to the concrete issue of Tur-
bol. Its faultless whiteness has made it a symbol of purity
key’s transition from a multiracial, formally Muslim empire
and—in the appropriate historical contexts—of chastity. Pu-
to a democratic, Western-oriented, and secular nation-state,
rified in the refiner’s fire, it becomes a symbol of purification
whose cultural basis would be Turkish and only secularly
and perfection. Associated with its silvery counterpart in the
Muslim, he was dealing not with the problems of Western
night sky, it is integrated into an entire complex of lunar
society or civilization, but with a nonsecular, non-Western
symbolism that includes—not surprisingly—the great purifi-
society that had come under the influence of Western civili-
er, water.
zation. He was concerned mainly with the place the Turkish
people would assume in the modern world, since they were
RELIGIOUS SIGNIFICANCE. When John Ruskin spoke of
seen as alien to the Christian cultural background of Western
gold’s “imperishable splendour,” he spoke metaphorically of
civilization. He felt that the nations of the West, while re-
a universally recognized quality that people of earlier times
maining Christian in character, were destined to become sec-
took quite literally. For many in the history of religions, gold
ularized because of the dominant role assumed by science
has not merely symbolized the imperishable but embodied
and rational thought. Non-Christian Turks, however, and
it. In ancient India the S´atapatha Bra¯hman:a identified gold
others who were neither Christians nor Muslims, such as the
with immortality. The ancient Chinese identified it with
Japanese, could be secularized only if and when they became
Heaven. Beliefs such as these lie behind the extremely wide-
“nations,” for modern Western civilization had little to do
spread use of gold in connection with a whole variety of fu-
with the language, religion, folkways, and mores of the peo-
nerary practices. Indeed, most of the surviving examples of
ple outside the world of Christianity.
the ancient goldsmith’s art have been found in graves. One
of the most impressive collections of artistic gold articles was
After Gökalp’s death, there was a decline of interest in
discovered in the tomb of Tutankhamen (Egypt, fourteenth
his earlier writings, which preceded the readjustment of his
century BCE), including the stunning gold burial mask that
thinking to the conditions of the nationalist, secular regime.
formed a part of the king’s coffin. Gold funeral masks are
His ideas, however, would exert considerable influence upon
quite common globally: They have been found from Cham-
later Muslim thinkers, such as Muh:ammad Iqba¯l.
pa (modern Vietnam) to Peru. The mummies of the kings
of ancient Peru were completely wrapped in gold foil. In ad-
BIBLIOGRAPHY
dition to masks, many other accessories and ornaments
Berkes, Niyazi, trans. and ed. Turkish Nationalism and Western
found in graves are also made of gold or silver. In the case
Civilization: Selected Essays of Ziya Gökalp. London and New
of gold the meaning is clear: The immortality of the deceased
York, 1959.
is ensured by providing the deceased with an immortal perso-
na, the mask made of gold. Moreover, gold (like jade) was
Fischer, August. Aus der religiösen Reformbewegung in der Turkei.
Leipzig, 1922.
sometimes used to block up the natural openings of the
corpse in the belief that this would prevent its decay. In some
Heyd, Uriel. Foundations of Turkish Nationalism: The Life and
cases, notably in ancient China, such concern for immortali-
Teachings of Ziya Gökalp. London, 1950.
ty began while the person was still alive. Thus Chinese alche-
New Sources
my, as in some other alchemical traditions, it was believed
Bonnett, Alastair. “Makers of the West: National Identity and Oc-
that drinking an elixir made from gold would confer immor-
cidentalism in the World of Fukuzawa Yukichi and Ziya Go-
tality.
kalp.” Scottish Geographical Journal 118 (2002), 165–183.
As a symbol of spiritual realities, gold occurs frequently
NIYAZI BERKES (1987)
in the representations of key religious figures. The Buddha,
Revised Bibliography
the Enlightened One, is frequently portrayed in gold. 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
3626
GOLDEN AGE
of the most impressive examples is the huge image of the
goal of this development is the production of gold, which is
Buddha found in the Wat Traimit in Bangkok, Thailand,
consequently viewed as the perfect metal, and as a symbol
an image made entirely of gold. One also thinks of the daz-
of spiritual perfection. The alchemist’s art is intended to has-
zling gold ornaments that adorn the bodhisattvas in the paint-
ten this natural process, both in external nature and within
ings discovered at Dunhuang. Equally striking are the golden
the alchemist’s soul. Silver here becomes the symbol of the
aureoles that surround the heads of saints in Christian ico-
soul’s purity and passivity before the activity of the spirit,
nography.
symbolized by gold.
Religious rituals have also made use of gold and silver.
SEE ALSO Alchemy; Colors; Money.
All manner of ritual implements and vessels have been fash-
ioned from these precious metals. The medieval Christian
B
church made extensive use of gold in the construction of
IBLIOGRAPHY
A good introduction to the history and use of gold is C. H. V.
crosses, chalices, patens, ornamental covers for the Bible, and
Sutherland’s Gold: Its Beauty, Power and Allure (New York,
reliquaries. One also finds silvered cases created to house
1959). For an introduction to the symbolism of gold and sil-
Buddhist su¯tras, and a variety of Buddhist ceremonial objects
ver in alchemy, one should consult Mircea Eliade’s The Forge
in gold.
and the Crucible: The Origins and Structures of Alchemy, 2d
ed. (Chicago, 1978), and Titus Burckhardt’s Alchemy: Sci-
Yet the symbolism of gold and silver in the history of
ence of the Cosmos, Science of the Soul (Baltimore, 1971). For
religions has not always been completely positive. Particular-
a survey of the use of both gold and silver in art from primi-
ly in the Western Semitic religions (Judaism, Christianity,
tive times to the present, see the article “Gold- and Silver-
and Islam), gold and silver have occasionally taken on a nega-
work,” in the Encyclopedia of World Art (New York, 1962).
tive value. One need only recall the story of the golden calf
(Ex. 32) or the golden image set up by Nebuchadrezzar,
New Sources
Bernstein, Peter L. The Power of Gold: The History of an Obsession.
which Shadrach, Meshach, and Abednego refused to worship
New York, 2000.
(Dn. 3). In the Hebrew scriptures gold is often the symbol
of idolatry or of purely human glory. There is a similar dis-
DuQuesne, Terence. Black and Gold God: Colour Symbolism of the
God Anubis with Observations on the Phenomenology of Colour
trust of gold and silver in Islam. According to one h:ad¯ıth,
in Egypt and Comparative Religion. London, 1996.
or saying of the prophet Muh:ammad, “He who drinks from
gold and silver vessels drinks the fire of Hell.” In the opinion
Gonda, Jan. The Functions and Significance of Gold in the Vedas.
New York, 1991.
of the thirteenth-century Persian cosmographer al-Qazw¯ın¯ı,
the use of gold and silver for ornament thwarts the divinely
James, Dominic. God and Gold in Late Antiquity. New York,
intended purpose of these metals, which should be used as
1998.
coinage for trade.
DAVID CARPENTER (1987)
A
Revised Bibliography
SSOCIATION WITH SACRED TIME AND SPACE. Gold and sil-
ver have also played an important part in the articulation of
sacred time and space. Sacred time par excellence is often
represented as a Golden Age, which is followed by an only
GOLDEN AGE. In its narrowest sense, the term Golden
slightly inferior Silver Age. The widespread schema of the
Age refers to a mode of utopian existence, described in a vari-
four ages of the world finds its way into the Book of Daniel
ety of Greek, Roman, and later Western Christian texts, that
(2:31–45), in Nebuchadrezzar’s dream of a colossus with a
is freed from the vicissitudes of everyday life and is character-
head of gold and with breast and arms of silver.
ized by peace and plenty, with nature spontaneously produc-
To the extent that sacred space has been organized
ing food and humans living in close relationship to the gods.
around a temple, the presence of gold and silver ornament
Most usually, the Golden Age is located temporally in the
has contributed powerfully to the creation of a properly nu-
far past or, more rarely, in the distant future. Spatially, it is
minous ambience. Here one thinks not only of the wealth
located in vague or far-off regions of the earth; more rarely,
of Solomon’s temple and of medieval Christian cathedrals,
it is a place accessible only after death, as described by Pindar
but also of the Temple of the Sun at Cuzco in ancient Peru,
(fifth century BCE) in his portrait of the Elysian Fields (Olym-
which was covered with enormous quantities of gold. In the
pian Ode 2.68–76). In its broadest sense, the term has been
Hindu tradition the world has passed through four periods
extended by some scholars to include any mythical, paradisi-
of time; according to popular legend, all the accoutrements
cal time of origins. As banalized in common discourse, golden
used by people were made from gold in the earliest period,
age has been transformed into a quasi-historical label for any
which was regarded as the purest era.
period of extraordinary wealth or human achievement.
ASSOCIATION WITH ALCHEMY. Nowhere, however, is the
THE HESIODIC MYTH AND ITS DEVELOPMENT. The most
symbolic potential of gold and silver exploited more fully
particular reference to the Golden Age, although it does not
than in the various traditions of alchemy. According to al-
use the term, is the account of the successive races of people
chemical doctrine, gold and silver develop in the earth under
given by the Greek author Hesiod (eighth century BCE) in
the influence of the sun and moon respectively. The ultimate
his didactic poem Works and Days (106–201). Whether di-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GOLDEN AGE
3627
rectly or indirectly, Hesiod is the sole source for the myth
it was the Latin tradition, especially the Ovidian version, that
in later Western literature and the arts. The account sits
was most influential on later Western literature. Beyond its
somewhat uneasily in its Hesiodic context, being introduced
adaptations of the Hesiodic myth, Roman tradition contrib-
almost by way of a digression, and seems to be in tension
uted new spatial and temporal dimensions to the Western
with other anthropogonic motifs in the poem. Five races or
imagining of the Golden Age. Two innovations were of
kinds of people are described in temporal succession. Four
greatest significance; both may be associated with the tower-
are characterized by valuable metals: the golden race, the sil-
ing figure of Vergil in the first century BCE. The development
ver race, the bronze race, and, after an intervening race of he-
of the Alexandrian conventions of the pastoral, the literary
roes that is most likely not part of the original schema, the
topos of the idyllic place (locus amoenus), and the paradisical
iron race. Although not fully developed, there appears to be
imagery of the Golden Age came together in Vergil’s portrait
a succession of moral and physical decay. With the exception
of Arcadia in his Eclogues. In such poetry, the Golden Age
of the intrusive race of heroes, each state appears to be inferi-
came closer to the experience of the contemporary human.
or to its predecessor.
Taken out of mythical time and reduced to the “good old
days,” to bucolic scenes of the rustic, simple life, the pastoral
In its brief description of the golden race, the Hesiodic
became “an image of what they call the Golden Age” as Alex-
narrative combines six motifs: (1) the succession of races of
ander Pope observed in his Discourse on Pastoral Poetry. At
people (in Hesiod’s account, these are different species, sepa-
the same time, an eschatological element was introduced.
rate creations of the gods, and are not to be seen as successive
Often tied to imperial ideology, the notion was advanced
stages of mankind, the world, or history); (2) the correlation
that the Golden Age was recoverable, now or in the immedi-
of the races with metals; (3) the identification of the golden
ate future. While this became a commonplace of imperial
race with the reign of an elder deity (in Hesiod, with the rule
rhetoric (see Vergil, Aeneid 6.791–794)—no fewer than six-
of Kronos); (4) the topos that, in the beginning, humans
teen Roman emperors claimed that their reigns had reestab-
lived in close company with the gods; (5) a set of paradisical
lished the Golden Age—the best-known example remains
features including a carefree existence of feasting, wealth, and
the fourth of Vergil’s Eclogues. This mysterious poem, com-
peace in a state of perpetual youth, terminated by a peaceful
posed in 41–40 BCE, ties the end of the Iron Age and the ini-
death; and (6) the spontaneous yield of crops from the earth,
tiation of a new Golden Age to the birth of a wondrous child.
so that humanity was fed without toil. Each of these motifs
In Vergil’s work, the myth of the Golden Age is no longer
has worldwide distribution. At times, they have served as ele-
an expression of pessimism with respect to the present; rather
ments that have been integrated into broader systems of reli-
it has become a prediction of future hope and regeneration.
gious, historical, and anthropological thought (for example,
Elements in the poetic tradition of the Golden Age lent
systems of apocalypticism, messianism, utopianism, or prim-
themselves to christianization. In its Greek form, it could be
itivism) as well as literary genres such as the pastoral. Howev-
er, the combination of motifs in Hesiod is without parallel.
harmonized with accounts of Eden and with notions of sin
as accounting for humanity’s fall from Paradise. The eschato-
In later Greek poetic versions, especially the influential
logical understanding of the Golden Age could be harmo-
Phaenomena (96–136) by Aratus (third century BCE), addi-
nized with predictions of the birth of the Messiah and the
tional details were added to Hesiod’s brief account. The Gol-
coming of Christ’s kingdom. However, apart from contrib-
den Age was characterized, above all, by justice. Its utopian
uting to theories of world periods, the myth of the Golden
mode of life included vegetarianism. What was of greater im-
Age was not a major element in Christian literary imagina-
portance, the metals now identified stages in the history of
tion from the early sixth century (see Boethius, Consolation
a single race, and the implicit theme of degeneration was
of Philosophy 2.5) until the Renaissance. While late medieval
more consistently applied. In Greek philosophical litera-
epic traditions (for example, Dante and the Roman de la rose)
ture—most extensively by Plato (Statesman 269–274)—this
continued antique conventions of the Golden Age, a variety
latter element was fully developed and related to notions of
of new historical factors contributed to a reawakening of in-
historical periodicity, recurrence, and world cycles. The later,
terest in the motif of the Golden Age. Alongside of the redis-
expanded portrait of the Golden Age, with the additional
covery of classical texts and works of art was the self-
motif of free sexuality, was carried over into Latin versions
consciousness of a “renaissance,” of a new birth, a new age
of the Hesiodic myth, above all in the first-century work of
that was, at the same time, a recovery of lost, past glories.
Ovid (esp. Metamorphoses 1.76–150). The Latin tradition is
Thus, the motto of Lorenzo de’ Medici, “the time returned”
important in three respects. First, the persistent Greek termi-
(le tems revient), the description by Vasari of the era of Loren-
nology referring to the “golden race” (chruseon genos) was
zo as “truly a golden age” (Life of Botticelli), the elaborate
transformed into the more familiar phrase “the Golden Age”
court and coronation pageants in which Saturn-Kronos and
(aurea saecula or aurea aetas). Second, although some Roman
the four metallic ages were depicted by actors (Vasari, Life
texts maintain the four metals schema, the contrast was re-
of Pontormo). Once again, the language of the Golden Age
duced to a duality: then and now, the Age of Kronos and the
and imperial ideology were conjoined. The development of
Age of Zeus, the Golden Age and the present times. Third,
Renaissance urbanism led to a new, nostalgic interest in the
with the general loss of Greek literature in the Middle Ages,
pastoral, a form rediscovered by Jacopo Sannazaro and Tor-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3628
GOLDEN AGE
quato Tasso and culminating in Edmund Spenser’s domi-
Age mythology stand out, both for their persistence and for
nant interest in the Golden Age. The reformers found in the
their differing functions: the Golden Age in relation to
concept of the Golden Age an expression of their interest in
myths of origins, to millenarian activities, and to royal ideol-
a return to simplicity (see, for example, Erasmus’s In Praise
ogies.
of Folly). Above all, it was contact with other cultures
through exploration that allowed a sense of the palpable pres-
Myths of origins. Most myth posits a sharp duality be-
ence of the Golden Age. Joined to the topos of the Noble
tween “then” and “now,” a duality often overcome in the
Savage, the new peoples and territories, especially those of
narrative through modes of transformation whereby the one
the “New World,” are unceasingly described in the Renais-
becomes the other. This split and its attendant transforma-
sance chronicles as living in the Golden Age. While shorn
tion is most clearly expressed in myths of origin, especially
of much of its mythic content, the concept plays a role in
those that take the form of a mythology of rupture between
the subsequent, somewhat turgid history of rival theories of
a previous state and the present order. Evaluations of this
the progress and degeneration of mankind. In the seven-
previous state vary: it may be better, or worse, or simply dif-
teenth and eighteenth centuries, these various contexts were
ferent than the present. Among early literary accounts, schol-
much elaborated, especially in the context of the mythic un-
ars of the ancient Near East have identified a genre of cre-
derstanding of immigrant America. It was a place of new
ation narrative that begins with the formula “When there
birth and rebirth, a place of freedom, its bounty vast and un-
was not” (the same negative formula recurs in medieval
imaginable. From the seventeenth-century Puritan imagina-
Christian descriptions of the other world). Some of these
tion (in Cotton Mather’s words, “the first Age was the Gol-
take on the form of a myth of a Golden Age. For example,
den Age; to return unto that will make a man a Protestant,
“Enki’s Spell,” a part of the Sumerian epic Enmerkar and the
and I may add, a Puritan”) to the nineteenth-century roman-
Lord of Aratta, tells of a time when there were no dangerous
ticization of the American West (historian H. H. Bancroft,
animals to threaten humans, when there was nothing to fear,
for example, described life as “a long happy holiday . . .
and when humankind spoke a common tongue, obeyed di-
such as the old-time golden age under Cronus or Saturn”),
vine laws, and was ruled by the beneficent deity Enlil. This
the imagery was self-conscious and persistent. Finally, in the
happy state was brought to an end through the jealousy of
nineteenth and twentieth centuries, the topos of the return
another deity (Enki). This same negative formula recurs in
of the Golden Age was joined to the industrial myth of prog-
Scandinavian mythology to describe the original cosmos
ress, expressed on the one hand in the notion of science as
(Voluspá 3, 5). In this state, before the creation of man, the
E
providing a world without care, and on the other in theories
gods lived in peace, playing games and possessing much gold
of primitive communism that animated many radical social
(Voluspá 8). This happy mode of existence will return. The
E
and political utopian experiments and political movements.
golden feasting tables will once again be set out and the fields
Both of these ideologies are a major motif in the writings of
will bear crops without cultivation (Voluspá 61–2). This last
E
Dostoevskii (most explicitly in Notes from the Underground
motif is common to many Indo-European epic traditions;
and The Dream of the Ridiculous Man), perhaps the most cre-
for example, Maha¯bha¯rata 3.11.234–235 tells how during
ative literary use of the Golden Age since Vergil.
the kr:tayuga there was no work and the necessities of life were
obtained by being merely thought of. The motif occurs as
THE GOLDEN AGE IN CROSS-CULTURAL COMPARISON. In
well in many mythologies of the invention of agriculture, es-
considering the worldwide distribution of the myth of the
pecially in the Indonesian and North American Indian cul-
Golden Age, much depends on decisions of definition and
ture complexes. For example, in a variation on this theme,
classification. Does one seek close parallels to the specific
which includes as well the mythologem of rupture, a charac-
constellation of motifs found in the Hesiodic narrative, or
teristic etiological tale from the Boróro (of Mato Grosso,
does one note any instance of a sharp duality between a pre-
Brazil) tells how, in olden times, a woman went to pick
vious age of perfection and the present? Does one include
maize, which in those days was planted and cultivated by
such closely related topoi as postmortem realms that are the
spirits. The woman accidentally hurt her hand and blamed
reverse of present conditions, or terrestrial paradises? Does
the accident on Burekóibo, the chief of the spirits. In punish-
one insist on the notion of past possession of the Golden
ment, the spirits ceased their labors, and humans had to toil
Age? Does one focus on those mythologies that report its per-
for food, clearing the forest, planting the seed, and cultivat-
manent loss, or on those that promise its return? Does one
ing the crops. There was as well a diminution in the size of
include mythologies in which characteristics resembling life
the ears of corn since the days when the spirits were responsi-
in the Golden Age serve as narrative elements, expressing
ble for agriculture.
some contrast between a past and present state (as in the vari-
ous mythologies of the origin of death), but do not function
Millenarianism. The explicit connection of the Greco-
as the focal point of the myth? Does one include instances
Roman myth of the Golden Age and Christian chiliasm is
of isolated motifs (such as the widespread motif of self-
at least as old as the third century (Lactantius, Divine Insti-
harvesting plants or automatic implements) that occur in
tutes 5.5, 7.24) and was fully developed in the complex, me-
folkloristic contexts other than a Golden Age? Out of the
dieval Christian sibylline traditions. Similar combinations
number of possible comparisons, three systems of Golden
are equally prominent in archaic mythologies and recent na-
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GOLDEN AGE
3629
tivistic movements. While none of these are demonstrably
Kingship. From the earliest Mesopotamian hymns of
free from possible Christian influence, they reflect, as well,
self-praise by Shulgi, ruler of the third dynasty of Ur (r.
indigenous tradition. Perhaps the clearest set of examples is
2094–2047 BCE) to the encomia addressed to seventeenth-
from the South American Indians of Gran Chaco and Ama-
century European monarchs (such as Charles II, whom
zonia. There are mythologies of a lost Golden Age such as
Abraham Cowley celebrates for having transformed an Age
that found among the Tembé. In earlier times, there was
of Iron into an Age of Gold), royal ideology and the myth
once a place where work was unknown. The fields planted
of the Golden Age have been intertwined. As noted above,
and harvested themselves. When the inhabitants grew old,
historical kings from the emperors of Rome to the Medicis
they did not die but were rejuvenated. The present-day
have claimed that their reigns reestablished the Golden Age.
Tembé no longer know the route to this “Happy Place.”
There is even greater elaboration of Golden Age motifs in
Such a mythical place can also be used to describe an original
the myths of primordial sacred kings. Kronos-Saturn in
peaceful unity, subsequently shattered, which explains the
Greco-Roman tradition is one such example, already present
difference between the white colonialist and the native.
in the Hesiodic account. Iranian mythology is more extend-
Thus, the Mataco picture a time and place long ago when
ed and explicit.
there were no Christians, when the ancestors of what would
After the ninth century CE, in the late Pahlavi, New Per-
later become the Christians and the Mataco lived together
sian, and Arabic writings as well as in the so-called secular
harmoniously in a single house. Everything was provided
epic tradition, the disparate Iranian royal genealogical and
without labor, from tools to domesticated animals and cloth-
mythical traditions were organized into a systematic presen-
ing. The Christian ancestors took away the best of these
tation that located the origins of kingship in the figure of
things, leaving the Mataco only clay pots and dogs. In other
Ho¯shang. Depicted in quite conventional terms as an ideal
versions of this motif of the origin of inequality, the native
king and civilizing hero as well as the progenitor (with his
utopia is superseded by a European one, as among the Bo-
sister Guzak) of the Iranian people, Ho¯shang established jus-
róro. After living peacefully together, quarrels broke out over
tice, peace, and law. He invented iron-working, the arts of
the possession of magically produced objects. The white peo-
mining and navigation, and the building of canals for irriga-
ple’s ancestors were sent away in boats to avoid bloodshed
tion. He was the first to hunt with dogs, make clothing out
and have never returned because they found a more beautiful
of skins, and to fashion wooden doors for houses. During his
and even more wondrous uninhabited land. A more complex
reign, according to the fifteenth-century universal history by
expression of a recoverable Golden Age occurs among the
M¯ırkhwa¯nd, the Rawzat al-s:afa¯D (Garden of purity), the
¨
various Tupi-Guaraní and Tupinamba groups who have set
“world bloomed” and people “reposed in gardens of con-
off on lengthy tribal wanderings from the interior to the At-
tent.” Behind this stereotypical portrait of an ideal realm, lies
lantic coast in order to reach a mythical “Land without Evil”
an older, most likely pre-Zoroastrian, myth of a full-blown
or “Land of Immortality and Perpetual Rest.” (The earliest
Golden Age, that associated with the reign of the Indo-
record of such a journey is from a Spanish report in 1515;
Iranian figure of Yima. In the earlier traditions of the Avesta,
the most recent instance occurred in 1957.) This land, vari-
Yima is like the sun. In his reign of a thousand years, humans
and beasts do not die (indeed, there is no difference in ap-
ously described by the different groups, has neither sickness
pearance between a man and his son); waters and plants do
or death; it is a vast garden-island, filled with game and
not dry up from the heat; there is neither excessive warmth,
fruits, on which the inhabitants will spend their time feasting
nor cold, nor any form of disease; and there is an inexhaust-
and dancing. The same sort of Golden Age imagery recurs
ible supply of food (Yasna 9.4–5; Yashts 9.10, 10.50, 17.30,
among Tupinamba nativistic resistance movements. The
19.32–33). During this Golden Age, Yima enlarged the
Santidades, as described by late sixteenth-century Jesuit mis-
world three times in order to make room for his citizens and
sionaries, were common among groups displaced by force to
bounty, but such a realm could not be extended indefinately.
work on the colonial plantations. Native religious leaders
Therefore, Ahura Mazda¯ warned Yima that a universal win-
urged their followers to stop work and revive old rituals. If
ter would come and that Yima was to carve out a subterra-
they did so, the fields would plant and harvest themselves,
nean kingdom with magical tools, into which he was to bring
tools would work automatically, and old people would be re-
the most magnificent individuals among the men, animals,
juvenated and not know death. The fundamental imagery of
and plants in his realm as well as the most savory foods. This
these groups stems from shamanistic visions of an other-
kingdom, vara, in many respects resembles Yama’s realm of
world. Many exhibit, as well, clear Christian borrowings.
the dead in Indic tradition. There, in his underground gol-
Such influence, however, was reciprocal. In 1539, a large
den kingdom, which will glow with its own self-generated
group of Tupinamba crossed the South American landmass
light, Yima will rule and men will live “the most beautiful
at its widest point in a nine-year journey ending in Peru.
life” (Vendidad 2). In late traditions, Yima will emerge, at the
There their tales of the mythical “golden place” they were
end of the world’s winter, to repopulate the earth (M¯eno¯g i
seeking so excited the Spaniards that an expedition was im-
Khrad 27.27–31). Following the so-called Zoroastrian re-
mediately launched to locate Eldorado (originally a golden
form, this archaic myth was radically altered. The Golden
man; later believed to be a city of gold).
Age of Yima’s rule lasts only until he lies, when the glorious
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3630
GOLDEN RULE
kingship will leave him (Yashts 19.33–38). Indeed, in some
few centuries as a popular reference to the dictum, “Do unto
traditions, Yima is only the builder of the subterranean
others as you would have others do unto you,” best known
realm; Zarathushtra’s third son will be its ruler (Vendidad
in Western culture from its formulation in the New Testa-
2.42–43).
ment (Matt. 7:12, Luke 6:31). Identical or similar axioms of
moral behavior are nearly universal, however, appearing in
SEE ALSO Heaven and Hell; Millenarianism; Paradise;
a wide variety of cultural contexts from oral folk wisdom to
Utopia.
ancient scriptural and philosophical writings. The written ca-
nonic versions most frequently cited as examples of golden-
BIBLIOGRAPHY
Walter Veit’s Studien zur Geschichte des Topos de goldenen Zeit von
rule thinking include those found in early Jewish sources,
der Antike bis zum 18. Jahrhundert (Cologne, 1961) and H.
both in the Mishnaic and Talmudic corpus (Pirk:e-Avot 2:10,
J. Mähl’s Die Idee des goldenen Zeitalters im Werk des Novalis
Babylonian Talmud: Shabbat 31a) and in the apocryphal and
(Heidelberg, 1965) are the most comprehensive histories of
pseudepigraphic literature (e.g., Ben Sira 31:15, Tobit 4:15,
the theme of the Golden Age as found in Western literature.
Jubilees 36:8); additional passages in the New Testament
A balanced account of the Hesiodic tradition and a selective
(Rom. 13:8-10, Gal. 5:14, Acts 15:20 [Western recension,
bibliography can be found in the edition of Hesiod’s Works
codex D]); QurDanic and post-QurDanic Islamic teachings
and Days by M. L. West (Oxford, 1978). Jean-Pierre Ver-
(su¯rah 83: “The Deceivers” [At-Tat:f¯ıf, or Al-Mut:affif¯ın]; Al-
nant’s important Myth and Thought among the Greeks (Lon-
Nawawi, Forty H:adith 13; Ibn Al-EArabi, “Instructions to a
don, 1983) complements West’s book. The most significant
monograph on the Golden Age in the Greco-Roman tradi-
Postulant” [Risa¯la . . . l Dil mur¯ıd]); classical Greek and Latin
tion, with judicious cross-cultural parallels, is Bobo Gatz’s
texts (e.g., Plato, Republic 443d; Aristotle, Nicomachean Eth-
Weltalter, goldene Zeit und sinnverwandte Vorstellungen (Hil-
ics 9:8; Isocrates, “To Nicocles” 61b, “To Demonicus” 14,
desheim, 1967). A rich selection of Greco-Roman texts in
17); sacred precepts imparted in the Udyoga and Anus:asana
English translation is presented in Arthur O. Lovejoy and
sections of the Sanskrit epic Maha¯bharata (5:39:57,
George Boas’s Primitivism and Related Ideas in Antiquity
13:114:8); and comparable pronouncements in the Zoroas-
(1935; reprint, New York, 1973). For the myth as found in
trian Avesta (Dadestan-i denig 94:5, Shayest Na-shayest
Renaissance literature, see Harry Levin’s topical study, The
37:51), the Buddhist Dhammapada (10:129–130), the Jain
Myth of the Golden Age in the Renaissance (Bloomington,
A¯gamas: Su¯trakr:ta¯nga (1:10:13, 1:11:33) and other su¯tras,
Ind., 1969). Ernst H. Gombrich’s “Renaissance and the Gol-
and the Baha¯’¯ı scriptures (Kita¯b-i Aqdas 148). There are also
den Age,” reprinted in his Norm and Form: Studies in the Art
of the Renaissance (London, 1966), is invaluable on the con-
striking parallels in the Analects (4:15, 5:12, 15:23) and other
nection of the myth to the ideology of the Medicis. The in-
works of the Confucian canon (Daxue 10:2, Zhongyong 13:3,
troduction to Gustavo Costa’s La leggenda dei secoli d’oro
Mencius 7:A:4).
nella letteratura italiana (Bari, 1972) sets the Renaissance re-
Occurrences in these and other traditions can be multi-
vival of interest in the Golden Age within the broadest of cul-
tural contexts. On the Golden Age and America, see Charles
plied virtually without limit, inasmuch as statements preach-
L. Sanford’s The Quest for Paradise: Europe and the American
ing a basic consideration for the feelings of others—in ideal
Moral Imagination (Urbana, Ill., 1961).
conception if not in common practice—are all but self-
On the central theme of automatic crops and/or tools in Western
evident in human culture, reflecting both the fundamental
literature on the Golden Age, see Roy Walker’s The Golden
imperatives of social organization and a deeply ingrained,
Feast: A Perennial Theme in Poetry (London, 1952); for its
though regularly ignored, instinct of empathy for fellow
occurrence in Indonesian and Amerindian myths, consult
members of the species. However, many apparently parallel
the brief synopsis in Gudmund Hatt’s “The Corn Mother
statements about elementary human decency are simply too
in America and in Indonesia,” Anthropos 46 (1951): 853–
vague or sweeping to support detailed comparison, while
914. On the complex South American mythologies of the
others may have been taken out of their original contexts and
“Land without Evil,” see Mircea Eliade’s masterful summary,
put forward as equivalent teachings by apologists keen on de-
with essential bibliography, “Paradise and Utopia: Mythical
fending the validity of one non-Western ethical system or an-
Geography and Eschatology,” reprinted in his The Quest
(Chicago, 1969), pp. 88–111. For the mythologies of
other. In order to properly assess the cultural and religious
Ho¯shang and Yima, the most complete account, with a
significance of various golden-rule formulations, therefore,
translation of all relevant texts, remains Arthur Christensen’s
it is vital to scrutinize them from the perspective of a number
Les types du premier homme et du premier roi dans l’histoire lé-
of specific variables and issues:
gendaire des Iraniens, 2 vols. (Stockholm, 1917–1934). For
a comparative treatment within the broad context of Indo-
1. The place of this teaching within its given religious or
European royal ideology, see Georges Dumézil’s The Destiny
philosophical context: does it simply describe a com-
of a King, translated by Alf Hiltebeitel (Chicago, 1973).
mendable mode of behavior, or is it enshrined as the
central pillar of an entire moral edifice?
JONATHAN Z. SMITH (1987)
2. The defense of this principle in the face of abundant evi-
dence of its nonobservance in human conduct: Is it
GOLDEN RULE. The expression Golden Rule has come
taken a priori as an inviolable tenet of revealed dogma,
into use in various modern European languages over the past
or is it proposed as a piece of utilitarian advice for the
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GOLDEN RULE
3631
successful regulation of social life? Does it merely enjoin
universal principle in a wide variety of other cultural con-
a correct attitude toward one’s fellow humans, or does
texts, including at least two passages among the vast pool of
it require one to translate these feelings into the praxis
edifying verses in the Maha¯bha¯rata identifying this teaching
of concrete acts?
as the “essence” or the “summation” of the dharma (duty or
morality), Al-Nawawi’s (1233–1277) blanket pronounce-
3. The manner in which the precise rhetorical structure of
ment that one who fails to observe this precept cannot be
a given formulation reflects the specific intellectual un-
called a member of the Muslim community of the faithful,
derpinnings of its cultural milieu: Is it presented as an
and the set of linked passages in the Confucian Analects that
incontestable point of doctrine, or is it put forward as
use words virtually identical to those of Hillel (“what is not
a polemical position or a defensive response within a
desirable to you yourself, do not do”) to define the “single
context of moral disputation? Is its verbal form, espe-
thread [binding all of Confucius’s thought] into a consistent
cially its framing in either positive or negative grammat-
whole.”
ical terms, simply an aspect of literary style, or does its
linguistic mode of presentation correspond to deep-
In all of these examples, it is noteworthy that what is
seated assumptions about the moral ground of the
claimed to be the “central thread” of the Golden Rule is re-
human condition and the possibility of humankind’s
duced to a rather unexpected point of doctrine, in each case
spiritual perfection?
accentuated by conspicuous silence with respect to such es-
sential tenets as the creation of the world and the acceptance
4. Claims of universal validity: is a certain culture-specific
God’s commandments in Judaism, the unity and singularity
version held to be a statement of moral truth for all hu-
of God in Islam, the ideals of virtuous rule and ritual order
mans and all time, or is it understood to apply exclusive-
in Confucianism, or the metaphysical underpinnings of
ly within a particular religious community or sociohi-
Hindu and Buddhist thought: spiritual liberation, enlighten-
storical context?
ment and nirva¯n:a, the universal godhead. In many of these
5. Mutual influences and borrowing: does a given citation
passages, therefore, one suspects that the citation of the Gol-
represent an independent enunciation of the principle,
den Rule as the ultimate ground of an entire body of moral
or can it be traced back to a chain of inherited sources
teachings is pointedly intended to be provocative, its stark
or to ur-texts shared with other traditions?
enunciation designed to shake listeners from complacent be-
lief in their conventional articles of faith and to force them
6. Commentarial expansion: how do scriptural exegetes
to contemplate the core principle of primary human empa-
and textual scholiasts seek to elucidate the message of
thy underlying all ethical thinking. As a result, it is not sur-
empathetic self-projection expressed in canonic teach-
prising that in each of these respective scriptural traditions,
ings and to ground this in the logic of philosophical or
legions of commentators have come forward to meet this in-
theological discourse?
tellectual and spiritual challenge, exercising their best exeget-
THE GOLDEN RULE AS THE CORE OF MORALITY. That
ical skills in an attempt to reconcile the sublimely simple
which makes various Golden Rule formulations in different
message of the Golden Rule with finer points of doctrine.
cultures not simply shining precepts of moral excellence but
RHETORICAL FORMS AND CONTEXTS. With respect to the
truly golden—in the sense of setting the highest standard of
rhetorical articulation of golden-rule statements, the most
moral value—is the explicit claim that the exhortation to
commonly debated issue revolves around the use of positive
treat one’s fellow humans by the same criteria of behavior
or negative terms of discourse in different occurrences. Much
one wishes to enjoy oneself constitutes the essential core of
ink and breath has been expended to argue that these two
an entire system of belief. For example, Hillel the Elder (first
alternative grammatical modes reflect profoundly variant
century BCE–first century CE) folds all of Jewish law into one
perspectives on the human condition. According to a widely
succinct reply—while his questioner “stands on one foot”—
held view, the framing of the precept in positive terms (“Do
as, “What is hateful to you, do not do unto your fellow man”
unto others”) rather than negative ones represents at once a
(Babylonian Talmud, Shabbat 31a). In this is heard the un-
more idealistic and a more demanding view of man’s capacity
mistakable echo linking it with the language of slightly later
for altruistic behavior, setting standards of moral perfection
enunciations of the same message in several New Testament
that, if met, would amount to an imitatio of divine compas-
passages.
sion. By this same reasoning, the negative formulation would
This may reflect no more than direct borrowing or the
seem to set the bar of moral expectation far lower, at the
use of common oral and written sources drawn from the
more “realistic” level of a covenant of nonintervention, re-
fount of Eastern Mediterranean wisdom literature. But what
quiring of people only that they refrain from aggressive and
gives this parallel its primary significance is the manner in
exploitative treatment of their fellows. In some discussions,
which both texts go on to cite these gnomic statements as
however, these assumptions are reversed, and the point is
encapsulations of religious truth: “the entire Torah” in Hil-
made that, in a sense, basing one’s behavior toward others
lel’s words and “the law and the prophets” in the Gospel re-
on what one wishes to receive in return turns the selfless em-
frain. Significantly, we observe very much the same impulse
pathy of the Golden Rule into a form of self-interest, at best,
to elevate the Golden Rule to the status of an all-embracing
or that it may even give license to impose one’s own 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
3632
GOLDEN RULE
and preferences on other people. Conversely, it may be ar-
human interrelatedness set forth by Mencius (c. 371–c. 289
gued that the idea of mutual nonaggression, far from enjoin-
BCE), within which the all-embracing framework of prescrip-
ing simple inaction or restraint, may be understood to sanc-
tive ritual observances is conceived as a modality for recover-
tion an even more open-ended commitment to the
ing and bringing to realization the inborn core of humanity’s
inviolability of individual rights.
essential moral nature.
Regardless of which of these views is upheld, when one
A second rhetorical factor conditioning expressions of
surveys the full range of canonic golden-rule statements, one
the wisdom of the Golden Rule in different cultures concerns
discovers that typically the selection of positive or negative
the precise positioning of a given formulation within the
verbal form is not set in stone as a choice between mutually
broader context of intellectual discourse in which it figures.
exclusive approaches to the principle of reciprocity in human
Thus, where the best-known Judeo-Christian and Hindu-
relations. This observation becomes immediately clear when
Buddhist versions present this precept as the foundation of
we note the inseparable connection drawn between the Gol-
universal moral law, in a number of classical Greek and Latin
den Rule and the command to “love thy neighbor” in both
sources statements of more or less equivalent import tend to
testaments of the Bible (linked in the Gospels by direct textu-
be uttered within the framework of discussions on the ideal
al contiguity and in the rabbinic tradition by virtually auto-
fulfillment of human character, especially in connection with
matic exegetical association)—a point underlined by the fact
the classical ethical conceptions of temperance, moderation
that the original source text for this shared teaching at the
and spiritual well-being. For example, expressions of the
heart of both testamental traditions, in Leviticus 19:18, pres-
principle of reciprocity in the Republic and Gorgias (507b),
ents these words as the culmination of a series of negative
by Plato (c. 428–348 or 347 BCE), and the Rhetoric (1166–
ethical injunctions. Moreover, even the uplifting note of pos-
1167) and Nicomachean Ethics of Aristotle (384–322 BCE),
itive exhortation in the Gospel versions of this teaching,
are oriented more toward the perfection of the individual self
often held to embody the purest expression of Christian love,
than toward the reciprocal relation between person and per-
did not prevent the early church fathers from transposing the
son. In major works of Stoic philosophy such as the Medita-
words recorded in Mark and Luke into negative formulations
tions of Marcus Aurelius (121–180 CE) (e.g., 5:20, 7:73, 9:4,
in certain other early Christian writings (e.g., Acts [Western
11:1), this ideal of altruistic self-transcendence is cited, in a
recension, Codex D] 15:20, Didache 1:2, and the Apologia
manner reminiscent of Mencius, as the mark of an individu-
of Aristides 15). In the same spirit, we find in such post-
al’s fullest attainment of harmony with Nature.
biblical Jewish texts as Mishna Avot (Pirk:e-Avot) and Ben Sira
In many passages, the wisdom of the Golden Rule seems
a fairly free alternation between positive and negative word-
to carry a markedly utilitarian message with reference to the
ing. The same is true of the terms of the Golden Rule enunci-
ordering of specific sets of human relationships. This occurs,
ated in the Confucian Analects. The near replication here of
for example, in the citation of this principle in the writings
Hillel’s negative formulation may tend to lead certain West-
of Seneca (4 BCE–65 CE) (Epistles 47:11) with respect to the
ern observers to hasty conclusions regarding the practical, or
treatment of slaves, in the context of punishment in the Bud-
this-worldly, character of traditional Chinese religious think-
dhist Dhammapada and honest measurement in the QurDa¯n,
ing—until one notices that this statement is conspicuously
and in the preaching of kingly virtues in the “Letter to Ar-
counterbalanced by a crucial passage in Mencius where a
isteias” (207) included within the corpus of the Jewish apoc-
strikingly positive rhetorical exhortation is used to enjoin
rypha. Indeed, discussions of the practical implications of
concerted efforts to live by the ideal of reciprocal empathy.
such teachings for the maintenance of primary social order
constitute a central focus of more recent golden-rule dis-
In weighing the significance of this point of textual anal-
course, from the classic analysis of the essential structure of
ysis, therefore, it is crucial to distinguish between the purely
power in works such as Leviathan (chapter 15), by Thomas
linguistic choice of this or that mode of assertion and the
Hobbes (1588–1679), to the scathing critique of humanity’s
deeper semantic grounding of positive and negative proposi-
hypocritical sacralization of its own self-interest in chapter
tions regarding human perfectibility. Just as the negative lan-
5 of Civilization and Its Discontents, by Sigmund Freud
guage in certain Old Testament and Confucian versions in
(1856–1939).
no way precludes a positive moral signification, so, too, the
parallels cited in Hindu texts as the essence of the dharma
Within the Greek vision of the maximum fulfillment of
can be construed in this term’s double sense of both a set of
human capacity, this issue is commonly linked to the con-
restrictive laws and rules of behavior and also a positive evo-
cept of justice, in the sense of the interpersonal balancing of
cation of the entire structure of meaning in human existence.
conflicting needs and wants. In this light, certain negative
In all of these examples, the notion that the evil inclination,
formulations of the Golden Rule may be understood as mir-
sinful nature, or aggressive impulses of humans require the
ror images of the concept of retributive justice, prescribing
coercive force of moral sanction to prevent mutual injury is
a sort of proactive or reactive payment in kind for undesir-
in no way inconsistent with a concomitant faith in the spiri-
able behavior. In its starkest form, this type of interpretation
tual power of primary human empathy. This is particularly
may even be reduced to the unforgiving terms of the lex ta-
clear in the later Confucian development the vision of
lionis, “an eye for an eye,” in apparent opposition to 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
GOLDENWEISER, ALEXANDER A.
3633
trine of compassionate forgiveness suggested by the textual
Dihle, Albrecht. Die goldene Regel: Eine Einführung in die Gesch-
contiguity of the Golden Rule to the sermon on the mount
ichte der antiken und frühchristlichen Vulgärethik. Göttingen,
in its Gospel manifestations. But just as the literal application
Germany, 1962.
of the principle of retributive justice was replaced early on
Erikson, Eric H. “The Golden Rule in the Light of New Insight.”
in Jewish law by the concept of mutual responsibility, “re-
In his Insight and Responsibility. New York, 1964.
quiting love for love” (gemilut-h:asadim), so, too, in a famous
Fingarette, Herbert. “Following the ‘One Thread’ of the Ana-
passage in the Analects (14:34), Confucius (551–479 BCE) is
lects.” Journal of the American Academy of Religion 47, no. 3S
pictured as rejecting the idea of repaying injustice with jus-
(1979): 373–405.
tice (literally, “requiting injury with virtue”) on the grounds
Freud, Sigmund, Civilization and Its Discontents. 1930. In Stan-
that this would constitute a breach of equity, preaching in-
dard Edition of the Complete Psychological Works of Sigmund
stead that one repay only virtuous behavior in kind and re-
Freud, edited by James Strachey, vol. 21. London, 1961. See
spond to injury with the “correctness” of justice.
pp. 108–116.
METAPHYSICAL AND THEOLOGICAL IMPLICATIONS. In a
Gould, James A. “The Golden Rule.” American Journal of Theolo-
number of important canonic enunciations of the Golden
gy and Philosophy 4 (1983): 73–79.
Rule, both in scriptural and in commentarial writings, think-
Harman, Gilbert. The Nature of Morality: An Introduction to Eth-
ers go beyond the positing of its wisdom as the central pillar
ics. New York, 1977. See pp. 57–99.
of their respective ethical systems espousing consideration
Kant, Immanuel. Groundwork of the Metaphysics of Morals. In
and justice toward one’s neighbor (variously construed as
Metaphysics of Morals. Translated by Mary Gregor. New
one’s fellow Jew, fellow members of the Islamic community
York, 1996. See pp. 191–197.
of the faithful, and the like, or in the broadest sense, all of
Nagel, Thomas. The Possibility of Altruism. Oxford, 1970.
one’s fellow human beings) and ascribe to this precept signif-
Nivison, David S. “Golden Rule Arguments in Chinese Moral
icance of a metaphysical or theological character. Thus, for
Philosophy.” In The Ways of Confucianism: Investigations in
example, an authoritative rabbinic commentary on the Levit-
Chinese Philosophy, edited by David S. Nivison and Bryan W.
icus injunction to “Love thy neighbor” (Palestinian Talmud,
Van Norden. La Salle, Ill., 1996.
Nedarim 9:4) cites this single verse as comprising the entire
Phillipidis, Leonidas. Die goldene Regel: Religionsgeschichtlich Un-
“book of the creation of man” (sefer tol’dot-ha’adam).
tersuch. Leipzig, Germany, 1929.
In certain formulations (e.g., the Jain Su¯trakr:ta¯nga) the
ANDREW H. PLAKS (2005)
scope of application of the principle of universal empathy is
expanded to a cosmic level to take in all one’s fellow crea-
tures, indeed all of creation, as coterminous with one’s own
eternal Self. This same exegetical impulse also finds expres-
GOLDENWEISER, ALEXANDER A. (1880–
sion in the philosophical writings of a number of later Con-
1940), was an American anthropologist and student of prim-
fucian thinkers, among them Wang Yangming (1472–
itive religions. Born in Kiev, the son of a distinguished jurist
1529), who see in the moral message of the Golden Rule
and criminologist, Alexander Alexandrovich Goldenweiser
enunciated in the Analects a metaphysical identification with
was educated in his native Ukraine, and later, at the graduate
the “single body” (yiti) of the entire universe. This under-
level, in the United States. An important early influence was
standing gives new meaning to Mencius’s attachment of his
the intellectual companionship and guidance of his father,
own positive formulation of the Golden Rule to the startling
Alexander Solomonovich Goldenweiser, a social thinker in-
proposition that “the ten-thousand things are all within my-
fluenced by Hegel and Spencer. Father and son shared a
self,” here not an expression of the vaunt of unbounded ego
broad intellectual outlook and traveled together in Europe.
but a soaring affirmation of the innate moral core lodged
Goldenweiser immigrated as a young man to the United
within every human heart. This leap of faith from basic
States and from 1900 to 1901 pursued graduate study in phi-
human interrelatedness to a spiritual identification with all
losophy at Harvard. He later shifted his studies to Columbia,
creation may also help to explain the textual linkage in both
where he came into contact with Franz Boas and his stu-
Jewish and Christian scripture between the parallel com-
dents, and took his doctoral degree in 1910 under Boas’s su-
mands to “love thy neighbor” and to “love thy God,” as well
pervision. Goldenweiser taught as an instructor at Columbia
as Ibn al-EArabi’s mystical extrapolation from the wisdom of
from 1910 to 1919, served as a lecturer in the Rand School
the Golden Rule to the submission of humans to the infinity
of Social Sciences from 1915 to 1929, and was professor of
of the divine will.
thought and culture at the Portland Extension of the Univer-
sity of Oregon from 1930 until his death in 1940. He also
SEE ALSO Morality and Religion.
taught at the New School for Social Research, the University
of Wisconsin, and Reed College.
BIBLIOGRAPHY
Allinson, Robert. “On the Negative Version of the Golden Rule
Although he carried out several months of anthropolog-
as Formulated by Confucius.” New Asia Academic Bulletin 3
ical fieldwork (on the social and political organization of the
(1982): 223–232.
Northern Iroquois), Goldenweiser’s primary interests 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
3634
GOLDZIHER, IGNÁCZ
theoretical. He was known as the most philosophical of
bic and Hebrew, and with Abraham Geiger and Moritz
American anthropologists, and he remarked once that he
Steinschneider for the historical relations between Judaism
would rather read bad theory than no theory at all. The
and Islam, and then in Leipzig, where he received his final
formative influence on his mature work was clearly that of
training as an Arabist under Heinrich Leberecht Fleischer,
Boas and his students. Goldenweiser’s most influential writ-
obtaining his doctorate in 1870. The work of the Austrian
ings are sober and sharp-sighted critiques of the cultural evo-
scholar Alfred von Kremer opened up for Goldziher the per-
lutionism and diffusionism prevalant in the early twentieth
spective of an intellectual history (Geistesgeschichte) of Islam.
century.
Appointed privatdocent at the University of Budapest in
1871, he undertook several journeys, including a year’s stay
Goldenweiser’s “Totemism: An Analytical Study” ap-
in Egypt (1873–1874), where he attended lectures at al-
peared in 1910, the same year as James Frazer’s monumental
Azhar mosque. Goldziher became secretary of the Liberal
Totemism and Exogamy, although, as Lévi-Strauss later noted,
Jewish Community in Budapest in 1876 and had to confine
Goldenweiser’s 110 pages were to have a more permanent
his research largely to the evenings; yet during these years he
theoretical influence than Frazer’s four volumes. Frazer
prepared his major publications. He became professor of the
sought to establish the status of totemism as an evolutionary
philosophy of Judaism at the Jewish Seminary in 1900 and
stage of religious development, a sort of universal primitive
was appointed to the chair of Semitic philology at the Uni-
institution. Goldenweiser argued that what was called “to-
versity of Budapest in 1905; from there he exerted great in-
temism” was in fact merely the co-occurrence of three other-
fluence as the “patriarch” of Islamic studies until his death
wise distinct traits—the differentiation of formally similar
in 1921.
clans, the use of plant and animal symbols to distinguish
them, and the recognition of a special relation between clan
Goldziher may be said to have laid the foundation of
and totem.
Islamic studies as a scholarly discipline based on the literary
Goldenweiser, often immersed in the themes and issues
and historical study of texts, most of which were at the time
of his times, wrote widely on a number of topics relating to
available only as manuscripts. It required great erudition and
culture and history. It was, however, in such works as his
immense knowledge acquired through the reading of the
analysis of totemism, or his essay (1913) on “The Principle
original sources, and a creative use of the categories of the
of Limited Possibilities in the Development of Cultures” (in
history of religions, to reconstruct the architecture of the his-
which he argues, against the diffusionists, that limited possi-
tory of Islamic religion as he did.
bilities make cultural similarities inevitable) that his remark-
Goldziher’s first contribution was to reveal and then
able, critical intellect was able to transcend the limitations
study Islam’s sources (such as the QurDa¯n and the h:ad¯ıth lit-
of its era.
erature) as well as its religious disciplines: the techniques of
QurDa¯n exegesis (tafs¯ır), jurisprudence (fiqh), and philosoph-
BIBLIOGRAPHY
ical theology (kala¯m). He also successfully undertook the
Goldenweiser’s most significant contribution to the study of reli-
study of texts pertaining to the further development of reli-
gion was his essay “Totemism: An Analytical Study,” Journal
gious ideas, including those of mystical and “sectarian” de-
of American Folk-Lore 23 (1910): 179–293. A shorter early
velopments.
essay sets forth the “minority position” on the subject of in-
dependent invention and diffusion: “The Principle of Limit-
Second, by trying to understand the problems treated
ed Possibilities in the Development of Culture,” Journal of
in the religious texts within the framework of Muslim
American Folk-Lore 26 (1913): 259–270.
thought itself, Goldziher was able to show the inherent logic
of the history of ideas in Islam. He could situate texts and
New Sources
Shapiro, Warren. “Claude Leví-Strauss Meets Alexander Golden-
ideas not only in the “outward” history of Islamic institu-
weiser: Boasian Anthropology and the Study of Totemism.”
tions and in political history but also as part of the inner de-
American Anthropologist 93 (1991): 599–610.
velopment of Islam as a religion.
ROY WAGNER (1987)
Third, Goldziher carried out a critical quest for histori-
Revised Bibliography
cal truth and strived to show the historical situation, charac-
ter, and limitations of ideas and practices that were of a reli-
gious nature and that were consequently held to be of an
GOLDZIHER, IGNÁCZ
eternal validity. As a historian, he revealed the historical char-
(1850–1921), was a Hun-
acter of the texts that, with their interpretations, form part
garian Arabist and Islamicist. After elementary schooling and
of Islamic religion and culture. He also traced external histor-
a Jewish religious education in his birthplace, Székesfehérvár,
ical influences that have played a role in the development of
Goldziher moved to Budapest in 1865. By the time he com-
Islam.
pleted the Gymnasium in 1868, he had already begun to
study Islamic languages at the university under Arminius
Goldziher revealed Islam as a complete entity in itself—
Vámbéry. From 1868 until 1870 he pursued his studies first
that is to say, a religious entity—and encouraged its study.
in Berlin with Friedrich Dieterich and Emil Rödiger for Ara-
His insights into Islamic scripture and tradition, law, 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
GOOD, THE
3635
theology were certainly enhanced by his familiarity with sim-
GOLEM SEE LÖW, YEHUDAH BEN BETSALDEL OF
ilar problems in the study of Judaism. The respect he enjoyed
PRAGUE
among Arabs is noteworthy; his contacts with Muslim schol-
ars were many, and several of his publications have been
translated into Arabic. The diary he maintained—an unusual
habit in the world of scholarship—was published in 1978.
GOOD, THE. A distinction has to be made between two
sets of questions related to the concept of the good. There
are ethical problems about how to elaborate reasonable
BIBLIOGRAPHY
criteria of goodness, where goodness is conceived as a charac-
The following publications of Goldziher’s have become classics in
teristic of human actions and of things or properties that are
Islamic studies. In Die Zâhiriten: Ihr Lehrsystem und ihre
directly or indirectly relevant to human life. And there are
Geschichte; Beitrag zur Geschichte der muhammedanischen
questions concerning the goodness of God or of existence as
Theologie (Leipzig, 1884), which has been translated into En-
such, apart from God’s benevolence and love for the human
glish as The Zâhiris: Their Doctrine and Their History; A Con-
race. I shall concentrate upon the latter question.
tribution to the History of Islamic Theology (Leiden, 1971),
Goldziher provides an in-depth treatment of the distinctive
In archaic and polytheistic religions, gods are not neces-
jurisprudence and theology of an early medieval Islamic
sarily good either in the sense of caring about human well-
school that later disappeared. Perhaps most important was
being or in the sense of providing humanity with a model
the publication of his two-volume work Muhammedanische
of moral conduct; some are, some are not, and many com-
Studien (Halle, 1889–1890), which has been translated as
bine good and evil characteristics in both respects. Yet in the
Muslim Studies, 2 vols. (Chicago, 1966–1973). The second
myths of origin, the evil of gods has been connected, as a
volume contains a historical study of the development of
rule, with destruction and disorder, and goodness with cre-
h:ad¯ıth, or tradition literature (pp. 3–274), and traces the
ation and harmony, whether or not any one of the gods was
writing of particular groups of h:ad¯ıths to various currents
invariably and systematically good or evil. In Iranian dualist
and trends of the first one and one-half centuries of Islam.
mythology good and evil were attributed respectively to one
Goldziher also published a survey of the history of Islam,
and another mutually hostile divine beings. In all monotheis-
Vorlesungen über den Islam (Heidelberg, 1910), which origi-
nally had been intended as the Haskell Lectures of 1908; it
tic religions God is totally good in an absolute and unquali-
is available in English as Introduction to Islamic Theology and
fied sense, and his goodness consists not only in that he loves
Law (Princeton, N.J., 1981). His last major publication, a
his creatures: It is his intrinsic, nonrelative property; God
study of the different schools of QurDa¯n exegesis (tafs¯ır), was
would be good even if he had not created the universe. So
Die Richtungen der islamischen Koranauslegung (1920; re-
conceived, goodness acquires a metaphysical meaning that
print, Leiden, 1970). Among other works by Goldziher avail-
probably cannot be further analyzed, cannot be reduced to
able in English is his A Short History of Classical Arabic Litera-
other concepts, and has an axiomatic character.
ture (Hildesheim, 1966). Goldziher’s Gesammelte Schriften,
edited by his pupil Joseph de Somogyi, have been published
Philosophical reflection on this kind of goodness is
in six volumes (Hildesheim, 1967–1973). The first volume
Plato’s legacy; he discovered the idea of the good, which is,
contains a biographical account by the editor.
of course, desirable and therefore good for humankind, as
well as the source of all goodness; but the good is not good
A bibliography of Goldziher’s publications, Bibliographie des
because desirable, but desirable because intrinsically good.
œuvres de Ignace Goldziher, has been compiled by Bernard
This topic was taken up and elaborated by later Platonists,
Heller (Paris, 1927). Supplements have been published in
including, in particular, Plotinus; to him the One is good
the two Ignace Goldziher Memorial Volumes (Budapest, 1948,
both in terms of human needs and happiness and good in
and Jerusalem, 1958). Goldziher’s diary, or Tagebuch, has
itself, apart from this relationship. Other Platonists, howev-
also appeared, in an edition edited by Alexander Scheiber
(Leiden, 1978).
er, denied that the characteristics of goodness could be mean-
ingfully attributed to the first principle: Speusippus, Plato’s
New Sources
successor in the academy, made the point, and so did the last
Goldziher, I., M. Hartmann, and L. Hanisch, “Machen Sie doch
pagan philosopher, Damascius, to whom the first principle,
unseren Islam nicht gar zu schlecht”: der Briefwechsel der Islam-
being utterly ineffable, could not possibly have any proper-
wissenschaftler Ignaz Goldziher und Martin Hartmann, 1894–
ties, whether relative or even absolute; having no name (even
1914. Wiesbaden, 2000.
the word principle is not appropriate) and no relationship
with other realities or even with itself, it cannot be called
Goldziher, I., K. Dévényi, and T. Iványi, On the History of Gram-
good in any sense.
mar among the Arabs. Philadelphia, 1994.
Christian philosophy, which assimilated many Platonic
Smith, W.R., I. Goldziher, and S. A. Cook, Kinship & Marriage
categories, has always stressed all the meanings of divine
in Early Arabia. London, 1990.
goodness: God is good in himself, he is the creator of all
JACQUES WAARDENBURG (1987)
goodness, he is benevolent, and he is the source of criteria
Revised Bibliography
whereby one’s acts are called morally good or evil. Whatever
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3636
GOODENOUGH, ERWIN R.
else is good is such derivatively and by participation in the
The idea of divine goodness as a nonrelative property
goodness of God. And, apart from a few dualistic sects, all
does not seem to be a product of pure philosophical specula-
creation was, in Christian thinking, attributed to God; be-
tion. It is rooted in, and makes explicit, the old tenet of many
cause no existence is conceivable apart from God, whatever
religions: Creation as such is good, and therefore the creator
exists is good by definition. Evil has no positive ontological
is good as such.
characteristics and is to be defined as pure negativity, priva-
The distinction between autotelic (or intrinsic) and in-
tio, lack of being: evil comes from the ill-will of human or
strumental goods has been almost universally admitted by
diabolic creatures endowed with freedom of choice and abus-
philosophers since Plato and Aristotle, yet there has never
ing this freedom; yet even the devil, insofar as he exists, is
been an agreement about how to draw the line between them
good, even though his will is incurably and totally corrupt.
and how to define what is good in itself; many philosophers
This doctrine has been elaborated in detail by Augustine. In
have denied that a collection of properties can be found that
Thomas Aquinas’s idiom it is summed up in saying that
would be common to all the things and experiences people
being and goodness are coextensive (esse et bonum convertun-
have called good. In the conflict between utilitarians and
tur). Some Christian philosophers and theologians discussed
Kantians, and between utilitarians and pragmatists, these
the question (broached already by Plato): Are the criteria of
problems are among the most often debated.
good and evil, given by God, arbitrary or intrinsically valid?
In other words, is the good good because God has decreed
BIBLIOGRAPHY
it to be good (as some nominalists and Descartes believed),
A comprehensive listing of bibliographic references to the concept
or has God said that it is good because it is good in itself (as
of the good would include works by most Western philoso-
Leibniz argued)? If the former, moral rules appear to humans
phers, including Plato, Aristotle, the Stoics, Augustine,
as arbitrary and contingent as, say, the rules of traffic; God
Thomas Aquinas, Spinoza, Hobbes, Hume, and Kant. The
could have decreed other norms of conduct and said, for in-
following twentieth-century works can be recommended:
stance, that adultery is good and loving one’s neighbor
Dewey, John. Theory of Valuation. Chicago, 1939.
wrong—a conclusion that sounds outrageous to common
Ewing, A. C. The Definition of Good. New York, 1947.
sense; yet, if God orders what is intrinsically good, apart
Hartmann, Nicolai. Ethics. 3 vols. Translated by Stanton Colt.
from his decrees, he appears to be bound by laws that do not
London, 1932.
depend on him, which makes his omnipotence doubtful.
Moore, G. E. Principia Ethica. Cambridge, U.K., 1903.
The question can be invalidated, however, by saying—in
conformity with Thomist metaphysics—that God is what he
Rice, P. B. On the Knowledge of Good and Evil. New York, 1955.
decrees and that there are no rules of goodness different from
Ross, W. D. The Right and the Good. Oxford, 1930.
his essence, therefore he neither obeys a foreign law nor issues
Stevenson, Charles. Facts and Values. New Haven, 1963.
arbitrary decrees of which the content is contingent upon his
Westermarck, Edvard A. The Origin and Development of the Moral
essence.
Ideas. 2d ed. 2 vols. London, 1924.
If God is good in himself, and not only benevolent to
Wright, Georg H. von. The Varieties of Goodness. London, 1963.
his creatures, it is essential, in Christian terms, that one
New Sources
should love him not only as a benefactor and savior but be-
Dorter, Kenneth. Form and Good in Plato’s Eleatic Dialogues: The
cause he is who he is. The point was strongly stressed by
Parmenides, Theaetetus, Sophist, and Statesman. Berkeley,
many Christian mystics and other “theocentrically” oriented
1994.
writers. They argued that God is not only the highest good
Keenan, James E. Goodness and Rightness in Thomas Aquinas’s
but the only good proper, therefore humankind is for God,
Summa Theologiae. Washington, D.C., 1992.
rather than he for humans; individuals should admire him
MacDonald, Scott. Being and Goodness: The Concept of the Good
utterly oblivious of all favors and graces received from him;
in Metaphysics and Philosophy. Albany, N.Y., 1996.
indeed their love should be the same even if they knew that
Ross, Stephen David. The Gift of Beauty: The Good as Art. Albany,
he condemned them to hell, and they should be happy to
N.Y., 1996.
accept his will unconditionally, whatever it means to them;
Ross, W. D. The Right and the Good. Edited by Philip Stratton-
they ought only to want God to be God, whereas to love God
Lake. New York, 2002.
in reciprocity for his benevolence is unworthy or perhaps sin-
LESZEK KOLAKOWSKI (1987)
ful. The standard Christian teaching, while stressing the
Revised Bibliography
value of the disinterested love of God, never goes so far as
to say that worshiping God in connection with his gifts and
graces is a sin or to deny that one’s salvation is an intrinsic
good and not only an instrument whereby God’s glory is
GOODENOUGH, ERWIN R. (1893–1965), was
augmented; indeed, the last two statements sound heretical.
an American historian of religions. After studying for the
The theory of “pure love” was hotly debated in the Catholic
Methodist ministry at Drew Theological Seminary and Gar-
church in the seventeenth century.
rett Biblical Institute, Goodenough spent three years in New
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GORA¯KHNA¯TH
3637
Testament and Jewish Studies at Harvard University, chiefly
During a year at Brandeis University (1962–1963)
with George Foot Moore, before proceeding to Oxford Uni-
Goodenough moved to Cambridge, Massachusetts, where he
versity and earning a D. Phil. in 1923. Little influence of Ox-
contemplated writing a study of early Christianity based on
ford is discernible in his work, except perhaps in the sketch
his Hellenistic Jewish model. In a commemorative essay,
of Middle Platonism provided in his dissertation on Justin
Goodenough’s friend and sometime student Samuel Sand-
Martyr. In the published version (Jena, 1923) he mentions
mel raised questions about the possibility of such a work, in
none of his teachers. The book does, however, foreshadow
view of Goodenough’s lack of knowledge of the history of
his later studies of Philo Judaeus, for in it Goodenough dis-
scholarship, especially in the New Testament field, but he
covered the influence of Philo to be pervasive in early Chris-
concluded that what Goodenough considered “prolegome-
tian theology.
na” to this proposed final work were probably more valuable
than any book on Christian origins would have been.
Goodenough began teaching at Yale University in 1923
and remained there until his retirement, steadily producing
Goodenough was active in learned societies, serving as
articles and books to demonstrate that many sectors of Juda-
editor of the Journal of Biblical Literature from 1934 to 1942
ism had been receptive to Greco-Roman influence, not only
and as president of the Connecticut Academy of Arts and
in the realm of philosophical ideas but also in those of mysti-
Sciences from 1947 to 1958. He took an active part in the
cal intuition and artistic representation. His By Light Light,
American Council of Learned Societies from 1953 to 1965
subtitled The Mystic Gospel of Hellenistic Judaism (1935), was
and was a member of its Committee on the History of Reli-
not universally accepted by students either of the Hellenistic
gions. In this setting especially he was highly influential be-
world or of Judaism, but like all his works it stimulated inter-
cause of his learning, common sense, and personal charm.
est in his hero, Philo.
In 1953 began the publication of Goodenough’s major
BIBLIOGRAPHY
work, Jewish Symbols in the Greco-Roman Period, which was
Goodenough’s studies of Philo Judaeus also include The Politics
posthumously completed in 1968 in thirteen volumes (in-
of Philo Judaeus (1938; reprint, Hildesheim, 1967) and Intro-
duction to Philo Judaeus (Oxford, 1940). Goodenough set
cluding a volume of valuable indexes and maps). The genesis
forth some of his own religious ideas in Toward a Mature
of this remarkable combination of fact and analysis was a
Faith (New York, 1955). Samuel Sandmel’s essay in memory
visit Goodenough made to Rome during his time at Oxford.
of Goodenough appears in a volume of other such essays, en-
In Rome he saw catacomb frescoes and intuitively concluded
titled Religions in Antiquity, edited by Jacob Neusner (Lei-
that the depictions of Old Testament scenes must have had
den, 1968). Other contributors of personal reminiscences to
Jewish models. Excavations in the early 1930s at Dura-
this volume include Morton Smith and Alan Mendelson.
Europos (in which Yale participated) seemed to confirm his
New Sources
theory, for a third-century synagogue with bold and mysteri-
Goodenough, E. R. The Jurisprudence of the Jewish Courts in Egypt:
ous frescoes of biblical themes (now preserved at Damascus)
Legal Administration by the Jews under the Early Roman Em-
was found.
pire as Described by Philo Judaeus. Union, N.J., 2002
Such paintings, prohibited by rabbinic teaching, re-
Goodenough, E. R., and A.T. Kraabel, Goodenough on the Begin-
quired explanation, and Goodenough took two primary lines
nings of Christianity. Atlanta, 1990
of approach. First, he went back to the Jewish catacombs at
Goodenough, E. R., and J. Neusner, Jewish Symbols in the Greco-
Rome and to many museums elsewhere, searching for the
Roman Period. Princeton, 1988.
symbols present at Dura and working out their meanings for
ROBERT M. GRANT (1987)
members of the Jewish communities. Then, influenced by
Revised Bibliography
psychoanalytic methods, he proceeded to explain their
“basic” (usually Freudian) significance. Another principle he
employed had to do with his division of the paintings into
“left” and “right” on the basis of Pythagorean and gnostic
GORA¯KHNA¯TH, also known by the Sanskrit form of
notions, although the scenes themselves seem to be arranged
his name, Goraks:ana¯tha, was a teacher of hat:hayoga who
“up” and “down.”
lived sometime between 900 and 1225 CE. A leading Hindi
The possibility or even likelihood that Goodenough was
scholar, Hazariprasad Dwivedi, has observed that “since the
overinterpreting naturally occurred to him as well as to oth-
time of S´an˙kara¯ca¯rya there has not been anyone in India as
ers, but he preferred to take this course rather than to retreat
influential or as great” as Goraks:ana¯tha. There is still no con-
into agnosticism. As an “ex-Christian,” as he called himself,
sensus about either his dates or the compositions that may
he found mystical theories especially attractive. His tendency
be correctly attributed to him.
to say what he thought, and to point out what he did not
Scholars who favor an early date for Gorakhna¯th base
believe, aroused the ire of the youthful William F. Buckley,
their claim mainly on indications of an early date for his
Jr., whose God and Man at Yale (1951) included an attack
guru, Matsyendrana¯th. They focus especially on a reference
on Goodenough’s lack of orthodoxy in teaching college stu-
made by Abhinavagupta (tenth century?), in which he identi-
dents.
fies a Matsyendrana¯th as his own guru. Some sources call
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3638
GÖRRES, JOSEPH VON
Gorakhna¯th’s guru M¯ınana¯th (both mina and matsya signify
other such texts such as the Hat:hayoga-prad¯ıpika¯ and
“fish”). Most scholars take Matsyendrana¯th and M¯ınana¯th
Gheran:d:a-sam:hita¯. The Goraks:a-´sataka describes the six
to be the same person. Svatmarama’s Hat:hayoga-prad¯ıpika¯,
(elsewhere eight) “limbs” of yoga— postures (a¯sana), breath
however, lists Gorakhna¯th as the fifth or sixth in spiritual de-
control (pra¯n:a¯ya¯ma), sense withdrawal (pratya¯ha¯ra), concen-
scent from Matsyendra and the direct disciple of M¯ına. This
tration (dha¯ran:a¯), meditation (dhya¯na), and illumination
lineage would lead one to conclude that Matsyendra and
(sama¯dhi)—and pays particular attention to certain yog¯ıc
M¯ına are different and that Gorakhna¯th lived more than a
practices such as the khecar¯ı mudra¯, the muscle contractions
hundred years after Matsyendra. A later date for Gorakhna¯th
called bandhas, and meditations on the seven mystical cen-
is based on the genealogy of Jña¯ndev, the author of the
ters (cakras).
Marathi classic Jña¯ne´svar¯ı, which, according to some manu-
The Siddhasiddha¯nta-paddhati is a more extended and
scripts, was written in the year 1290. Jña¯ndev claims to be
theoretical work that gives a somewhat different map of the
the third in spiritual descent from Gorakhna¯th. This would
supraphysical anatomy of the subtle body. It describes nine
place Gorakhna¯th in the early thirteenth century.
cakras, together with sixteen mental supports (a¯dha¯ras),
No reliable data on the life of Gorakhna¯th exist. He is,
three points of concentration (laks:yas), and five firmaments
however, the subject of many fascinating legends, legends
(vyomans). These are all used as points of reference and aids
that provide an archetypal portrait of a great yog¯ın and won-
to the attainment of supreme reality, here called the ana¯man
der-worker. The majority of these legends originated with
(“nameless”). An elaborate cosmology postulates a series of
the Hindu sect known as the Ka¯nphat:a¯ Yog¯ıs—also called
correspondences between the microcosm of the individual
na¯ths and na¯th siddhas—who have been the principal propo-
body and the macrocosm of the physical universe. The god-
nents of the doctrine and practice of hat:hayoga.
dess S´akti is called the support of the body. Ana¯man is closely
It is said that Gorakhna¯th’s doctrine was first propound-
related to, or identical with, the union of S´iva and S´akti.
ed by the god S´iva. S´iva imparted the doctrine to his wife,
When the master yog¯ın produces this union within his sub-
Pa¯rvat¯ı, while they were seated in a boat, or castle, floating
tle body, the supernatural powers (siddhis) appear spontane-
on the milk ocean. Matsyendrana¯th changed himself into a
ously. After twelve years of practice the yog¯ın becomes the
fish in order to listen surreptitiously to S´iva’s teachings.
equal of S´iva himself.
When the god became aware of this ruse, he uttered a curse
SEE ALSO Cakras; Hat:hayoga.
foretelling that Matsyendrana¯th would forget what he had
learned. Eventually, Matsyendrana¯th became ensnared by
BIBLIOGRAPHY
the charms of the women of the mythical land of Kadal¯ı and
An excellent study of Gorakhna¯th and the Ka¯nphat:a¯ Yog¯ıs is
forgot the doctrine. His disciple Gorakhna¯th disguised him-
found in Shashibhusan Dasgupta’s Obscure Religious Cults,
self as one of the dancing girls of Kadal¯ı and broke his guru’s
3d ed. (Calcutta, 1969). George W. Briggs’s earlier work,
enchantment through the words of his songs. Matsyen-
Gorakhnath and the Kanphaya Yogis (1938; reprint, Delhi,
drana¯th and his disciple then returned to their former prac-
1973), is full of information but is somewhat disorganized.
tice of austere yogic asceticism.
It contains a translation of a version of the Goraks:a-´sataka.
Also valuable, with an excellent bibliography, is Mircea
Gorakhna¯th and Matsyendrana¯th are included among
Eliade’s Yoga: Immortality and Freedom, 2d ed. (Princeton,
the eighty-four siddhas, who belong as much to Buddhist
N.J., 1969). The Siddhasiddha¯nta-paddhati has yet to be
Sahajiya¯ tradition as to the S´aiva tradition of the Ka¯nphat:a¯s.
translated into English, but it is summarized by Kalyani Mal-
The Ka¯nphat:a¯s also include them among the so-called nine
lik in her introduction to her collection of Sanskrit texts,
na¯ths. Although the names of some of these na¯ths vary from
Siddha-siddha¯nta-paddhati and Other Works of the Na¯tha
list to list, two of them—Ja¯landhar¯ıpa¯ or Ha¯d:isiddha, an
Yog¯ıs (Poona, 1954). The initial citation is from Hazaripra-
Untouchable brother-disciple of Matsyendrana¯th, and
sad Dwivedi’s study in Hindi, Na¯th-samprada¯y (Varanasi,
Ka¯nhupa¯, Ja¯landhar¯ıpa¯’s chief disciple—form the principal
1966), p. 106.
subjects of a related cycle of legends that recount their rela-
DAVID N. LORENZEN (1987)
tions with King Gop¯ıca¯nd and his mother, Queen
Mayana¯mat¯ı. Ka¯nhupa¯ may be identical with Kr:s:n:apa¯da,
the author of several of the Tantric Buddhist songs called
carya¯padas.
GÖRRES, JOSEPH VON (1776–1848), was a Ger-
man publicist and Romantic mythologist. Born in the
The texts attributed to Gorakhna¯th are all expositions
Rhineland and educated in Catholic schools, Johann Joseph
of the practices and mystic doctrines of hat:hayoga. Some are
von Görres remains best known for his fervent nationalist ac-
written in Sanskrit and others in Hindi or other languages
tivities as editor and pamphleteer: successively a republican,
of North India. Most important are the Siddha-
monarchist, and, as Catholic polemicist, an ultramontan-
siddha¯nta-paddhati and the Goraks:a-´sataka in Sanskrit and
ist—this last position also marked his tenure as professor of
the S´abad¯ı and Gorakhbodh in old Hindi.
history at Munich in the final third of his life, during which
The Goraks:a-´sataka (Hundred verses of Goraks:a) is one
he wrote Die christliche Mystik (4 vols., 1836–1842). His na-
of the basic texts of hat:hayoga and shares many verses with
tionalism is reflected in his mythic interests. While lecturing
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GOS´A¯LA
3639
at Heidelberg from 1806 to 1808, he was associated with
GOS´A¯LA, more fully Go´sa¯la Maskariputra (sixth century
Achim von Arnim and Clemens Brentano, who were then
BCE according to tradition, but, following Western research,
publishing their landmark German folklore collection Des
rather fifth, or even fourth century BCE); one of the principal
Knaben Wunderhorn (1806–1808). Görres published his
heterodox religious figures of early India. A contemporary of
own collection Die teutschen Volksbücher (1807) and Altteuts-
the Buddha and the Jina, Go´sa¯la was the leader of the A¯j¯ıvika
che Volks und Meisterlieder (1817). In 1820, after having
community and is said to have regarded himself as the
studied Persian from about 1808, he presented a translation
twenty-fourth t¯ırthan˙kara of the current avasarpin:¯ı
entitled Das Heldenbuch von Iran (part of the Shahnameh).
(“descending”) age. His name is given in various forms de-
His major work on myth is Mythengeschichte der asiatischen
pending on the source of the reference: Makkhali Go´sa¯la in
Welt (1810).
Pali; Maskarin Gosa¯la (“the ascetic with the bamboo rod”)
in Buddhist Sanskrit; Gosa¯la Man˙khaliputta in the Jain Pra-
This “history of the myths of the Asiatic world” seeks
krits; and Markali in Tamil.
to demonstrate that a primal monotheism originated in India
and spread from there through the world, though in con-
Much of the information concerning Go´sa¯la and the
fused or debased form. Görres carries his thesis into discus-
A¯j¯ıvikas derives from early Buddhist and Jain scriptures and
sions of Indic, Persian, Chaldean, Egyptian, Greek, Chinese,
the commentarial literature that developed around them. As
and Germanic myth. Seen from this perspective, his book is
a result, the picture of the A¯j¯ıvikas suffers from the inevitable
a prime example of German Romantic descriptions of pagan
distortions of sectarian prejudice. Some stray allusions to the
myth as “plagiarized” versions of the one true monotheistic
A¯j¯ıvikas can also be found in Sanskrit literature. The Tamil
revelation—a doctrine borrowed from earlier Christian writ-
epics, however, are comparatively well acquainted with the
ers. But his book is not a history in any rigorous sense so
sect and the A¯j¯ıvikas are mentioned in South Indian epi-
much as a grand Romantic visionary system, rapturously
graphs dating from the fifth to the fourteenth century CE.
elaborated. He openly relies on “higher” intuitive insight
A fairly reliable account of Go´sa¯la’s life and his relation-
where scholarly evidence is lacking or recalcitrant. His
ship with Ma¯hav¯ıra can be found in the fifteenth chapter of
thought (always difficult) is perhaps best understood as sug-
the fifth an˙ga of the Jain canon. According to this account,
gesting that the godhead is perpetually present. In the far-off
Go´sa¯la was born in the kingdom of Magadha (Bihar), proba-
mythic age, original humankind lived in the godhead, open-
bly the son of a man˙kha or professional mendicant. Im-
ly, spontaneously, and wholly. When this golden age dis-
pressed by the teachings and personality of Ma¯hav¯ıra, Go´sa¯la
solved, humans entered “history” and came to believe in an
insisted on being admitted as his disciple and for at least six
external “nature.” Still, the original truth survives in myth
years accompanied him on his peregrinations. At last, feeling
and can be at least partially recovered despite humanity’s dis-
himself to be spiritually more advanced than his master, he
persal and self-division into many peoples and languages.
undertook the practice of austerities, acquired magic powers,
There are echoes of Schelling in Görres’s emphasis on nature
and challenged Ma¯hav¯ıra. Surrounding himself with disci-
and history as the self-revelation of the godhead. But he also
ples, he is alleged to have established his headquarters in
seems at times to deny history or nature any real status what-
S´ra¯vasti (northwest of Magadha), forging close links with the
ever, and in this vein he may be close to certain views of Wil-
potters’ community there.
liam Blake.
In the twenty-fourth year of his asceticism Go´sa¯la was
visited by six other ascetics, possibly disciples. It is surmised
BIBLIOGRAPHY
that at that meeting the teachings of Go´sa¯la were codified
Görres’s work is collected in Gesammelte Schriften, 6 vols., edited
to form the core of A¯j¯ıvika scripture. It was on this occasion
by Marie Görres (Munich, 1854–1860), with two additional
that he enumerated the six inevitable factors of life: gain and
volumes edited by Franz Binder (Munich, 1874). The most
loss, joy and sorrow, and life and death, along with the two
illuminating discussion of the Indic mythic background for
“paths,” song and dance. It is now believed that the original
Görres is A. Leslie Willson’s A Mythical Image: The Ideal of
corpus of A¯j¯ıvika scripture was composed in an eastern Pra-
India in German Romanticism (Durham, N.C., 1964). Fritz
krit, perhaps akin to the Jain Prakrit Ardhama¯gadh¯ı. Quota-
Strich’s Die Mythologie in der deutschen Literatur von Klop-
tions and adaptations of these scriptures appear to have been
stock bis Wagner, 2 vols. (Halle, 1910), is the standard work.
sporadically inserted in Buddhist and Jain accounts of the
Görres is discussed as mythologist, with translated selections,
in The Rise of Modern Mythology, 1680–1860, compiled by
sect, but the A¯j¯ıvika scriptures themselves failed to survive.
me and Robert Richardson (Bloomington, Ind., 1972),
A¯j¯ıvika doctrine apparently contained elaborate teach-
pp. 380–386.
ings on cosmology, reincarnation, and the elemental catego-
ries. It divided humanity into six groups, classified according
New Sources
to their psychic color (black, blue, red, green, golden/white,
Vanden Heuvel, Jon. A German Life in the Age of Revolution: Jo-
white/supremely white. Compare the lesyas in Jainism).
seph Görres, 1776–1848. Washington, D.C., 2001.
However, the school is best remembered (and condemned
BURTON FELDMAN (1987)
in Buddhist and Jain sources) for its uncompromising deter-
Revised Bibliography
minism (niyati). In a Jain text an A¯j¯ıvika deity declares 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
3640
GOSPEL
there is in fact no real human effort, no deed, no strength,
could be qualified as euaggelion, particularly imperial birth
no courage, no action or prowess: all beings are instead “de-
announcements and news of the emperor’s ascension to the
termined” (after Basham). This determinism thus denies free
throne, but even imperial decrees. A significant passage in
will, moral responsibility, or the maturation of karman. It
this regard is a calendar inscription (9 BCE) from Priene in
was this tenet that elicited the strongest condemnation from
Asia Minor that comments upon the birth of the emperor
the Buddha in his assessment of various “false views.”
Augustus. This passage is usually translated “For the whole
world the birthday of the [emperor] god began the joyful
SEE ALSO A¯j¯ıvikas.
news [euaggelio¯n, a genitive plural] in his regard,” but the
passage is mutilated, and the Greek euaggelio¯n may just as
BIBLIOGRAPHY
well refer to “joyful sacrifices” instead of “joyful news.”
Although written many years ago, A. F. R. Hoernle’s “A¯j¯ıvikas,”
Hellenistic Jewish authors, such as Philo of Alexandria
in volume 1 of the Encyclopaedia of Religion and Ethics, edited
(d. 45–50
by James Hastings (Edinburgh, 1908), can still be profitably
CE) and Josephus Flavius (37–c. 100 CE), used eu-
consulted. A convenient short summary of the Buddhist ac-
aggelion with a secular connotation. The term was also em-
counts concerning the A¯j¯ıvikas can be found in George
ployed by the translators of the Greek Bible (the Septuagint),
Peiris’s “A¯j¯ıvika” in volume 1 of the Dictionary of Pali Proper
who used euaggelion to render the Hebrew bsr. In the He-
Names, edited by G. P. Malalasekera (1937; reprint, London,
brew scriptures bsr is used only in a secular sense. Euaggelion
1960). See also Jozef Deleu’s Viya¯hapannatti (Bhagava¯ı): The
likewise has only a profane meaning in the Septuagint. There
Fifth Anga of the Jaina Canon (Brugge, 1970), pp. 214–220.
euaggelion is used of the reward given to a messenger in 2
At present, the standard work on the subject is A. L.
Samuel 18:22 and of a joyous message in 2 Samuel 18:20
Basham’s History and Doctrines of the A¯j¯ıvikas: A Vanished
(likewise 2 Sm. 4:10, 18:25, 18:27; 2 Kgs. 7:9).
Indian Religion (London, 1951). See also the review of this
work by Walther Schubring: “Bücherbesprechungen: A. L.
THE SEPTUAGINT. In the Septuagint (a Greek translation of
Basham; History and Doctrines of the A¯j¯ıvikas,” Zeitschrift der
the Hebrew scriptures), the verb euaggelizein, cognate with
Deutsche Morgenländischen Gesellschaft 104 (1954): 256–
euaggelion, is commonly used in the profane sense with the
263. The dates of Go´sa¯la cannot be disjoined from those of
meaning “to announce.” In “Second Isaiah” (Is. 40:9, 52:7,
the Jina and of the Buddha. The latter, especially, has been
60:6, 61:1), however, and in some texts dependent upon it
reassessed; see Heinz Bechert (ed.), The Dating of the Histori-
(Na. 1:15; Ps. 68:11, 96:2), euaggelizein specifically connotes
cal Buddha / Die Datierung des historischen Buddha. Parts 1–3
the announcement of the good news of salvation. The mes-
(Symposien zur Buddhismusforschung, IV/1–3, Abhandlun-
senger of good news (euaggelizomenos) announces that the
gen der Akademie der Wissenschaften in Göttingen.
Philologisch-Historische Klasse, Dritte Folge, Nos. 189,
time of salvation is at hand, that Yahveh will reign as king,
194, 222), Göttingen, 1991, 1992 and 1997.
that a new age is about to dawn. Within this context the use
of the verb acquires an eschatological connotation. The era
COLETTE CAILLAT (1987 AND 2005)
of salvation is made present by the announcement of it. Nei-
ther “Second Isaiah” nor the dependent texts use the noun
euaggelion in this eschatological, salvific sense.
GOSPEL. As a word in the English language, go¯spel repre-
The notion of the bearer of the good news of salvation
sents Middle English terminology derived from the Old En-
persisted in both Hellenistic and Palestinian Judaism (see the
glish godspel (from go¯d, “good,” and spel, “story”). “Gospel”
Targum on Isaiah 40:9 as well as 1QM 18:14 from among
is the common translation of the Late Latin evangelium,
the Dead Sea Scrolls). The mid-first-century Psalms of Solo-
which is a virtual transliteration of the Greek euaggelion. In
mon (11:1–2) uses euaggelizein in the eschatological sense,
classical Greek, euaggelion designated everything connected
while in postbiblical Judaism bsr and its cognate verb refer
with the euaggelos, the bearer of good news (from eu, “well,”
not only to concrete historical news but also to prophetic
and aggelos, “messenger, one who announces”). Initially eu-
messages of weal and woe, angelic messages, and divine an-
aggelion designated the reward given to the messenger who
nouncements of consolation and blessing.
brought happy news (see Homer, Odyssey 14.152–153). In
NEW TESTAMENT. Within the New Testament, euaggelion
the plural the term euaggelia was used to designate the offer-
is used far more frequently by Paul than by any other author
ings to the gods made in thanksgiving upon the reception
(forty-eight times in the indisputably Pauline writings). His
of good news (e.g., Xenophon, Historia Graeca 4.13.14).
writings are the first literary attestation to the Christian usage
Later euaggelion came to be used for the content of the mes-
of the term. It is characteristic of Paul that he uses the term
sage, the good news itself, usually an announcement of a mil-
in an absolute sense and without any qualifying adjective. To
itary victory.
some authors this suggests that Paul first gave a Christian
Euaggelion occasionally entered into religious use, where
connotation to the term euaggelion, while to others it implies
its connotation was derived from oracular usage. Within this
that Paul had taken over an earlier Christian usage. In any
context, euaggelion signified a divine utterance, but the term
event, there is little doubt that the term acquired its Chris-
was also used in the cult of the emperors. There it enjoyed
tian significance in a Hellenistic environment. While some
a mythical quality. Anything having to do with the emperor
scholars maintain that the early Christian usage was derived
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GOSPEL
3641
from emperor worship, the more common opinion locates
work with “The beginning of the gospel of Jesus Christ, the
the roots of the Christian use of euaggelion in “Second
Son of God” (Mk. 1:1). This striking statement brings into
Isaiah.”
focus a point of view even if it does not, strictly speaking,
function as a title for the entire work.
Paul. In the Pauline letters two passages confirm the
thesis that Paul has taken over the absolute use of euaggelion
Matthew and Luke. Neither Matthew nor Luke em-
from early Christian usage. The passages in question are 1
ploys euaggelion so frequently as does Mark, and the Johan-
Corinthians 15:1–4 and Romans 1:1–4. In his first letter to
nine literature does not use the term at all. Matthew uses the
the Corinthians, Paul uses classic language to describe the
term four times but never without further qualification. He
handing on of traditional teaching and employs euaggelion
writes of “the gospel of the kingdom” (Mt. 4:23, 9:35), of
to identify the content of that teaching. Paul explicates the
“this gospel” (Mt. 26:13), and of “this gospel of the king-
content of the euaggelion by citing a creedal formula, proba-
dom” (Mt. 24:14). In all four instances Matthew uses euagge-
bly derived from Palestinian Christian circles, that focuses on
lion in relation to a speech complex. For him Jesus is no lon-
the death and resurrection of Jesus. In the opening verses of
ger the content of the gospel; instead, he is the
the letter to the Romans, the content of the gospel is the dis-
communicator of the gospel. The speeches of Jesus are “gos-
closure of Jesus as the Son of God and the Lord by his resur-
pels.” Matthew’s emphasis is on Jesus’ preaching and teach-
rection from the dead. Thus, for Paul, the basic content of
ing as providing a paradigm for the Christian way of life.
the gospel is the resurrection by means of which Jesus is con-
Luke does not use euaggelion at all in the first part of
stituted as Lord. This is understood as the fulfillment of the
his written work, but it appears twice in Acts (15:7, 20:24).
scriptural promise. Paul sometimes (e.g., 1 Cor. 9:12, 2 Cor.
Nonetheless, Luke employs the verb euaggelizomai (“I bring
2:12) calls it the gospel of Christ (euaggelion tou Christou) be-
the good news”) frequently both in his gospel (ten times) and
cause the good news of salvation has Christ as its central
in Acts (fifteen times). By doing so, Luke emphasizes the act
object.
of preaching, which is then explained by the direct object
In the writings of Paul, euaggelion also defines the oral
that accompanies the verb. He sharply distinguishes the
proclamation of the missionary (e.g., 2 Cor. 8:19, Phil. 4:15).
preaching of the apostles from Jesus’ own preaching. Willi
In 1 Corinthians 9:14, Paul uses the word in two senses, that
Marxsen has suggested that Luke deliberately avoided using
is, as his message and as the act of proclamation. The act of
euaggelion in the first part of his work because instead of giv-
proclamation involves more than recitation of a creedal for-
ing a record of the church’s proclamation he was writing a
mula or recital of the traditional kerygma on Jesus’ death and
type of “life of Jesus.”
resurrection. Paul’s whole person is involved (see 1 Thes. 1:5,
THE WRITTEN GOSPEL. The general Pauline usage of euagge-
2:8). His proclamation is the work of an apostle “approved
lion to mean the proclamation of salvation as concretized in
by God to be entrusted with the gospel” (1 Thes. 2:4). Paul
the death and resurrection of Jesus continued into the second
writes succinctly of “my gospel” (Rom. 2:16) or “our gospel”
century as the writings of Polycarp of Smyrna (Letter to the
(2 Cor. 4:3). Those who receive his message receive it “not
Philippians 9.2) and the Didache (12.3.1) attest. Aristides of
as the word of men but as what it really is, the word of God,
Athens, the first of the Christian apologists, once mentions
which is at work” (1 Thes. 1:13). For Paul, the gospel is the
the “evangelical writing” (euaggelik¯e graph¯e), and Ignatius of
“gospel of God” (e.g., 1 Thes. 1:9, 2 Cor. 11:7) because it
Antioch intimates that the gospel was a written text when he
comes from God and is about God’s work. Coming from
wrote to the church of Smyrna that neither “the prophetic
God, the gospel is powerful. Its proclamation brings about
predictions nor the law of Moses nor the gospel” has con-
the eschatological era of salvation; it implies the ending of
vinced his opponents (Letter to the Smyrneans 5.1).
one world order and the beginning of a new one.
Even when euaggelion came to be applied to a written
Mark. Both in understanding of the term euaggelion
text, the word continued to be employed in the singular, and
and in frequency of its usage (seven times), Mark is similar
this use of the singular was still widespread in the third cen-
to Paul. This does not imply a direct dependence of Mark
tury. The usage bespeaks the conviction that the gospel was
on Paul, because both of them reflect earlier Christian mis-
identical with the teaching of the Lord. This usage is reflect-
sionary usage. Mark, however, uses only euaggelion, the
ed in the formulaic expression “the Lord says in the gospel”
noun, and not the related verb. For Mark, euaggelion is a
(e.g., 2 Clem. 8:5), but it is also reflected in the titles of the
technical expression used to denote the kerygmatic an-
Gospels. The earliest parchment codices of the New Testa-
nouncement of salvation. Jesus is the subject of the gospel
ment, namely, the fourth-century Sinaiticus and Vaticanus
insofar as he proclaimed the coming of the kingdom of God
codices, entitled the Gospels “according to Matthew,” “ac-
(Mk. 1:15). When proclamation occurs, that which is pro-
cording to Mark,” and so on. This manner of providing each
claimed becomes a reality. Accordingly, the activity of Jesus
of the written gospels with a title suggests that euaggelion ap-
became the object of the gospel. Mark editorializes on the
plied to the whole collection of the four canonical gospels.
tradition he has incorporated into his work in order to affirm
Nonetheless, three of the early New Testament papyri have
that the gospel relates to that which has been done in and
made use of more complete titles: Gospel according to Mat-
through Jesus. Mark emphasizes this notion by opening his
thew (P4) and Gospel according to John (P66, P75). Even 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
3642
GOZAN ZEN
is a strange turn of phrase if the sole intention is to designate
ing and the view that Jesus is one’s personal savior. The read-
authorship. These titles seem to suggest that the single gospel
ing of a passage from one of the four canonical gospels (Mat-
was narrated according to the vision of a specific evangelist.
thew, Mark, Luke, John) is a key feature of worship services
There was only one message of final, eschatological salvation,
of the more liturgically oriented Christian churches. Fre-
namely, salvation accomplished through the death and resur-
quently the excerpt that is read is simply referred to as “the
rection of Jesus, but the message could be conveyed in differ-
gospel.”
ent ways.
In the middle of the second century, Justin Martyr (c.
BIBLIOGRAPHY
100–163/5), writing in Rome, was the first Christian author
The most comprehensive study of the term euaggelion remains the
article “Euaggelion” written by Gerhard Friedrich for the
to write of the Gospels in the plural (euaggelia). In his First
Theological Dictionary of the New Testament, edited by Ger-
Apology (c. 155) and his Dialogue with the Jew Trypho he re-
hard Kittel, vol. 2 (Grand Rapids, Mich., 1964),
fers to the “memoirs of the Apostles” on some fifteen occa-
pp. 721–736. The original German text was first published
sions. The first time he mentions the memoirs, he adds by
in 1935. Significant contributions to the knowledge of Paul’s
way of explanation “which are called gospels” (hatina kaleitai
understanding of the gospel are Peter Stuhlmacher’s Das
euaggelia; Apol. 1.66.3). In two other places, however, he re-
paulinischer Evangelium, in the series “Forschungen zur Reli-
tains the singular use of euaggelion (Dial. 10.2, 100.1). At the
gion und Literatur des Alten und Neuen Testament,” vol. 95
time of Clement of Alexandria (150?–215?) the euaggelion
(Göttingen, 1968), and Ernst Käsemann’s Commentary on
was understood to be a book on the system of Christian mo-
Romans (Grand Rapids, Mich., 1980), pp. 6–10. An analytic
rality. Subsequently the term was also applied to the so-called
study of Mark’s understanding of euaggelion is Willi Marx-
apocryphal gospels, the oldest of which come from the sec-
sen’s Mark the Evangelist (Nashville, 1969), pp. 117–150. In
this study Marxsen also compares the use of the term by Mat-
ond century.
thew and Luke with that by Mark. In his Studies in the Gospel
The transference of euaggelion from the designation of
of Mark (London, 1985) Martin Hengel examines the Mar-
an oral proclamation to a written text—a usage that most
kan use (pp. 53–58) as well as the titles of the Gospels
probably derives from the first verse of Mark—attests that
(pp. 64–84). Useful studies of the gospel as a Hellenistic lit-
these texts had the same content and purpose as the oral
erary genre are G. N. Stanton’s Jesus of Nazareth in New Tes-
tament Preaching (London, 1974), pp. 117–136, and Charles
proclamation. Both the oral proclamation of the gospel and
H. Talbert’s What Is a Gospel? The Genre of the Canonical
the written gospel speak of eschatological salvation accom-
Gospels (Philadelphia, 1977). A good introduction to Lu-
plished in the life and death of Jesus of Nazareth. Far from
ther’s understanding of the difference between law and gos-
being biographies of Jesus, the four canonical gospels attest
pel has been given by Gerhard Ebeling in chapter 7 of his
to his preaching and to his activity in the light of his death
Luther: An Introduction to His Thought (Philadelphia, 1970).
and resurrection. The historical traditions they contain are
New Sources
subordinated to their religious and kerygmatic purpose.
Dart, John. Decoding Mark. Harrisburg, Pa., 2003.
They were written to evoke and/or confirm faith in Jesus as
Funk, Robert Walter, and Roy W. Hoover. The Five Gospels. New
Christ and Lord (see Jn. 20:31). The central content of the
York, 1993.
gospel is one, even if it is attested in documents written by
different authors.
King, Karen L. The Gospel of Mary Magdala. Santa Rosa, Calif.,
2003.
LATER USAGE OF THE TERM. At the time of the continental
Reformation, Martin Luther (1483–1546) sharply distin-
Koester, Helmut. Ancient Christian Gospels: Their History and De-
velopment. Philadelphia, 1990.
guished between the law and the gospel. The law makes de-
mands and provokes anxiety; the gospel bestows grace and
RAYMOND F. COLLINS (1987)
brings consolation. From his study of Romans 1:16–17,
Revised Bibliography
where Paul writes of the gospel as “the power of God for sal-
vation . . . for in it the righteousness of God is revealed
through faith for faith,” Luther concluded that justification
GOZAN ZEN. The Japanese term gozan (also pro-
did not depend on outward obedience to the law. Although
nounced gosan; Chin., wushan; “five mountains”) refers to
the content of the law is the unchangeable will of God, the
a system of monastic organization and its associated culture
law brings humans before the throne of judgment. The first
that flourished in Song-dynasty China and medieval Japan.
use of the law deters people from sin by fear of punishment;
Because many Buddhist monasteries in premodern China
a second use makes even believers conscious of their sin. In
and Japan were located on mountains and conceived of as
contrast, the gospel, appropriated through faith, reveals the
being secluded from the world, the word mountain came to
saving love of God, assures believers of justifying grace, and
connote a monastery. The “five mountains” were a designat-
offers a promise of the forgiveness of sins.
ed group of Zen (Chin., Chan) monasteries. Gozan organi-
In modern times, preaching the gospel is characteristic
zation began to develop in China during the Song dynasty
of Christian missionary endeavors throughout the world.
(960–1279) and was transmitted to Japan during the Kama-
Gospel faith is popularly associated with evangelical preach-
kura period (1185–1333). These monasteries developed 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
GOZAN ZEN
3643
distinctive pattern of Zen monastic life, a common organiza-
links maintained between the Gozan in Kyoto and Kamaku-
tional hierarchy, and a characteristic cultural style. Thus the
ra and their satellites in the provinces. Monks could move
expression “five mountains” is also applied to the literature
fairly freely among the monasteries, and a novice who began
produced by monks from these monasteries (gozan bungaku),
his religious career in a provincial shozan might continue his
the wood-block books printed in these monasteries (gozan-
training in a larger regional jissatsu and, perhaps, go on to
ban), and the art and culture associated with them (gozan
hold high office in a central Gozan. The whole network was
bunka). This article will outline the development of the
supervised by a Zen monk official, known as the so¯roku, from
Gozan administrative organization, define the Gozan style of
a subtemple within Sho¯kokuji. The so¯roku served as the me-
Zen, and introduce Gozan literature and culture.
diator between the bakufu and the Gozan. Not all Zen
As with Zen itself, Gozan organization, learning, and
monasteries were included within the Gozan. The Gozan
culture had their origins in China, and throughout their his-
system was dominated by those branches of the Rinzai
tory in Japan the Gozan monasteries remained major con-
school, especially the lineage of Muso¯ Soseki, who found
duits for the dissemination not only of Zen but also of Chi-
favor with the bakufu. Very few So¯to¯ Zen monasteries were
nese culture in the broadest sense. During the Song dynasty
included, and the Rinzai monasteries of Daitokuji and
some fifty large Chan monasteries in the Hangzhou and
Myo¯shinji were excluded.
lower Yangze regions of China were brought under the regu-
Zen monastic life within the Gozan was lived under the
lation of civilian officials and organized into a three-tier hier-
traditional Buddhist monastic precepts and characteristic
archy headed by five great monasteries (wushan; Jpn., gozan).
Zen regulations known as shingi (“regulations for the pure
These were among the most prestigious Chan training cen-
community”). Gozan Zen practice in Japan was based on the
ters in China. They were visited by such Japanese monks as
codes in force in Chinese Chan monasteries and shaped by
Eisai, Do¯gen, and Enni, who went to China in search of Zen
such Chinese émigré monks as Lanqi Daolung and Wuxu
beginning in the late twelfth century. From the mid-
Zuyuan in the thirteenth century, and their successors Muso¯
thirteenth century on, Chinese monks from these monaste-
Soseki, Gido¯ Shu¯shin, and Zekkai Chu¯shin in the fourteenth
ries, fleeing the advancing Mongols and seeking a new mis-
century. The core of monastic life was communal meditation
sion field for Chan, made their way to Japan, where they
in the monks’ hall, private and public interviews with a Zen
were patronized by shoguns, provincial warrior chieftains,
master involving the resolution of ko¯an, lectures on the su¯tras
and members of the imperial court.
and Zen texts in the Dharma Hall, and prayers and su¯tra
Before the close of the thirteenth century a similar three-
chanting in the Buddha Hall. In the late Kamakura and early
tier hierarchy of Zen monasteries was beginning to take
Muromachi periods the standards of Gozan monastic life
shape in Japan under the patronage and regulation of the
were fairly strictly observed. By the fifteenth century, howev-
Ho¯jo¯ regents who dominated the Kamakura bakufu. The
er, a slackening of discipline was becoming evident as monks
early Kamakura Gozan included Kencho¯ji, Engakuji, and Ju-
took the privilege of the great monasteries for granted, ne-
fukuji. Jo¯chiji and Jo¯myo¯ji were added later. With the over-
glected the rigorous practice of Zen, and devoted themselves
throw of the Kamakura bakufu in 1333, the Kemmu Resto-
to more worldly interests or to cultural activities. The monk
ration of 1333 to 1336, and the establishment of the
Ikkyu¯ So¯jun was so disappointed that he quit the Gozan in
Muromachi bakufu after 1336, political power shifted back
disgust and joined the Daitokuji community. He castigated
to Kyoto. A Kyoto Gozan hierarchy was quickly designated
Gozan monks, calling them idle rice bags who were con-
by the emperor Go-Daigo and the early Ashikaga shoguns.
cerned only with eating well and living comfortably.
The Gozan network assumed its final configuration, al-
Many Chan masters of the Song dynasty had consorted
though by no means its full scale, under the third shogun,
with lay scholars and artists, whose cultural interests they
Ashikaga Yoshimitsu. By an edict of 1386 the five Kyoto
shared. Chan monks became well known as calligraphers,
Gozan, ranked in order of seniority, were Tenryu¯ji,
painters in ink monochrome, poets, and students of Chinese
Sho¯kokuji, Kenninji, To¯fukuji, and Manjuji. Their counter-
philosophy. Some masters rejected these non-Buddhist avo-
parts in Kamakura were Kencho¯ji, Engakuji, Jufukuji,
cations as distractions from the true quest for enlightenment
Jo¯chiji, and Jo¯myo¯ji. The great Kyoto monastery of Nanzenji
through Chan. Other monks defended them as legitimate
was set at the apex of the Kyoto and Kamakura Gozan as a
means of expressing, enhancing, or relaying the insights of
superior temple. Lesser Zen monasteries in Kyoto, Kamaku-
the search for enlightenment. These cultural interests were
ra, and throughout the provinces were ranked beneath the
too strong to contain and the acquisition of secular learning
Gozan as either jissatsu (“ten temples”) or shozan (“many
and cultural accomplishments became a part of life in the
mountains”). Just as the Gozan category had been inflated
great Chinese monasteries. These tastes were quickly trans-
from five to eleven monasteries, so too the jissatsu and shozan
mitted to the Japanese Gozan, where they served to draw the
tiers grew rapidly in number. By the fifteenth century there
Zen monks and their warrior and court patrons more closely
were nearly fifty jissatsu and more than two hundred shozan.
together. Calligraphy and the writing of Chinese poetry were
This network was a fairly centralized system with uni-
the two most common avocations, but Gozan monks were
form monastic regulations and organization and with close
also accomplished ink painters, designers of gardens 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
3644
GRACE
buildings, arbiters of taste in art objects, interior decoration,
Ury, M. Poems of the Five Mountains: an Introduction to the Litera-
and the advocates of drinking tea, as well as teachers of Con-
ture of the Zen Monasteries. Ann Arbor, Mich., 1992.
fucian and Daoist thought.
MARTIN COLLCUTT (1987)
Under the patronage of the bakufu, the court, and the
Revised Bibliography
provincial warrior nobility, the Gozan system flourished eco-
nomically. Gozan monasteries acquired estate holdings
throughout Japan. The Kyoto Gozan, in particular, were ac-
GRACE. The religious significance present in the Anglo-
tive participants in trade with China, in commerce, and in
French word grace is both multifaceted and ambivalent. As
money lending. The bursars of some monasteries acquired
a theological term, it may attempt to pinpoint the activity
reputations as astute managers of resources and lands. Politi-
of God here and now, or it may disclose nothing less than
cally, Gozan monks were active in defense of their monastic
the reality underlying all of religion and faith.
interests. They lent their managerial and diplomatic expertise
to warriors, serving as advisers and go-betweens in domestic
This almost transparent term points to the fundamental
disputes and in the conduct of diplomacy and trade with
power and horizon of every revelation, to the ultimate reli-
China. By the fifteenth century, the Gozan was much more
gious question and statement in any religion, for grace stands
than a network of monasteries. It could be counted among
primarily not for human virtue but for God’s presence.
the most influential and powerful religious, political, and
Grace is a divine activity in human history and in human
economic institutions in medieval Japanese society.
lives. The reality signified by h:esed (“loving-kindness”) in the
Hebrew scriptures and by charis (“grace”) in the Greek scrip-
The weakening of the Muromachi bakufu and the war-
tures can be found in the Dao, in the power of the Hindu
fare of the late fifteenth and sixteenth centuries exposed the
triad, and in the radical absence contemplated by Buddhism.
Gozan to depredation. Many monasteries were burned or
Occasionally one can find in these other traditions the same
lost their landholdings. Communities were scattered, morale
theological discussions about the mediation by grace of the
was reduced to a low ebb, and spiritual concerns were ne-
divine in human freedom and suffering.
glected. Although some recovery took place under the pa-
tronage of Hideyoshi and the Tokugawa shoguns, the Gozan
Christian theologians have filled volumes with defini-
never recovered the influence it had had in the medieval peri-
tions and classifications of grace. Because God remains mys-
od. Perhaps the last prominent Gozan monk was Ishin
tery, the ineffable presence of the deity eludes precise defini-
Suden of Nanzenji, who served both as so¯roku of the Gozan
tion, and therefore the ultimate meaning of the word
and as an influential adviser to Tokugawa Ieyasu.
remains mysterious. In theology, as distinct from the expres-
sion of religion in art (where grace is shown rather than de-
Many of the former Gozan monasteries survive today,
fined), the word grace frequently denotes either too much or
some of them as Zen training centers. Among these are Nan-
too little.
zenji, Sho¯kokuji, and Tenryu¯ji in Kyoto, and Engakuji in
Kamakura. The Gozan system, however, as a monastic hier-
Moving back through the Latin gratia to the Greek cha-
archy and means of regulation and centralization faded out
ris, with its overtones of graciousness and liberality, the word
with the Meiji Restoration. Contemporary Zen monasteries
grace assumed a Christian theological importance with Paul.
are grouped by lineage around their major monasteries (hon-
But even for Paul, whose creative interpretation of Christian-
zan). Moreover, contemporary Rinzai Zen owes more to
ity began the turbulent odyssey of this term, the word has
Hakuin Ekaku (1686–1769) and the Daitokuji and
several meanings. Charis can mean a power coming from the
Myoshinji lineage than it does to the medieval Gozan.
spirit of Jesus active in a Christian (the charism of healing
or preaching; 1 Cor. 12), but it can also mean the power of
SEE ALSO Ikkyu¯ So¯jun; Muso¯ Soseki; Zen.
God to help one follow Christ despite the evils and difficul-
ties of human life. And with Paul there is also a more objec-
BIBLIOGRAPHY
tive meaning of grace. The foundation of all grace and of all
Collcutt, Martin. Five Mountains: The Rinzai Zen Monastic Insti-
graces (charisms) is the generous saving activity of God man-
tution in Medieval Japan. Cambridge, Mass., 1981.
ifested toward humankind in the history and destiny of Jesus.
Fontein, Jan, and Money L. Hickman, eds. Zen Painting and Cal-
God’s grace is the gift of persevering, loving, purposeful gen-
ligraphy. Boston, 1970.
erosity that becomes visible in a climactic way in the life,
teaching, death, and resurrection of Jesus.
Pollack, David. Zen Poems of the Five Mountains. New York,
1985.
Charis means the favor of God, but that favor made ac-
New Sources
tive in the advent of Jesus Christ, particularly so in his words
Ichiki, T. Gozan bungaku yogo jiten. Tokyo, 2002.
and deeds. God’s loving generosity in Christ bestows not
only forgiveness of sin but a new, death-surviving mode of
Kageki, H. Chusei zenrin shishi. Tokyo, 1994.
existence. Jesus Christ is grace objectified, and in and after
Sekiguchi, K.y., et al. Gozan to zen’in. Tokyo, 1991.
him the worlds of creation, time, and human personality
Tanabe, G. J. Religions of Japan in Practice. Princeton, 1999.
have been radically (if invisibly) altered. Paul applied Jesus’
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GRACE
3645
phrase “the kingdom of God” largely in a concrete manner
After the sporadic but often intense persecution in the
to Jesus himself, particularly through the triumphant guaran-
second and third centuries, the role of baptism as a commis-
tee of newness assured by Jesus risen from the dead.
sion for an eschatological life related less to the fading idea
of martyrdom than to the newer opportunity of communal
In a significant phrase, Paul proclaims that while sin in-
eremitical monasticism. Some monastic figures stressed the
evitably leads to death, the charisma of God to humanity is
ascetic side, others the contemplative. With schools and the-
“eternal life in Christ Jesus” (Rom. 6:23). The following
ologies influenced by orientations based in the thought of
chapters of that letter describe this charisma: new freedom,
Origen and Dionysius the Areopagite, the monastic life be-
familial intimacy with God, the capability to follow the new
came a school of contemplation fulfilling in a special way the
“law” of love, the indwelling of the Holy Spirit in men and
Christian vocation. Far from being simply training for vi-
women, and God’s advocacy on behalf of needy individuals
sions and miracles, monasticism viewed grace as the seed or
(Rom. 8). Personal entry into this life is begun by baptism
enabler of a God-bestowed contemplative outlook that, as it
conceived as rebirth in Christ’s death, burial, and resurrec-
intensified, fostered not visions but apophatic faith in touch
tion. The event of Easter has both personal and cosmic
with the darkness of the divine essence. Furthermore, in the
results.
Eastern Christian churches, the liturgy became the sacra-
A final realization of charis for Paul comes from this very
mental place where grace reaches the concrete; in the liturgy,
baptismal life. The new life of grace is not only a divine favor
the social and the historical meet contemplatively the time-
and an adoption but also a commissioning for action. Charis-
less icon, hymn, and sacrament of worship.
mata, charisms, are powers of the Holy Spirit active in ma-
In the West, Christianity came to emphasize salvation
ture Christians, empowering them to act on behalf of the
from sin. With Augustine grace took on characteristics of an
reign of God and the life of the church. Christians are not
intermediate power sent from God to heal the effects of evil
passive. Each Christian has through the baptismal spirit
in human beings. Augustine’s life and conversion led him to
some active gift to aid the church either inwardly or in its
emphasize sharply the human person’s proneness to evil and
mission of service and evangelization. Drawing on his meta-
corresponding need for some divine assistance so that men
phor of the body, Paul faces the difficult challenges of diver-
and women might turn to God in faith and hope and to their
sity and unity in the young churches and of leadership amid
neighbors in mercy and love. With Augustine, grace appears
a variety of services. Nonetheless, Paul will not abandon this
in a triad along with freedom and evil. Human freedom can
final realization of the new presence of God where grace con-
mean freedom to choose this or that, but more often it means
tinues through time to be present in human life and minis-
the freedom to choose God as the personal ultimate in a life.
tries of service (Rom. 12, 1 Cor. 12).
Evil can mean the fallen human condition—characterized,
HISTORICAL DEVELOPMENTS IN THE THEOLOGY OF GRACE.
for example, by prison camps—or it can mean the personal
Eastern Christian theology was heir to thought forms of
realization of evil in a sinful act.
human participation in the divine and subsequently empha-
sized less the evil and ruinous counterpart to grace than the
Within Western Christianity the history of the contro-
almost mystical capacity of the human person to become,
versies over grace illustrate the changing and perduring
through grace, a participant in the life of the triune God. In
meanings of the word. In the first decades after Christ Paul
the first two centuries of Christianity, the church was largely
asserted, against Jewish or Christian groups who based their
Greek-speaking. However, by the end of the second century,
hopes on external religious observances, the free and open
with the influence of Tertullian in the West and Clement of
salvation made widely accessible by God’s recent entry into
Alexandria in the East, Greek and Latin theology had begun
human history. Augustine upheld against the ascetic Pelagius
to take distinct directions. In the more Hellenistic, Neopla-
(whose view of the positive capacity of human nature made
tonist world of the Eastern Empire the seeds of the New Tes-
a strict following of the Christian way more plausible) the
tament teaching about a new creation, a new man and
pervasive infection of the primal fall. Augustine considered
woman, and a human being who is the temple of the spirit
human choice without grace to be enchained, bereft of the
of God found fertile soil.
contact of a divine activity (namely, grace) by which one
could please and live for God. In Augustine, conceptions of
The school of Alexandria in the third century, the great
the fall, the human sinful condition, and original sin describe
bishop-theologians of the fourth century, and monasticism
the opposite of salvation, of true goodness and life. The view
and mysticism in the fifth to eighth centuries solidified and
of the nature of grace as an intermediary, as a quasi entity
concretized Eastern theology—a theology of trinitarian,
of divine promise and power, began to appear.
divinizing grace renewed by Christ. In the East, Manichaean
dualism and the Augustinian theology of a God redeeming
In the thirteenth century, Thomas Aquinas, who was at
a segment of the fallen world were overshadowed by a view
work on his synthesis of nature and society with Christian
owing much to Neoplatonism, which envisioned a single
teaching, disagreed with his Augustinian colleagues over the
world in which the divine plan and presence was intertwined
need for grace. Thomas defended the natural potentialities
with creation and the Trinity continues that plan and pres-
of the human personality to do their work—to know the
ence through the effects of redemption.
truth, to seek the good. He considered original sin to be 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
3646
GRACE
serious wounding of the personality from within the emo-
the Jesuits, providing leadership to the Counter-
tions and the ground of the will but not an irrevocable termi-
Reformation, found themselves embroiled in controversies
nation of the image of God. He brought back into Western
over freedom and grace on three fronts. The origin of the Je-
thinking the spirit of the Alexandrian school, a synthesis of
suits’ positive view of human efforts cooperating with grace
nature and grace where every aspect of creation and grace has
lay with the great Reformation theologies. Within Roman
the potential to find its place in a harmonious whole.
Catholicism, the Dominicans judged the Jesuits’ theory of
human freedom to be exaggerated and their theology of di-
Martin Luther, propelled by his rediscovery of Augus-
vine foreknowledge to be inadequate, while the followers of
tine and Paul, protested against the localization of divine
Michel de Bay (Baius) and Jansen asserted that the Jesuits
power in things (e.g., indulgences and noncommunal litur-
neglected the seriousness of original sin.
gy) and denied that the forms and laws of the church had
a monopoly over grace. Luther’s theology of justification by
As the eighteenth century progressed, such theological
faith permitted him to disengage grace from human control
controversies seemed dated and were swept aside by the ra-
and to return its meaning to God alone. Despite the extrinsic
tionalism and naturalism leading to the Enlightenment. If
nature of grace for Luther and its initial separation from vir-
human nature was good, wounded by the past structures of
tue and service, it would not be correct to view Luther as un-
society, it needed not a divine jostle but its own education
concerned with progress in the Christian life, that is, with
to pursue the good. Grace is transformed, even replaced, by
sanctification. For Luther, the Christian life is different from
the human mind and will, a nature awaiting cultivation, and
the life of sin: The Christian life is lived as the product not
even by human history, where religion should be viewed as
of law and effort but of an initial constituting and saving
a facet of reason.
(justifying) grace. Calvin selected other emphases for his Re-
formed theology of grace, particularly God’s sovereignty
Nineteenth- and twentieth-century philosophy provides
manifested in the divine transcendent plan for the elect.
a different interpretation of the active presence of God in his-
tory and life. The movement from Schelling and Hegel to
The Reformation began a long period filled with con-
Marx saw no need to preserve any separation of grace from
troversies over the nature of grace. Essentially these were ar-
nature and sin. Consciousness, freedom, and development
guments over how human freedom in need of redemption
become aspects of one reality, the enactment of the life of
was affected by truly divine grace. If grace is God’s act or the
the ultimate, and in that process of enactment there is no su-
exercise of God’s power, how do the finite and the created
pernature above nature.
participate in it? How can predestination and human free-
dom be reconciled?
After World War I some theologians began to rethink
Christianity precisely as a religion of grace, but from modern
The great topic of Baroque Roman Catholic theology
perspectives on the self and freedom. Grace was viewed as
lasting for almost two centuries after the middle of the six-
a horizon of consciousness and history, as the challenge made
teenth century was grace conceived as a finite, God-given
by the holy against the demonic in life. Grace is the presence
force that converts, sanctifies, inspires, and saves. Corre-
rather than the mechanics of God. For Paul Tillich, all as-
sponding to the culture of the times, with its new empirical
pects of human life could be theonomous, that is, transpar-
science and Cartesian philosophy, grace had the characteris-
ent to the divine, rather than authoritarian or superstitious.
tics of the subjective, the mechanical, and the theatrical. Ital-
As symbols of God, nature, religion, and art inspire a new
ian and Middle European art and architecture of the period
being in believers, one that struggles with the problems of
were frequently statements of a cosmic and mystical theology
meaning, life, and morality. For Tillich’s Roman Catholic
of grace: In a sacral world of light and golden divine symbols,
counterpart, Karl Rahner, grace was no less than God as ho-
great saints were depicted in their triumphant lives.
rizon and presence. God’s activity in human life and history
is universal and actively draws the world to a future that is
For Protestant communities as well as for Catholic reli-
the plan and future of God. Human life, open to and vivified
gious orders the seventeenth and eighteenth centuries were
by grace, is realized, preached, and exemplified particularly
times of meticulous theological analyses of grace. Strongly
in Christ. Pierre Teilhard de Chardin, the Jesuit paleontolo-
held views on God’s action and human psychological re-
gist, was convinced that the ultimate force driving the
sponse (both at the time of conversion and during the span
threads of evolution—spiritual as well as biological—on
of a Christian life), similar to those of the Jansenists, Jesuits,
earth was not instinct but grace. What the Gospel of John calls
and Dominicans, brought into existence Arminians, Meth-
agap¯e, love, is in Christ the source and the goal of the cos-
odists, and Pietists who debated the triad of divine action,
mos. For Teilhard, religious history, like evolutionary histo-
human freedom, and sin.
ry, is acted out over a long time. From the great religions of
The spirituality of the Jesuits reflects the Baroque (and
the world a central line emerges—that of Christ as the incar-
later nineteenth-century) Catholic devotional analysis of the
nation of God’s gracious purpose. In the contemplation and
interior life as activated by modes of “created grace,” that is,
discipleship of grace, a higher, developmental phylum intro-
God as the principle of human transformation rather than
duces to the human race individuality-in-community and
God as God (“uncreated grace”). In the seventeenth century,
freedom-in-charity. Rather than the end of the world being
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GRACE
3647
close, the human race, for Teilhard, is only a few steps out
are struggles with the horizons of the holy, of the spiritual,
of the cave.
of grace. Such novelists as Fyodor Dostoevsky, Graham
Greene, Georges Bernanos, François Mauriac, and Flannery
In the thought of these three popular twentieth-century
O’Connor have often had evil and grace as their themes. In
theologians, Tillich, Rahner, and Teilhard, one sees the
such works, grace challenges in the most surprising ways the
modern, post-Kantian, and post-Heideggerian shift to the
conventions of religion and society, and evil is presented as
historical subject. Grace is both a divine presence and a de-
the almost necessary counterpoint to grace. Life becomes a
velopmental horizon of all history; Christ and the church are
chiaroscuro of evil and grace.
grace manifest, but they are not its exclusive repositories. In
short, grace is viewed no longer as the change of God’s will
The Christian theological term grace, then, can refer at
(Luther) or as a supernatural divine power agitating within
the same time to the most abstract dimension of religious
human minds and wills (Council of Trent, 1545–1563), but
power or human transcendentality and to the blood and
as the patient, luminous, inviting presence of a transcendent
sweat of ordinary everyday life. The record of theological
and mysterious God intimately active in the pain and glory
controversies over grace illustrates its prominence as a reli-
of life.
gious problem and its ultimate mystery. The core of that
mystery is God as active in history and in every human life.
PROSPECTS IN THEOLOGY OF GRACE. Reinterpretations of
grace reestablished grace as nothing less than the underlying
SEE ALSO Evil; Free Will and Determinism; Free Will and
reality of all religious enterprises, as the very presence of God.
Predestination, article on Christian Concepts; History, arti-
In this way it is the foundation for various schools of spiritu-
cle on Christian Views; Justification; Kingdom of God;
ality—Origenist, Greek and Russian, Benedictine, Francis-
Merit, article on Christian Concepts; Paul the Apostle; Re-
can, Dominican, Anabaptist, Carmelite—but it also con-
demption; Sin and Guilt; Transcendence and Immanence.
fronts and stimulates Christian ethics to put greater emphasis
on issues of peace and justice in the world. Grace is perceived
BIBLIOGRAPHY
For a survey of the history of the theology of grace in Western
as the axis along which the kingdom of God confronts insti-
Christianity, see Johann Auer’s Das Evangelium der Gnade,
tutionalized evil.
vol. 5 of Kleine katholische Dogmatik (Regensburg, 1980).
The ecumenical movement, which began as the mutual
Roger Haight’s The Experience and Language of Grace (New
acceptance of Christian churches—Protestant, Catholic, An-
York, 1979) is a brief survey of the great theologians of grace.
Hans Conzelmann’s “Charis,” in the Theological Dictionary
glican, and Orthodox—gradually discovered through schol-
of the New Testament, edited by Gerhard Friedrich, vol. 9,
arly investigations a remarkable lack of conflict between, for
(Grand Rapids, Mich., 1969), pp. 310–350, illustrates the
example, Luther’s and Thomas Aquinas’s interpretations of
Christian origin and initial variety in the meaning of the
grace, and between Trent’s and Karl Barth’s. There are fewer
word grace, as does Edward Schillebeeckx’s Christ: The Expe-
doctrinal and theological differences than first assumed.
rience of Jesus as Lord (New York, 1980). On the great theolo-
Drawing on the tradition held by mainstream Christianity
gians of grace, see Harry J. McSorley’s Luther: Right or
that God’s active presence reaches an incarnation and a cli-
Wrong? (New York, 1969), on Augustine, Thomas Aquinas,
max in Jesus Christ but is not monopolized by Christ, Chris-
and Luther; Karl Barth’s Church Dogmatics, 13 vols., plus
tian theologians such as Karl Rahner and official Christian
index, edited by Geoffrey W. Bromiley and Thomas F. Tor-
assemblies such as the Second Vatican Council have increas-
rance (Edinburgh, 1936–1977); Paul Tillich’s Systematic
ingly acknowledged the presence of grace in other world reli-
Theology, 3 vols. (Chicago, 1951–1963), with the study on
Tillich’s Christian anthropology by Kenan B. Osborne, New
gions and in the struggles of individual lives in increasingly
Being: A Study in the Relationship between Conditioned and
secular and agnostic contexts. For example, dialogue between
Unconditioned Being according to Paul Tillich (The Hague,
Christianity and Buddhism is now not simply an exchange
1969); Karl Rahner’s Foundations of Christian Faith (New
of similar words about ritual or theodicy but an exploration
York, 1978) with the explanatory volume; Leo J.
of different presentations and explorations of grace in specu-
O’Donovan’s A World of Grace (New York, 1980); and Leo-
lative, monastic, and mystical traditions.
nardo Boff’s Liberating Grace (New York, 1979), on Latin
American liberation theology. For a contemporary ecclesiol-
Realms as diverse as art, politics, and monasticism dis-
ogy of ministry drawn from biblical and systematic theolo-
close different approaches to what Jesus called the kingdom
gies of grace, see my Theology of Ministry (New York, 1983).
of God and to what the history of Christian theology calls
New Sources
grace. In the realm of art is found the presentation in various
Braaten, Carl E. Justification: The Article by Which the Church
media of the primal dialectic between sin and grace. Here
Stands or Falls. Minneapolis, 1990.
grace emerges from the dramatic reiteration of an active un-
Butin, Philip Walker. Reformed Ecclesiology: Trinitarian Grace ac-
seen presence that reveals “the more” and its opposite, the
cording to Calvin. Studies in Reformed Theology and History
violent exploitation of the holy, the beautiful, and the
2:1. Princeton, N.J., 1994.
human. The structure of Gothic architecture, the oils of Fra
Cassirer, Heinz W. Grace and Law: St. Paul, Kant, and the Hebrew
Angelico and the engravings of Rembrandt, the formation
Prophets. Grand Rapids, Mich., 1988.
of light by the Baroque, the planned abstractions of Kandin-
McGrath, Alister E. Iustitia Dei: A History of the Christian Doctrine
sky (which are there to make real “the realm of the spiritual”)
of Justification. 2d ed. Cambridge U.K. and New York, 1998.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3648
GRAEBNER, FRITZ
Osborne, Kenan B. Reconciliation and Justification: The Sacrament
(in his first book, Methode der Ethnologie, 1911) took up
and Its Theology. New York, 1990.
ideas first espoused by Friedrich Ratzel and Leo Frobenius
Phan, Peter C. Grace and the Human Condition. Wilmington,
and developed the culture-historical method. This method
Del., 1988.
seeks to bring cultural-historical processes to light even
Tamez, Elsa. The Amnesty of Grace: Justification by Faith from a
where written sources are lacking or insufficient. To this end,
Latin American Perspective. Translated by Sharon H. Ringe.
Graebner’s method begins with particular facts and seeks to
Nashville, 1993.
establish “culture circles” (Kulturkreise), then to infer from
Wengert, Timothy J. Human Freedom, Christian Righteousness:
the geographical locations of these complexes their “culture
Philip Melancthon’s Exegetical Dispute with Erasmus of Rotter-
strata” (Kulturschichten), that is, the relative ages of cultures
dam. New York, 1998.
and their reciprocal influences, and, finally, to uncover the
origins of individual cultures.
THOMAS F. O’MEARA (1987)
Revised Bibliography
Because a culture circle must comprise all the necessary
categories of cultural life, including religious ideas, Graebner
also took up certain problems of the history of religions. He
GRAEBNER, FRITZ (1877–1934), German ethnolo-
rejected speculations that traced all religious manifestations
gist, was born on March 4, 1877, the son of a schoolteacher
back to a single primordial phenomenon (e.g., animism or
in Berlin. Graebner attended school in Berlin from 1887 to
belief in magic); he subjected the theories of E. B. Tylor and
1895 and studied history, German philology, and geogra-
James G. Frazer to detailed criticism and sought, unlike
phy, and other subjects (especially ethnology) at the universi-
them, to bring to light the religious phenomena typical of
ties of Berlin and Marburg (1895–1901). In 1901 he re-
individual culture circles or, as the case might be, larger cul-
ceived his doctorate in philosophy at Berlin with a
tural groups. Thus he regarded patrilinear and matrilinear
dissertation on medieval history. By this time he was already
cultures not as phases of a single standardized development
employed at the Berlin Museum of Ethnology as an auxiliary
but as independent cultural forms that coexisted with each
scientific assistant.
other; he established, for example, that animism, worship of
the dead, and lunar myths played a greater part in matrilinear
In 1906 he transferred to the museum of ethnology in
cultures, whereas belief in magic and sun myths were more
Cologne (called the Rautenstrauch-Joest Museum after those
important in patrilinear cultures. He discussed this system
who endowed it), became a full assistant there in 1907, and
(which was in large measure taken over by Wilhelm
the museum’s director in 1925. In 1911 he qualified as a pri-
Schmidt) in many essays on specific topics, in the relevant
vatdocent at the University of Bonn. His work was interrupt-
sections of his comprehensive presentation of ethnology
ed by his capture in Australia at the outbreak of World War
(“Ethnologie,” in Die Kultur der Gegenwart, edited by Paul
I; because he was German, he was kept prisoner there until
Hinneberg, 1923) and in full detail in his final major work,
1919. In 1921 he was appointed professor extraordinarius at
Das Weltbild der Primitiven (1924). In this last book he rep-
Bonn and in 1926 became an honorary professor at the Uni-
resented the religious ideas of nonliterate peoples as the
versity of Cologne. However, he was unable by this time to
points of departure for the religions of the high cultures and
lecture any longer, because he was already suffering from a
for subsequent philosophical systems.
serious illness that soon made all scientific work impossible.
He retired in 1928 and returned to his native city, Berlin,
SEE ALSO Schmidt, Wilhelm.
where he died on 13 July 1934.
Graebner’s fields of specialization were the cultures of
BIBLIOGRAPHY
Oceania and Australia. He first became generally known in
Studies about Fritz Graebner are included in Paul Leser’s “Fritz
the field of ethnology through his 1904 lecture “Kulturkreise
Graebner: Eine Würdigung,” Anthropos 72 (1977): 1–55,
und Kulturschichten in Ozeanien,” which was delivered at
and my article, “Fritz Graebner und die kulturhistorische
a meeting of the Berlin Society for Anthropology, Ethnolo-
Methode der Ethnologie,” Ethnologica (Cologne) n. s. 8
gy, and Prehistory and published in Zeitschrift für Ethnologie
(1979): 7–51. See also Jürgen Zwernemann’s Culture History
37 (1905). (Bernhard Ankermann, a colleague of Graebner,
and African Anthropology: A Century of Research in Germany
delivered the lecture “Kulturkreise und Kulturschichten in
and Austria (Uppsala, 1983).
Afrika” at the same meeting.) From then on, Graebner pro-
New Sources
duced numerous detailed studies that dealt with, among
other things, themes of social organization and spiritual cul-
Klaus E. Müller, “Grundzüge des ethnologischen Historismus,”
in Grundfragen der Ethnologie, edited by W. Schmied-
ture (thus it is wrong to consider him merely a “museum eth-
Kowarzik and J. Stagl (Berlin, 1981), pp. 193–231 is a com-
nologist” who concentrated in a one-sided way on the mate-
prehensive masterful presentation of the culture-historical
rial aspects of culture). In these studies he made broad
methodology in its relationship with the American culture-
comparisons that ranged throughout the world. Contesting
area doctrine. On Graebner’s theory of Kulturkreis and its
the theories, prevalent at the time, of the more or less unilin-
antecedents see also Giovanni Casadio, “Bachofen, o della ri-
ear evolution of culture and the “elementary idea,” Graebner
mozione,” in Agathe Elpis. Studi storico-religiosi in onore di
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GRAIL, THE
3649
Ugo Bianchi, edited by G. S. Gasparro (Rome, 1994),
Olschki, 1966), the topos is again taken up and transformed
pp. 73–78, 70–71.
into the central feature of a spiritual, and ever more Chris-
tian, body of literature. The following titles exemplify the
JOSEPH HENNINGER (1987)
Translated from German by Matthew J. O’Connell
genre.
Revised Bibliography
Robert de Borron (late twelfth to early thirteenth centu-
ry) is the author of Joseph d’Arimathie, written in verse and,
somewhat like a Christian legend, based on apocryphal gos-
GRAIL, THE. Late in the twelfth century, a mystic
pels, the Evangelium Nicodemi and the Vindicta Salvatoris
theme appeared in Western literature that was fast taken up
(Vengeance of the Lord). Joseph, thrown into prison, sur-
as the central feature of chivalric romances with a religious
vives thanks to the veissel in which Christ, during the last
message and appeal. The key image of the theme is “the
supper, instituted the Eucharist and in which his blood was
Grail,” or, frequently, “the Holy Grail,” which is still a meta-
gathered during the passion. The symbolization has taken a
phor for spiritual salvation and the goal of a quest by the
sharp turn: The Host, which was the content of the Grail
elect. As a religious concept the Grail is of interest for having
in Chrétien’s story, is here replaced by Christ’s holy blood,
served, for about one century and in the context of contem-
and the vessel itself has changed into the chalice of the sacra-
porary civilization, as a symbol with, in social terms, a
ment. Borron, furthermore, links the evangelization of Brit-
strongly aristocratic connotation. The two pivotal works of
ain with the transfer of the Grail to the West.
the Grail cycle, Conte del Graal (or Perceval) by Chrétien de
A prose version of Joseph d’Arimathie, named Didot-
Troyes and Joseph d’Arimathie (or Roman de l’estoire dou
Perceval (after the manuscript collection in which it is pre-
Graal) by Robert de Borron, were dedicated, respectively, to
served) and attributed to the same Robert de Borron, is pat-
Count Philip of Flanders and Count Gautier of Montfau-
terned after Chrétien yet has a distinct religious reinterpreta-
con, both feudal lords, both Crusaders who died in the Holy
tion of the happenings: The Grail of the procession, for
Land.
example, becomes the receptacle of the last supper, and Perc-
THE FORERUNNER: CHRÉTIEN’S GRAIL PROCESSION. It is
eval, if he passes the test, will become the guardian of Christ’s
widely accepted that the earliest appearance of the Grail
blood.
theme is in Chrétien’s Conte del Graal, written in the late
Perlesvaus, a prose text (written between 1191 and
eighties of the twelfth century but left unfinished, probably
1212), blends a chivalric romance with a Christian allegory,
because of the author’s death. The relevant narrative is con-
strongly in the Cistercian spirit. Here the Knights of the
centrated in two brief scenes, the one set in the “Grail Cas-
Grail have become knightly monks.
tle,” the other in the “Hermitage.” An innocent young
knight, unaware of the realities of life and aimlessly wander-
A group of five romances in prose, attributed to Walter
ing, is directed by a mysterious fisher to a mysterious castle.
Map and called the Vulgate Cycle (1215–1230), was the
In the hall he meets the same fisher, the “Fisher King” and
most popular of the Grail versions. Among them are the Es-
lord of the castle, an invalid bound to his couch. The youth
toire del Saint Graal and the Queste del Graal. In these stories
then sees a strange procession passing by, full of symbols: a
the quest of illustrious knights for the Grail is told in terms
squire with a white lance, from which a drop of blood falls
of expiation and redemption, election and rejection. The
on his hand; two squires bearing golden candelabra; a noble
Christianization is emphasized by changing the carrier of the
maiden carrying a graal, a receptacle set with precious gems
Grail, according to sacramental usage, from a woman to a
and shedding a brilliant light; another maiden with a platter
man. The knights’ worldly virtues have been replaced by
of silver. The young knight, who has not yet matured enough
chastity and charity. The Grail, now the goal of the quest,
to fulfill his destiny and who overrates the chivalric virtue of
symbolizes the blending of the two worlds of contemporary
silence, does not ask the question of charity expected of him,
civilization, knighthood and religion.
“Who is served with the graal?” He thus fails to meet the test
THE ELUSIVE GRAIL. The corpus of the Grail romances
that would have restored the ailing Fisher King and the
raises questions that, in general, are unanswerable. The Grail
wastelands surrounding him. When he awakens the next
itself has remained a riddle: Its shape varies from vase to cup
morning the spell has disappeared, the castle is empty, and
to dish to stone; the use is that of a talisman or a reliquary;
he resumes his wanderings, now in search of the lost castle.
its symbolic meaning shifts with the context. By the middle
After five years he is directed to a hermitage and begs help
of the twelfth century the term appears in the western French
from a holy man, who consents to the repentant’s desire for
dialects, still marked by the indefinite article as a common
salvation. The Fisher King, he learns, is his uncle, whose fa-
noun (“a grail”). This is also the way Chrétien uses it. But
ther’s life was sustained by a Host brought to him in the
already in his prologue, and from Borron on, it is commonly
Grail.
used as a proper name, “the Grail.” The derivation of the
CHRISTIANIZATION OF CHRÉTIEN’S PROTOTYPE. Soon after
word itself is still hypothetical. There is a consensus on a base
Chrétien, in whose Grail fragment Christian doctrine is han-
form gradalis, but the consensus stops at the root morpheme
dled in rather ambiguous terms (as pointed out by Leonardo
of gradalis: It has been variously identified as gradus (“degree,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3650
GRAIL, THE
step”), implying that food was placed in the vessel “step by
al, and religious formation of Perceval, the perfect knight and
step”; as cratis (“wickerwork”) or creta (“fuller’s earth”), both
the perfect Christian (Martín de Riquer). Specifically, be-
of which hint at the material used in making the receptacle;
cause Perceval displays traits of Prince Philip Augustus, the
and as cratus, a shortened tenth-to-thirteenth-century Latin
Conte seems to have been designed as a “mirror of princes,”
form of the Greco-Latin cratera/craterus (“crater”), secondar-
sponsored by Philip of Flanders to further the education of
ily expanded by the suffix -alis in analogy to other words for
his royal godson and pupil, the future king (Rita Lejeune).
vessels, such as baucalis and garalis.
7. Perceval symbolizes the two virtues of prowess and
The long history of exegesis, striving to bare the issue
charity (defined as “love of God”), and charity finally prevails
of the myth, has been moving in two directions. The one is
over prowess (David C. Fowler).
synchronic: It relates a work to the events and currents of its
8. The decadence and fall of the kingdom of Jerusalem
time and thereby aims to discover the meaning (sens) a story
function as a starting point. An analogy can be drawn be-
may have had for its contemporary public. The other direc-
tween the concept of the Crusades and the religious theme
tion is diachronic: It centers on the subject matter (matière),
of the Grail: The quest for and conquest of a Christian ideal
which it locates in a tradition and which it derives, as far as
is transferred to the elect in a castle of mystery. The construct
possible, from specific models. Knowledge of the model
of defeat and renewal represents an underlying exhortation
highlights the “message” of the work.
to persevere in the Crusades (Helen Adolf).
THE SYNCHRONIC VIEW. The impact of the contemporary
9. The quest for the Grail is the conversion of the Jewish
world on the Grail corpus and, above all, on Chrétien’s Conte
Temple, intended to offset further bloodshed of the Jews by
del Graal has been traced to religious diversity and policy,
fanatic Crusaders. Chrétien was working against the hatred
upper-class education and ethical perceptions, and to events
of the Jews (Urban T. Holmes, Jr., M. Amelia Klenke).
of historical import. Various interpretations follow.
10. The Grail procession was inspired by representa-
1. The objects carried in the ceremonious procession be-
tions in Christian art of the Crucifixion, with such figures
fore the Fisher King, such as the Host in the Grail, the bleed-
as Longinus, the carrier of the lance, and a beautiful young
ing lance, and the candelabra, have been explained as echoes
woman who gathers the blood of Christ in a vase; she in turn
of the eucharistic procession practiced in the Byzantine Mass
becomes an allegory of the church who brings the Eucharist
(Konrad Burdach, William A. Nitze).
to the Old King (Riquer). Similarly, Klenke relates the ob-
2. The extensive Christianization manifest in the Queste
jects of the procession to the cathedral art of contemporary
del Saint Graal has been interpreted as a reflection of Cister-
France.
cian mysticism, specifically that of Bernard of Clairvaux (Al-
11. According to C. G. Jung’s depth psychology, the
bert Pauphilet, Étienne Gilson).
vessel is not a historical reality but an idea, or primal image,
3. The spiritual structure of the Conte is related to ideas
and as such is of universal significance, found in untold num-
current at Chartres, the Western center of the twelfth-
bers of myths and legends.
century Renaissance. Chrétien realizes in his work what Ber-
THE DIACHRONIC VIEW. The supposed models of the Grail
nard Silvester, the humanist, requested of a true author:
romances vary widely as to provenance and genre. They in-
“Being a philosopher, he has to write about the nature of
clude specific paradigms such as the Indic Vedas, an Iranian
human life.” And Chrétien has created in Perceval a charac-
national epic, the Alexander legend of late antiquity. But
ter motivated by the two forces of theology and charity, from
three great traditions of medieval culture are now recognized
which the Fisher King and the wastelands expect their re-
as the dominant influences: Christian legends, Celtic folk-
demption (Leo Pollmann).
lore, and ancient rituals.
4. The legend implies a heretical attempt (Nitze speaks
Christian legends. The hypothesis of a Christian foun-
of its “heterodox tinge”) to fight the supremacy of Rome and
dation of the Grail myth centers on the objects in the Grail
to replace Rome’s propaganda of the doctrine by another au-
procession. The apocryphal gospel Vindicta Salvatoris con-
thority (Giulio Bertoni).
tributed a cardinal episode to Robert de Borron’s version:
that of the elect, Joseph of Arimathea, kept alive by a vessel—
5. The Grail myth is considered a militant allegory, in-
an image deeply noted in Christian tradition. Once in exis-
spired by the activity of Count Philip of Flanders, against the
tence (as Willy Staerk points out), the Grail blended with the
heresy of the Cathari and other dualistic sects; the father of
varying perceptions of the last supper in early Christianity.
the Fisher King is the Perfect Man of Catharism (Otto Rahn,
Staerk recognizes five connotations of the Grail: vessel with
Leonardo Olschki). To Olschki, the castle, representing the
Christ’s blood; receptacle of the last supper; calix of the first
dualistic beliefs, is contrasted to the hermitage, which stands
Eucharist; receptacle of the Host; calix in which the first
for Christian orthodoxy; and Perceval does not yield to the
Mass was celebrated. The image of the lance, too, was em-
lure of the former but embraces the true faith of the latter.
bedded in the Christian tradition: It is the lance with which
6. Chrétien’s Conte del Graal is an Erziehungsroman, a
Longinus, a pagan soldier and Christian martyr, opened the
novel of education, describing the military, chivalric, spiritu-
side of the crucified Christ (Jn. 19:34). Longinus turned into
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GRAIL, THE
3651
the hero of a legend (Burdach). The third object, the silver
tien is unlikely to have made a playful or insincere reference
plate (tailleor d’arjant), has been repeatedly identified as the
to the illustrious name of his patron, one must assume that
paten on which the calix of the Last Supper was placed. Some
the model for the Conte was a real one and that it was a story
analysts question the assumption of an underlying Christian
written in prose. Of the sources mentioned here, ancient rit-
model and see Chrétien’s Conte, the first medieval form of
uals anticipated, in several respects, the sen of Chrétien’s
the Grail story, as still “pré-Christianisé” (the term used by
Grail narrative, and Celtic lore prefigured various details of
Pierre Gallais). They see in Robert de Borron’s Christian ver-
the objects and characters. But none of these analogues, nor
sion an ex post facto reconstruction of the myth’s “early histo-
their aggregate, amount to what Chrétien’s prologue praised
ry,” produced with the aid of pseudogospels.
as “the best story every told at a royal court.” Yet such a story,
Celtic folklore. Because the Arthurian world provides
the authors of this article suggest, did exist. The model was
the milieu for the Grail romances, the repeated attempts to
the Isis Book, the eleventh book—half fiction and half a per-
derive features of the myth from Celtic lore are certainly jus-
sonal memoir—of Apuleius’s novel, the Metamorphoses (sec-
tified. Irish sagas and Welsh tales, it is assumed, were taken
ond century). In Chrétien’s time the Metamorphoses existed
up by Breton storytellers, who adapted their themes to the
in Florence in at least one manuscript but was not well
French environment. The Grail objects are among such
known in France and had hardly been exploited for literary
themes: The magic horn of the gods, the wish platter, and
purposes. A comparison reveals both direct analogues be-
the horn of plenty anticipate the Grail, and the spear of
tween the works of Apuleius and Chrétien, and source mate-
Lugh, either dripping blood or held before a caldron of
rial contained in the Apuleian text, which Chrétien may have
blood, returns in Chrétien’s bleeding lance. Above all, one
associated with features of other traditions.
character vital to the narrative, the Fisher King, has his Celtic
Analogues. The similarities cover subject matter, struc-
counterpart: The maimed king, his wound, and his waste-
ture, textual homologies, and major and minor details. The
lands reflect the pagan belief, transferred into Celtic lore,
Isis Book is, in the words of Arthur Darby Nock, “one of the
that the reproductive forces of nature were related to the sex-
great ancient documents of a conversion.” Its theme, like that
ual potency of the ruler (R. S. Loomis, William A. Nitze,
of the Conte, is the salvation and rebirth of a young man, Lu-
Emma Jung and Marie Louise von Franz).
cius, who is selfish and a sinner and yet a select, and who after
Ancient rituals. The Grail myth in its sundry versions
his tribulations (narrated in the preceding ten books) is initi-
can be read as a saga of nature worship (Jessie L. Weston).
ated into a mystery religion. The Isis Book, in the portions
The mythic prototype discernible behind it is the ancient
comparable to Chrétien’s Grail story, describes the proces-
cult of Adonis, the deity linked to vegetation and fertility and
sion of Isis and the conversion of Lucius. The Isis procession,
symbolizing the fading and rebirth of nature. He was the
moving in ritual order, is dominated, just as Chrétien’s pro-
lover of both Persephone, goddess of death, and Aphrodite,
cession is, by gold, light, beauty, and mystery. Lucius’s con-
goddess of love, and thus always on his way from death to
version, like Perceval’s, is staged as a dialogue between two
life, and from life to death. Proceeding from there, Weston
characters, the initiate and the initiator. The phases of the
interprets the episodes and characters of the Grail story in
ritual run parallel in both versions, with numerous textual
terms of a nature ritual: The maimed Fisher King, deprived
concordances: selection; the initiate’s readiness; his prayer for
of his reproductive powers, is to be restored to life by the ful-
help; revelation; the hortatory sermon; the initiation.
fillment of the quest, and thus is an analogue of the waste-
Four topoi occurring in the Conte, three of them in the
lands; cup and lance are the sexual symbols of female and
hermitage scene, are prefigured in a Hermetic dialogue
male, just as blood stands for life; the Grail, by providing the
sacramental meal, represents the source of life.
which was traditionally ascribed to Apuleius and likewise
narrates an initiation. From the ninth century on, an apocry-
Following a similar line of thought, Nitze senses behind
phal treatise, the Asclepius, was included among the works of
Perceval’s story, with the decisive role of his mother and the
Apuleius. The editio princeps (1469) of the Metamorphoses,
nonrole of his father, echoes of a matriarchal system; and he
based on an unknown manuscript, contained the Asclepius.
sees in the suffering of the Fisher King and his land, to be
In short, it is not clear whether Count Philip’s book con-
ended by the initiate’s (at first unasked) question, the key to
tained the treatise together with the novel or not. The Ascle-
the Grail procession: the restoration of life and vegetation.
pius was the Latin translation of a Greek dialogue that de-
This leitmotiv is prefigured (without, as Nitze emphasizes,
scribed the catechesis of Asklepios by the mystagogue
an immediate connection) in ancient ceremonies such as the
Hermes Trismegistos. It was familiar to and often quoted by
Eleusinian mysteries and the cults of Mithra and Isis.
the prominent authors of the school of Chartres. The ana-
COUNT PHILIP’S BOOK. In his prologue to the Conte, Chré-
logues to the Conte are a secluded sanctuary as the locus of
tien states that Count Philip of Flanders transmitted to him
the ritual, with four men present; the Hermetic term malitia
a book containing a very good story, the Tale of the Grail,
for spiritual ignorance (agnosia), rendered as mal by Chré-
with the suggestion “to turn it into rime.” This cryptic state-
tien; a vegetarian meal ending the conversion; and the topos
ment by the author about his source has provoked numerous
of the wastelands as an apocalyptic vision of Egypt, which
hypotheses, not least concerning its reliability. Because Chré-
in the Conte is tied to Perceval’s (failed) test.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3652
GRAIL, THE
Stimuli. Chrétien’s technique of syncretism seems to
by itself, a masterpiece of literature, Wolfram von Eschen-
emerge from his use of the Isis procession, which provides
bach’s Parzival (c. 1200–1212). Its narrative, to be sure, is
motifs for the two central features of his Grail scene.
modeled after Chrétien’s Perceval. The differences of con-
tent, frequently at the frontier of religion, appear to be relat-
The Fisher King. The prelude of the Isis procession, the
ed to a difference of sources. But on the question of sources
Anteludia, consists of a bizarre spectacle of persons and prop-
the two authors are not very helpful. Chrétien’s puzzling re-
erties. Among the many unconnected items are (in this
mark about Count Philip’s book has its counterpart in Wol-
order) the following: a hunting spear; a hunter; a sword; a
fram: He mentions an enigmatic informant, Kyot, as having
fowler; a fisherman with hooks; a sedan on which someone
provided an Arabic model for the Parzival and, in addition,
is carried; a golden cup; a feeble old man. These eight unre-
as having expressed his misgivings about Chrétien’s choice
lated words (or phrases) return in Chrétien’s word portrait
of the (unspecified) source for Perceval. Questions of Kyot’s
of the Fisher King and his court: a fisherman fishing with
hooks in a river (where Perceval meets him first) reappears as
provenance and even his mere existence have provoked vary-
the lord of the castle, marked as such by having among his
ing hypotheses. On the basis of Wolfram’s scattered remarks,
men a hunter and a fowler; maimed by a spear, he is confined
of the Catharist beliefs ascribed to the Grail community, and
to a couch on which he is carried around; he presents a sword
of the striking role that the science of geomancy plays in
to his guest and pours wine from a cup of gold, while he
Parzival, the authors of this article identify Kyot as Guillot
watches the procession that brings the life-sustaining wafer
(i.e., William) of Tudela, in Navarre, the author of the first
to the feeble old man, his father. By welding these incoherent
part of the Chanson de la Croisade albigeoise. He was, as the
bits into one figure and linking it to ancient fertility myths
author of this work, familiar with Catharism, was an adept
and Celtic lore, Chrétien created an impressive character of
of geomancy, had settled around 1199 in southern France,
medieval literature.
wrote in a Provençal French Mischsprache, and in all proba-
bility knew Arabic.
The Grail. Two vessels carried in the main body of the
Isis procession share the salient features of the Grail, above
The source that Kyot transmitted to Wolfram and that
all, those of its external aspect: Both are golden; in addition,
Wolfram fused with Chrétien’s story was, again in this analy-
the cymbium (“bowl”) sheds an intense light and the urnula
sis, the Corpus Hermeticum ascribed to Hermes Trismegistos.
(“small urn”) is ornamented and mysterious. The inherent
The treatises of this body of works communicate the mystical
powers of the Grail, on the other hand, are prefigured in
beliefs of a loosely structured brotherhood in second- and
other sources. Celtic tradition may have contributed the idea
third-century Egypt, and they were written in Greek, known
of the horn of plenty. As to the ancient rituals, the Corpus
in Byzantium, and transmitted to the West through Arabic.
Hermeticum seems to have provided with its fourth treatise,
The treatise that topically comes closest to Chrétien’s Grail
entitled The Krater, a model of the Grail that contributed its
fantasy is the one on the soteriological vessel of Hermetism,
mystic functions. The Greek text states that “the vessel is di-
the Krater. Wolfram re-created the Grail in Hermetic terms
vine,” repeated nearly verbatim in Chrétien’s “Tant sainte
as an astral myth. In The Krater it is stated that “God filled
chose est li graaus” (“The Grail is so holy an object”). The
a great krater with intellect and sent it down to earth”; simi-
content of the Hermetic vessel is nous, intellect, which makes
larly, in Wolfram’s version, the Grail is an astral vessel whose
one perfect; it is concretized as the wafer that the Grail con-
powers derive from a wafer brought down by a dove. The
tains. The Old King (the Fisher King’s father), sustained in
radiant maiden who carries the vessel in Wolfram’s Grail
his retreat by such spiritual rather than material nourish-
procession also represents a Hermetic concept: She is called
ment, evolves, in other words, into Perfect Man. The means
Repanse de Schoye, which translates the Greek for “knowl-
by which the Hermetic materials were transmitted to Chré-
edge of joy,” the second most important virtue (after knowl-
tien is not clear. The fourth treatise of the Corpus Herme-
edge of God) in the process of spiritual rebirth.
ticum was known in Byzantium, to be sure, and Chrétien,
The great religious conversion scene at the hermitage in
quite knowledgeable about contemporary Byzantine affairs,
the Conte also seems to be re-created by Wolfram in accord
as he demonstrated in his Cligès, could easily have heard
with his Hermetic inspiration. In the treatises of the Corpus
about Hermetism and its mystical appeal. But Hermetic
Hermeticum, Hermes Trismegistos appears as the dominant
ideas were in vogue at the school of Chartres, and if the Old
figure: He is a saint, an ascetic, a teacher, a sage; he is the
King is a replica of the Hermetic Perfect Man, as he is por-
symbol of learning and the founder of astrological science.
trayed in the death scene of Hermes in the contemporary
Wolfram’s mystagogue, Trevrizent, appears to be a portrait
Liber Alcidi, the scene at the Grail Castle turns into an exam-
of Hermes Trismegistos. He is a holy man, has written about
ple of twelfth-century theosophy and “literary paganism.”
religious doctrine, and is a teacher of astrology. This typolog-
WOLFRAM’S KYOT. With his Grail story Chrétien left a rich
ical derivation accords with the etymological root of this
legacy to medieval letters; yet his followers divided the heri-
name. The epithet trismegistos, “the thrice-great,” was ren-
tage. On the one hand, starting with Robert de Borron, the
dered in Arabic as “the thrice-sage,” which was translated
romances of the Grail cycle displayed an ever greater empha-
into medieval Latin as triplex scientia (“threefold wisdom”)
sis on the Christian aspect; on the other hand, there stands,
and into Old French whose obvious (although not docu-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GRAIL MOVEMENT
3653
mented) equivalent treble escient was, finally, corrupted by
Wood, Juliette. “The Holy Grail: From Romance Motif to Mod-
Wolfram into Trevrizent.
ern Genre.” Folklore 111 (October 2000): 169–191.
The works whose resemblances to the Grail myth have
HENRY KAHANE (1987)
R
been outlined here, the Isis Book for Chrétien and the Corpus
ENÉE KAHANE (1987)
Revised Bibliography
Hermeticum for Wolfram, fall within the broad class of
sources often subsumed under the label of “ancient rituals.”
Yet the web of homologies involving subject matter, struc-
ture, characters, text, key terms, and the ambience of mystery
GRAIL MOVEMENT. The Grail movement was
appears sufficiently dense to consider these works, on the
begun in the Netherlands in 1921 by a Dutch Jesuit priest,
borderline between religion and literature, as the specific
Jacques van Ginneken, and a group of students at the Catho-
models of the two Grail romances.
lic University of Nijmegen who were among the first Dutch
Catholic women to earn university degrees. They were in-
SEE ALSO Hermetism.
spired by van Ginneken’s vision that Western civilization
was in crisis and in need of major changes, arguing that
BIBLIOGRAPHY
women had never had a fair chance to develop their capaci-
The extensive literature on the Grail is regularly reported in the
ties to the full, in either the church or society, and that
annual Bulletin bibliographique de la Société Internationale
women had great gifts with the potential to change the world
Arthurienne (Paris, 1949–). An annotated list of contribu-
and move it in a Godward direction. Van Ginneken envi-
tions from the turn of the century to the late fifties can be
sioned a movement of young women, under female leader-
found in Urban T. Holmes, Jr., and M. Amelia Klenke’s
ship, willing to give themselves totally to spreading the king-
Chrétien de Troyes and the Grail (Chapel Hill, N.C., 1959),
dom of God, not as nuns in the cloister but as laywomen in
pp. 168–194. For good overviews from varying standpoints,
see Jessie L. Weston’s “Grail, The Holy,” in The Encyclo-
the midst of the modern world.
paedia Britannica, 11th ed. (New York, 1910); Martín de
INTERNATIONAL DEVELOPMENTS. By 1936 the Grail move-
Riquer’s “Graal,” in Dictionnaire des lettres françaises, vol. 4,
ment had spread to Great Britain, Germany, and Australia,
Le Moyen-Âge, edited by Robert Bossuat and others (Paris,
although the movement was suppressed in Germany by
1964); and Maur Cocheril’s “Graal,” in Dictionnaire de spiri-
Adolf Hitler’s government in 1939. In April 1940, on the
tualité, vol. 6 (Paris, 1967). The constituent works of the
eve of the German invasion, two Dutch Grail leaders sailed
Grail cycle are analyzed in R. S. Loomis’s Arthurian Litera-
for the United States to establish the Grail in the Chicago
ture in the Middle Ages (Oxford, 1959).
archdiocese. Serious disagreements with diocesan authorities
The present survey draws, in particular, on the following works:
led them to relocate to Cincinnati, Ohio, where Archbishop
William A. Nitze, “The Fisher King in the Grail Romances,”
John T. McNicholas welcomed the group of autonomous
Publications of the Modern Language Association of America 24
laywomen determined to define their own work. They pur-
(1909): 365–418; Jessie L. Weston, The Quest of the Holy
chased a farm in Loveland, Ohio, where they established a
Grail (1913; New York, 1964); Konrad Burdach, Der Gral,
training center named Grailville and offered programs of al-
“Forschungen zur Kirchen- und Geistesgeschichte,” vol. 14
(Stuttgart, 1938); Leo Pollmann, Chrétien de Troyes und der
ternative education, preparing women for leadership in the
Conte del Graal (Tübingen, 1965); Leonardo Olschki, The
lay apostolate. Grailville quickly became the hub of a nation-
Grail Castle and Its Mysteries (Berkeley, Calif., 1966); Emma
al movement, with eleven other centers spanning the country
Jung and Marie Louise von Franz, The Grail Legend (New
from coast to coast.
York, 1970); and two of our own studies, The Krater and the
The Grail in the United States pioneered in many fields,
Grail: Hermetic Sources of the Parzival (1965; Urbana, Ill.,
promoting full, active participation of the laity in the liturgy,
1984) and “On the Sources of Chrétien’s Grail Story,” in
Festschrift Walther von Wartburg, edited by Kiert Baldinger
fostering vigorous contemporary expressions of a Christian
(Tübingen, 1968).
spirit in the arts, and disseminating its ideal of a new Chris-
tendom through publications, exhibits, and art and book
New Sources
stores. In the 1950s the Grail trained teams of young Ameri-
Barber, Richard W. The Holy Grail: Imagination and Belief. New
can women and sent them to developing countries. Other
York, 2004.
Grail teams organized projects for racial and economic jus-
Goodrich, Norma Lorre. The Holy Grail. New York, 1993.
tice in the inner cities of Detroit, Brooklyn, and Cincinnati,
Goodwin, Malcolm. The Holy Grail: Its Origins, Secrets and Mean-
and in rural Louisiana. In the 1960s the Grail was in the fore-
ing Revealed. London, 1994.
front of ecumenical dialogue and opened its membership to
women of other Christian traditions. It also played a signifi-
Loomis, Roger Sherman. The Grail: From Celtic Myth to Christian
cant part in the modern catechetical movement, emphasizing
Symbol. Princeton, N.J., 1991.
personalist, psychological, and artistic approaches in the
Nicholson, Helen J. Love, War, ad the Grail. Boston, 2001.
teaching of religion.
Phillips, Graham. The Search for the Grail. London, 1995.
From 1940 to 1965 the Grail continued to expand in-
Sinclair, Andrew. The Discovery of the Grail. London, 1998.
ternationally. Teams from the lay mission school at Ubber-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3654
GRANET, MARCEL
gen in Holland were sent to Brazil, Surinam, and Java in the
and liturgical language . . . broke new ground for
1940s. In the 1950s and 1960s teams from Holland and the
women and supported an emerging feminist theology
United States went to South Africa, Basutoland, Uganda,
that begins, not with God, but with a theological reflec-
Nigeria, and Japan.
tion on women’s experience. . . . The Grail is small
. . . as contrasted with NCCW (National Council of
POST–VATICAN II. The many liberation movements of the
Catholic Women) but it is significantly more influential
1960s brought vast religious, social, and cultural changes.
as a forum for Catholic feminist thought. (1993,
The Grail responded with a rethinking of both its structures
pp. 126–127)
and its key concepts. Structurally, as a result of an interna-
Nelle Morton, a professor of theology at Drew University,
tional process of consultation carried on from 1964 to 1967,
wrote: “These two conferences [Alverno 1971, Grailville
the organization changed from a highly centralized and hier-
1972] became a watershed for women of religion to critique
archical pyramid, having at its apex a core group committed
boldly the traditional male-oriented theology as partial (not
to celibacy, to a more collegial institution. The new structure
including woman experience) and examine our own experi-
enabled all members—married, single, or celibate—to share
ences for sources of theological reflection” (1985, p. 12). Eli-
as peers in policy and decision making and to be eligible for
sabeth Schüssler Fiorenza, a professor of scripture at Harvard
any functional role. Grail work was reorganized into three
Divinity School, evaluated the 1972 Grailville Conference
task forces; working nationally and internationally, each fo-
by saying: “This workshop proved to be one of the birth-
cused on a broad goal that included living the faith, the em-
places of feminist theology, a movement that since has pro-
powerment of women, and liberation.
foundly changed both theology and church” (1998,
The early concerns with racial and economic justice that
pp. 1–2).
had led Grail members into the inner cities and overseas ser-
By 1998 the Grail had become established in Australia,
vice were deepened by a feminist liberation theology that em-
Brazil, Canada, Germany, Italy, Kenya, Mexico, Mozam-
phasized the interconnections between racism, sexism, class-
bique, the Netherlands, Nigeria, Papua New Guinea, Philip-
ism, heterosexism, and environmental degradation. The goal
pines, Portugal, South Africa, Sweden, Tanzania, Uganda,
of the struggle for justice was broadened to include justice
and the United States.
for the earth and a global ecological vision of a sustainable
society. The original psychology of complementarity that
SEE ALSO Christianity, article on Christianity in North
stressed the fostering of womanly qualities as the way to em-
America; Feminist Theology, article on Christian Feminist
powerment gave way, after a long process of study, to the de-
Theology.
velopment of a strong feminist consciousness among Grail
members. The feminist approach included a thorough analy-
BIBLIOGRAPHY
sis of sexism in church and society, and an affirmation of
Brown, Alden. The Grail Movement and American Catholicism,
women as moral and religious agents, fully capable of engag-
1940–1975. Notre Dame, Ind., 1989.
ing in theology and of setting ethical norms. Moreover, the
Fiorenza, Elisabeth Schüssler. Sharing Her Word: Feminist Biblical
1940s goal of striving to build a new Christendom in the
Interpretation in Context. Boston, 1998.
midst of a secular world gave way to an acceptance of reli-
Kalven, Janet. Women Breaking Boundaries: A Grail Journey,
gious pluralism. In the words of the 1988 International Gen-
1940–1995. Albany, N.Y., 1999.
eral Assembly, “We are a faith community of women. We
Kennedy, Sally. Faith and Feminism: Catholic Women’s Struggle for
are learning that we are nourished by different wellsprings.”
Self-Expression. Manly, Australia. 1985.
A 1999 Grail pamphlet adds, “We support one another in
Morton, Nelle. The Journey Is Home. Boston, 1985.
our search for God. We work towards transforming our
world into a place of justice, peace, and love.”
Ronan, Marian, Linda Clark, and Eleanor Walker. Image-
Breaking/Image-Building: A Handbook for Creative Worship
The Grail has empowered thousands of women who
with Women of Christian Tradition. New York, 1981.
have participated in its activities, enabling them to move be-
Weaver, Mary Jo. New Catholic Women: A Contemporary Chal-
yond what was expected of women by church and society.
lenge to Traditional Religious Authority. San Francisco, 1985;
Since 1969 the movement has contributed significantly
reprint, Bloomington, Ind., 1995.
through its conferences, programs, and publications to the
Weaver, Mary Jo, and Debra Campbell, eds. “Grailville: Women
development of feminist theology and spirituality in the
in Community, 1944–1994.” U.S. Catholic Historian 11, no.
United States and Europe, a contribution recognized by
4 (1993).
many theologians, Protestant as well as Catholic. Mary Jo
JANET KALVEN (2005)
Weaver, a professor of religious studies at Indiana University,
commented:
Their commitment to women has resulted in some
stunning and influential programs . . . [that] brought
GRANET, MARCEL (1884–1940), was an eminent
women together from all over the country to discover
French Sinologist associated with the Durkheimian sociolog-
and articulate the need for a more inclusive theology
ical tradition. Granet wrote extensively on ancient 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
GRANET, MARCEL
3655
religious institutions in relation to the development of Chi-
thought. The point of textual analysis, therefore, is not just
nese civilization. He was born at Luc-en-Diois and, after
to distinguish between true historical facts and false mytho-
demonstrating his outstanding scholastic abilities at several
logical embellishments but to accept the fact that an entire
lycées, enrolled at the elite École Normale Supérieure in Paris,
ancient text, or set of texts, reveals a particular logic that is
where he studied European history and came under the sway
ideologically grounded in mythic and ritual themes. In fact,
of Émile Durkheim, who was offering lectures there. The
for Granet and his contemporary Henri Maspero, the actual
crystallization of Granet’s intellectual interests, along with
historical facts are often only emblematic scraps manipulated
his turn toward China, came about during his graduate work
in accordance with a mythic and ritual code that, in turn,
from 1908 to 1911 at the Foundation Thiers. His commit-
categorically reflects back on the forms and transformations
ment to sociological theory deepened, and in looking for
of ancient social life.
comparative material to extend his study of the code of
From this admittedly controversial perspective, Granet
honor in European feudalism, he took up the study of Chi-
attempted to show that the ordinarily ignored aspects of
nese language and history under the direction of the re-
primitive, peasant, or folk tradition are embedded even in or-
nowned Sinologue Édouard Chavannes. From this point on,
thodox classical works and that these archaic social and reli-
Granet’s academic focus was fixed on China. As forecast by
gious patterns are crucial for understanding the fundamental
his initial interest in feudalism, he was continually concerned
“collective representations” that regulate all subsequent Chi-
with the problem of the development and significance of an-
nese thought. In Fêtes et chansons, for example, Granet un-
cient Chinese “feudal” institutions as interrelated with kin-
covered in the classical Chinese Book of Odes an ancient
ship, morality, and religion.
spring and autumn festival cycle that, he implied, is the basic
Granet’s baptism as a Chinese scholar came when he
categorical imperative for the later Chinese cosmological sys-
studied the Chinese classical texts and commentaries in Beij-
tem of complementary dualism. Although he typically es-
ing during the years 1911 to 1913, the traumatic period of
chewed the use of comparative ethnographic material, in
the republican overthrow of the Qing dynasty. He was to re-
Danses et légendes he extended his earlier analysis, much in
turn to China only once more, for a brief stay in 1918, at
the spirit of Marcel Mauss’s “Essai sur le don” (1923–1924),
the end of his World War I military service. Returning to
by demonstrating how the mythic and ritual themes of to-
Paris, he married in 1919, took his doctorate in 1920, and
temism, initiatory masculine brotherhoods, and potlatch
resumed writing and teaching in his prewar position at the
that are found in the whole ensemble of ancient texts help
École Pratique des Hautes Études. At about this same time
to expose a specific pattern of cultural development that
he accepted an additional teaching appointment at the Sor-
leads from ancient peasant society through a clan system of
bonne, and in 1926 he was elected to a prestigious chair at
alternating prestations (i.e., a comprehensive system of social
the École Nationale des Langues Orientales Vivantes and was
reciprocity) to a developed patriarchal feudal system.
installed as the first director of the Institute des Hautes
Aside from other important technical writings that also
Études Chinoises. Throughout this period Granet gained
touch on the same key theoretical issues, the culminating ex-
fame for his brilliantly synthetic style as an author and teach-
pression of Granet’s approach to China in particular and to
er and was actively engaged in Parisian intellectual circles
methodology in general is La pensée chinoise (1934). The sig-
that included such notable colleagues as Marcel Mauss,
nificance of this stylistically graceful and keenly insightful ex-
Henri Maspero, Marc Bloch, Édouard Mestre, and Louis
ample of haute vulgarisation is that, besides presenting a bril-
Gernet. After the fall of France in 1940, Granet took over
liant portrait of the distinctive character of the Chinese
the fifth section of the École Pratique from Marcel Mauss,
mind, it implicitly goes beyond a simple application of a
who, because he was a Jew, was forced by the Nazis to relin-
Durkheimian sociology of knowledge by suggesting that the
quish his post. Granet’s distinguished career was tragically
categories of Chinese thought may be viewed as a total trans-
ended shortly thereafter, when he died suddenly at the age
formational system of linguistic representations not wholly
of fifty-six.
determined by the historical flux of social forms. As with his
last work on kinship, Catégories matrimoniales et relations de
Granet’s importance stems both from his specific analy-
proximité dans la Chine ancienne (1939), which the anthro-
sis of ancient Chinese religion and from the methodological
pologist Claude Lévi-Strauss acknowledged as a precursor to
implications these specialized investigations have for the
his own methodology (Les structures élémentaires de la par-
overall interpretive study of religion. With regard to his ap-
enté, 1949), La pensée unconsciously points toward the mod-
proach to early Chinese tradition, especially as set forth in
ern development of structural hermeneutics, as is seen, for
Fêtes et chansons anciennes de la Chine (1919; translated into
example, in Lévi-Strauss and, appropriately enough, in the
English as Festivals and Songs of Ancient China, 1932) and
work of Granet’s students, the Indo-Europeanist Georges
Danses et légendes de la Chine ancienne (1926), Granet violat-
Dumézil and the paleohistorian André Leroi-Gourhan.
ed the traditional Sinological mold of strict philological and
historical exegesis by considering the whole corpus of ancient
Granet has often been condemned by Sinologists as too
Chinese documents, both the classics and nonorthodox texts,
much of a poetic generalist and by sociologists as too much
as fragmentary specimens of a comprehensive system of
of a narrow specialist. And it is true that his special genius
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3656
GREAT MOTHER
was to fall between the two camps by respecting both philo-
the Christian church. The terms Greek Christianity and
logical limits and interpretive breadth. Granet was an artisan
Greek church are often used as synonyms for it, but with dif-
of texts who sometimes “gambled” with his speculative con-
ferent nuances. This article seeks to clarify the term Greek
clusions, and there is no doubt that much of his work on
Orthodox church by describing Greek Orthodox Christianity
Chinese religion and society must be discarded or at least
through its historical development to its twenty-first century
drastically revised. At the same time, however, recent scholar-
expressions.
ship indicates that Granet’s pioneering methodological spirit
THE EARLY CHURCH AND GREEK CHRISTIANITY. In their
and some of his specific findings still have considerable rele-
broadest meaning, Greek church and Greek Christianity can
vance for the study of traditional Chinese religion and the
refer to the earliest development of Christianity as it moved
general sociology of religion.
from its Jewish matrix into the Greek cultural world of the
Roman Empire. In this sense it is contrasted to Jewish Chris-
BIBLIOGRAPHY
tianity. Cultural life at the time was imbued with the Greek
Works by Granet
In addition to the works already mentioned, the posthumous col-
heritage: language, philosophy, religion, literature, and polit-
lection of Granet’s important articles and monographs on
ical values. In the early Christian tradition, Greek often
Chinese religion, society, and kinship entitled Études so-
meant pagan or Gentile, but it referred, as well, to Christians
ciologiques sur la Chine (Paris, 1953) should be mentioned.
who came to the faith from a polytheistic background as dis-
See also Granet’s two other popular, and in some ways least
tinguished from Jews who accepted the messiahship of Jesus.
successful, works: La religion des Chinois (Paris, 1922), trans-
Much of the New Testament and the earliest Christian pa-
lated as The Religion of the Chinese People (New York, 1975),
tristic documents were written in the Greek language. Thus,
and La civilisation chinoise: La vie publique et la vie privée
insofar as early Christianity was a religion of conversion, it
(Paris, 1929), translated as Chinese Civilisation (London,
reflected its immersion in Greek language and thought.
1930).
Works about Granet
GREEK CHRISTIANITY AND LATIN CHRISTIANITY. Greek
There is no full-scale biographical or critical examination of Gra-
Christianity soon came to be distinguished from other cul-
net, but see the appreciative discussion and full bibliography
tural embodiments of the Christian experience, especially
by Maurice Freedman, “Marcel Granet, 1884–1940: Sociol-
Latin Christianity. The early development of Latin Chris-
ogist,” in his translation of The Religion of the Chinese People
tianity has its roots in the Greek tradition as exemplified by
mentioned above. On some of the methodological implica-
Irenaeus of Lyons (c. 130–c. 200). The Greek approach to
tions of Granet’s works, see Derk Bodde’s “Myths of Ancient
Christianity was strongly theological, seeking to come to as
China,” in Mythologies of the Ancient World, edited by Samu-
careful a comprehension as was possible of the mysteries of
el Noah Kramer (Chicago, 1961); C. Wright Mills’s “The
Language and Ideas of Ancient China: Marcel Granet’s Con-
the Christian faith. It expressed itself, as well, in rich worship
tributions to the Sociology of Knowledge,” in Power, Politics
traditions and iconography, on the one hand, while cultivat-
and People, edited by Irving Louis Horowitz (New York,
ing monastic, ascetic, and mystical Christian traditions on
1963); Maurice Halbwachs’s “Histoires dynastiques et lég-
the other. But by the late third century the special character-
endes religieuses en Chine,” Revue de l’histoire des religions 94
istics of the Latin cultural milieu began to influence the
(1926): 1–16; and Louis Gernet’s “Histoire des religions et
church in the West and formed a more practical, legally ori-
psychologie: Confrontations d’aujourd’hui,” Journal de psy-
ented Christian expression. Nevertheless, Greek and Latin
chologie 47–51 (1954): 175–187.
Christianity at this period were not contrasting forms of the
New Sources
faith but were complementary to each other.
Aubin, Francoise. “Religions et Systemes de Pensee en Chine.” Ar-
chives de sciences sociales des religions 36 (1991): 169–189.
BYZANTIUM’S GREEK CHRISTIANITY. The Christian church
Granet, M. La civilisation chinoise: la vie publique et la vie privée.
in the Byzantine (East Roman) Empire (325–1453) retained
Paris, 1994.
and developed the ancient traditions of Greek Christianity.
Granet, M. La pensée chinoise. New edition Paris, 1999.
Organizationally, this fostered more of the early church’s
sense of local autonomy, in which the council remained cen-
Granet, M., and R. Mathieu. Danses et légendes de la Chine ancien-
ne. Paris, 1994.
tral to church life. The early Christian tradition, as expressed
Granet, M., and T. Uchida. Chugoku kodai no sairei to kayo.
in the Greek fathers, Eastern monastic spirituality, early ca-
Tokyo, 1989.
nonical practice, and liturgical life became normative for By-
zantine Christianity. Distinct Christian traditions, however,
NORMAN J. GIRARDOT (1987)
Revised Bibliography
differentiated from the Greek tradition, producing other ec-
clesial identities. These were the Oriental Orthodox church-
es, the Nestorian church, and the Roman Catholic Church.
GREAT MOTHER SEE GODDESS WORSHIP
The Oriental Orthodox churches (each with a national
component and traditionally characterized as monophysite)
and the Nestorians became ecclesially distinguished from
GREEK ORTHODOX CHURCH is a broad term
Greek Christianity by the fifth century. Latin Christianity,
used to describe several historical expressions of the life of
following its own inner dynamic, and strongly influenced 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
GREEK ORTHODOX CHURCH
3657
the rise of Frankish and Germanic political and economic
ed against the Muslim Ottoman Empire, they were often
power in western Europe, developed into a distinct ecclesias-
concurrently actions of independence from the Greek cultur-
tical reality. This distinction was formalized with the Great
al influence of the patriarchate of Constantinople as well as
Schism between the two great halves of Christendom that oc-
from its political influence. This led to the formation of inde-
curred over a period from the ninth to the early thirteenth
pendent (autocephalous) national churches. A partial excep-
century. The schism between Greek East and Latin West was
tion was the Church of Greece. Its separation from the ecu-
made permanent by the sacking of Constantinople in 1204
menical patriarchate was forced by political considerations
during the Fourth Crusade. It then became a linguistic con-
only.
vention to refer to the church in the West as “the Roman
Catholic Church” and the church in the East as “the Greek
Generally, the new order of things required a church or-
Orthodox church.”
ganization and consciousness that would demarcate the
newly organized autocephalous churches from the ethnic
GREEK ORTHODOXY AND SLAVIC ORTHODOXY. With the
Greek traditional character of the ecumenical patriarchate,
rise of Slavic Christianity, a new ethos affected the identity
while concurrently acknowledging fully its historical ecu-
of the Greek Orthodox church. This development was a di-
menical character as primus inter pares (first among equals)
rect result of Greek Orthodox missionary policy in the ninth
of the Orthodox world. In this manner, the Orthodox
through the twelfth century, which fostered indigenous cul-
churches of Russia (1448), Serbia (1879), Romania (1885),
tures, liturgical languages, and clergy in each mission church.
Bulgaria (1870), Czechoslovakia (1922), Finland (1923),
Originally, the church hierarchy was composed of Greeks.
Poland (1924), and Albania (1937) came into being. Thus,
But each of the various Slavic and other peoples eventually
for example, today it is possible to differentiate Greek Ortho-
obtained their own hierarchies. All of these new churches,
doxy from Slavic Orthodoxy and Romanian Orthodoxy as
however, received the Christian faith in its Greek form (in
cultural realities within the canonically unified Eastern Or-
contradistinction to the Latin/Roman form). But while there
thodox church.
was a deep-rooted spiritual identity with the ancient Greek
Orthodox tradition of Christianity, there came into being a
GREEK ORTHODOX CHURCHES TODAY. In the modern and
new Slavic identity within these churches.
ethnic sense, Greek Orthodoxy is understood to include
those churches whose language, liturgy, and spirit keep Or-
What intensified the mix of traditional Greek Orthodox
thodoxy and the Greek ethnic cultural tradition united.
Christianity and the Orthodox Christianity of local noneth-
These churches are the Church of Greece, the patriarchate
nic Greeks was the millet system put in place by the Muslim
of Constantinople (in part because it is also the international
conquerors of the Byzantine Empire (1453). As a means of
center of world Orthodoxy), the patriarchate of Alexandria,
governing the Orthodox Christian peoples, as well as all
the patriarchate of Jerusalem, the Church of Cyprus, and the
other ethnic-religious groups, the Muslims understood them
ethnic Greek diaspora jurisdictions throughout the world.
to be one people, or nation (the millet). The patriarch of
Constantinople was recognized as the head of the Orthodox
The Church of Greece. The most restricted meaning
Christian nation with civil as well as religious duties. Greek
of Greek Orthodox church refers to the autocephalous
metropolitans and bishops were appointed over the various
Church of Greece. Prior to the Greek War of Independence,
Orthodox peoples to exercise this new administration, which
which began in 1821, Christianity in what is now known as
included responsibilities for collecting taxes, assuring the ob-
Greece was, for most of its history, part of the ecumenical
servance of the law, and the loyalty of the Orthodox Chris-
patriarchate of Constantinople. Even though the church was
tian populations to the central government. The combina-
self-declared autocephalous in 1833, it understands itself to
tion of spiritual and secular responsibilities created many
be in direct continuity with the founding of Christianity in
difficulties and occasioned abuses, but it also provided many
Thessalonica, Philippi, Corinth, Athens, Nicopolis, and
opportunities for service to Orthodox unity. Thus, the ecu-
other Greek cities by the apostle Paul. Given the Orthodox
menical patriarchate served as a focal point in the defense of
tradition that ecclesial order often follows civil governmental
the Orthodox faith from incursions of Roman Catholic and
patterns, over the centuries the church in Greece has come
Protestant missionaries intent on proselytizing the Orthodox
under various patterns of ecclesial jurisdiction. Following the
during the seventeenth and eighteenth centuries. Numerous
early period, when metropolitan sees had been established in
councils were held for this purpose. With only a few excep-
the major cities, Greece came under Constantinople, where
tions, all of the documents arising out of this movement were
it stayed—with a few interruptions—until the nineteenth
written originally in Greek.
century. Originally, the autocephalous Church of Greece in-
cluded only the southern part of the modern nation of
At the same time, the ecumenical patriarchate, both as
Greece, since only that area was liberated in 1830. Over the
a representative of the Turkish authorities and as an agency
years, as the Greek nation expanded, the church also grew
of Greek ethnic influence upon the indigenous cultures of
in territorial size and numbers. But this equation of the
these Orthodox peoples, began to be perceived in some ways
boundaries of the state and the jurisdiction of the Church
as an alien force. When, in the first half of the nineteenth
of Greece is not absolute. Several areas of the nation of
century, various national wars of independence were initiat-
Greece are ecclesiastically under the control of the ecumeni-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3658
GREEK ORTHODOX CHURCH
cal patriarchate: the Dodecanese, Crete, and Mount Athos.
ippines, Singapore, Indonesia, and Hong Kong, with the
The Orthodox church is the official church of Greece, while
archbishop; the Metropolis of Switzerland and the Exarchate
at the same time freedom of religion is guaranteed by the
of Europe, with the metropolitan who also presides over the
constitution. The vast majority of Greece’s population of
Orthodox Center at Chambesy, Switzerland. The Ecumeni-
over ten million people are baptized Orthodox Christians.
cal Patriarchate maintains a permanent representative at the
In addition to the archbishop of Athens, there are eighty-five
World Council of Churches in Geneva. Although there are
bishops in seventy-seven dioceses and almost seventy-five
some exceptions, nearly all of the people making up the con-
hundred parishes.
gregations of these ecclesiastical jurisdictions are of Greek
background.
The patriarchate of Constantinople. With the estab-
lishment of the modern secular Turkish state in 1921, under
The patriarchate of Alexandria. Egypt was one of the
Kemal Atatürk, the position of the patriarchate of Constanti-
first areas to come under the influence of Islam in the eighth
nople has suffered severe weakening. Following the destruc-
century. The larger portion of the Christian population that
tion of the Greek military forces in the Greco-Turkish war
survived belonged to the Coptic church. Nevertheless, the
of 1922, an erosion of the Greek population of Asia Minor
Greek Orthodox patriarchate of Alexandria continued to
has continued unabated. It began with the exchange of popu-
exist in Egypt throughout the centuries. Its major constitu-
lations between Greece and Turkey as mandated in 1923 by
ency consisted of a well-organized Greek community that
the Treaty of Lausanne. Only the Greek population located
was strongly entrenched in leadership positions in com-
in western Thrace and Constantinople (Istanbul) was ex-
merce, finance, and education. Numerous educational and
empted from the removal to Greece. The treaty also guaran-
cultural institutions were supported by the Greek communi-
teed the independence, freedom, and permanence of the pa-
ty. In addition the patriarchate of Alexandria had canonical
triarchate in its location in Constantinople, but it soon
control over all of Orthodoxy on the African continent. By
became a pawn in the political conflicts of Greece and Tur-
and large these jurisdictions were composed of Greeks in the
key. The conflict of Turkish and Greek interests in Cyprus
various African nations and some missionary churches. The
has been the occasion for the patriarchate to become a pres-
numerical strength of the Greek Orthodox patriarchate in
sure point against Greek interests.
Egypt was broken with the rise of Gamal Abdel Nasser in
1954. The Greek population of Egypt lost much of its eco-
In 1955, after years of general harassment, government-
nomic and social status and began to emigrate. Nevertheless,
inspired riots wrought havoc on the Greek community of Is-
in 2002 the patriarchate continued to serve about 350,000
tanbul, in which not only private homes and shops but
Orthodox Christians whose members worship in the Greek,
churches, cemeteries, schools, and other institutions were
Arabic, and several native East African languages. There are
vandalized and destroyed. Economic and administrative
thirteen metropolitan sees.
pressures forced a large part of the Greek Orthodox popula-
tion to leave the last remaining enclave of Greek Orthodoxy
The patriarchate of Jerusalem. Though severely tried
in Turkey. Only a couple thousand now remain, as the patri-
throughout the years of the Muslim conquests of the Holy
archate clings to its legal rights to remain in its historic city.
Land, the patriarchate of Jerusalem was able to sustain itself
until the Crusaders conquered the city of Jerusalem in 1099.
The patriarchate’s numerical strength resides in the nu-
The Greek Orthodox patriarch was expelled and replaced
merous Greek Orthodox dioceses, or eparchies, within its ju-
with a Latin patriarch. This situation lasted until 1177. In
risdiction in the diaspora. In addition to four eparchies in
1517 the area came under the control of the sultan in Con-
Turkey, the Patriarchate of Constantinople exercises juris-
stantinople while the church continued to struggle to main-
diction over the Archdiocese of Crete, with eight metropoli-
tain its rights to the holy places of Jerusalem. In the mid-
tan sees; the four metropolitan sees of the Dodecanese; the
nineteenth century, international agreements affirmed the
historic monasteries of Patmos and Mount Athos; the Greek
rights of the Greek Orthodox patriarchate over the ancient
Orthodox Archdiocese of North and South America, with
churches of the Holy Sepulcher. Changing political circum-
ten dioceses; the Archdiocese of Australia, with five archdioc-
stances in the area have required the negotiation of agree-
esan districts; the Archdiocese of Thyateira and Great Britain
ments regarding the status of the patriarchate with the Brit-
and the Exarchate for Western Europe, Ireland, and Malta,
ish, Jordanians, and Israelis. At the beginning of the twenty-
with eight bishops, in addition to the archbishop; the Me-
first century, the patriarchate counted 130,000 members
tropolis of France and the Exarchate of Iberia, with three
with sixteen bishops and maintained under its jurisdiction
metropolitan regions; the Metropolis of Germany and the
the archdiocese of Sinai, in present-day Egypt.
Exarchate of Central Europe, with three bishops and the
archbishop; the Metropolis of Austria and the Exarchate for
The Church of Cyprus. The Church of Cyprus, con-
Italy and Hungary; the Metropolis of Belgium and the Ex-
sisting exclusively of Greek Cypriots, received its indepen-
archate for the Low Countries, with the archbishop and one
dence as an autocephalous church through the eighth canon
bishop; the Metropolis of Sweden, Scandinavia, and the
of the Council of Ephesus (431), but its history goes back
Northern Lands, with one bishop; the Metropolis of New
to New Testament times (Acts 11:19). Its bishops participat-
Zealand and the Exarchate for India, Korea, Japan, the Phil-
ed in the Council of Nicaea (325). Although the Orthodox
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GREEK RELIGION [FIRST EDITION]
3659
church suffered severe repression during the period of Latin
Geanakoplos, Deno John. Byzantine East and Latin West: Two
domination (1191–1571), it retained its Greek Orthodox
Worlds of Christendom in Middle Ages and Renaissance; Studies
character. Under the Turks (1571–1878) the Orthodox hier-
in Ecclesiastical and Cultural History. New York, 1966. An
archy was fully acknowledged. The Orthodox church is very
excellent study on the topic, with important insights on the
close to the people of Cyprus, especially since the 1974
cultural sources of the ecclesiastical conflicts.
Turkish invasion of the island nation when almost half of its
Karmiris, Ioannes N. “Nationalism in the Orthodox Church.”
members were made refugees in their own land. In 2002, the
Greek Orthodox Theological Review 26 (Fall 1981): 171–184.
Church of Cyprus counted more than 442,000 members
An effort to explicate the broad Greek cultural impact upon
Orthodox Christianity, while distinguishing the Orthodox
with six dioceses, seven bishops, and twelve hundred priests.
faith from modern Greek nationalism, without contrasting
The Greek Orthodox diaspora. The Greek Orthodox
it.
Christians found throughout the world today in traditionally
Runciman, Steven. The Great Church in Captivity: A Study of the
non-Orthodox lands are primarily under the jurisdiction of
Patriarchate of Constantinople from the Eve of the Turkish
the Patriarchate of Constantinople. The various ecclesial ju-
Conquest to the Greek War of Independence. Cambridge, U.K.,
risdictions are mentioned above. Those in English-speaking
1968. The definitive work on this subject.
lands are the Greek Orthodox Archdiocese of North and
Vaporis, Nomikos Michael, ed. Post-Byzantine Ecclesiastical Per-
South America, the Archdiocese of Australia, the Archdio-
sonalities. Brookline, Mass., 1978. Biographies of several
cese of Thyateira and Great Britain, and the Metropolis of
major Greek figures in the Orthodox church under Ottoman
New Zealand. Of these, the American jurisdiction is the
rule.
largest.
Vryonis, Speros, Jr. Byzantium and Europe. New York, 1967. A
The Archdiocese of North and South America was es-
good, broad cultural introduction to Byzantine history,
with a focus on the relationships between East and West.
tablished in 1922. Sixty years later it consisted of the archdi-
Illustrated.
ocese and ten dioceses with 488 parishes, 569 churches, 530
priests, and 670,000 duly recorded members, although it
Ware, Timothy. Eustratios Argenti: A Study of the Greek Church
serves a much larger number of persons who identify them-
under Turkish Rule. Oxford, 1964. Reprint, Willits, Calif.,
1974. A fine case study of the practical dimensions of Greek
selves as Greek Orthodox Christians. It supported 24 paro-
Orthodox Christian life under the Ottomans.
chial schools and 412 afternoon Greek schools. The church
also has two institutions of higher learning, Hellenic College
STANLEY SAMUEL HARAKAS (1987)
and Holy Cross Greek Orthodox School of Theology. It
maintains an orphanage and several old-age homes. In 1984
it supported 518 catechetical schools for children and 186
GREEK RELIGION [FIRST EDITION]. [This
adult religious education programs. By 2002 the archdiocese
entry focuses on Greek religion during the Archaic and Classical
counted 540 parishes and 800 priests, and a membership es-
periods, from the eighth to the fourth century BCE. Other reli-
timated at 1.5 million. Nearly every parish has a “Philopto-
gious systems of the ancient Mediterranean region are treated in
hos [Friends of the Poor] Society” and one or more youth
Aegean Religions, which discusses the earlier cultures of Cyclad-
groups. It publishes a bimonthly newspaper, The Orthodox
ic, Minoan, and Mycenaean peoples, and in Hellenistic Reli-
Observer, and a scholarly theological journal, The Greek Or-
gions, which surveys the later history of religions in the Greek-
thodox Theological Review, through the Holy Cross School
speaking world.]
of Theology. This pattern of organization and functioning
is the model for the other churches of the Greek Orthodox
The Greek religion of the Archaic and Classical periods
diaspora.
(eighth–fourth century BCE) presented several characteristic
traits that should be borne in mind. Like other polytheistic
SEE ALSO Eastern Christianity; Russian Orthodox Church;
cults, Greek religion was a stranger to any form of revelation:
Schism, article on Christian Schism.
it knew neither prophet nor messiah. It was deeply rooted
in a tradition in which religion was intimately interwoven
BIBLIOGRAPHY
with all the other elements of Hellenic civilization, all that
Campbell, John, and Philip Sherrard. Modern Greece. New York,
gave to the Greece of the city-states its distinctive character:
1968. A useful chapter on the place of the Orthodox church
from the language, the gestures, and the manner of living,
in modern Greece.
feeling, and thinking to the system of values and the rules
Florovsky, Georges. “Patristics and Modern Theology.” In Procès-
of communal life. This religious tradition was neither uni-
verbaux du Premier Congrès de Théologie Orthodoxe à Athènes:
form nor strictly defined; its nature was not dogmatic in any
29 novembre-6 décembre 1936, edited by Hamilcar S. Alivisa-
tos. Athens, 1939. A historic call for a return to the Greek
way. It had no sacerdotal cast, no specialized clergy, no
fathers. The final clause, italicized for emphasis, reads “let us
church, and no sacred book in which the truth was fixed
be more Greek to be truly catholic, to be truly Orthodox.”
once and for all. It had no creed that gave the faithful a co-
herent set of beliefs about the beyond.
Frazee, Charles A. Orthodox Church in Independent Greece, 1821–
1852. Cambridge, U.K., 1969. A detailed account of the es-
MYTHOLOGY AND RELIGION. On what basis, then, did the
tablishment of the autocephalous Church of Greece.
deep-seated religious convictions of the Greeks lie, and how
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3660
GREEK RELIGION [FIRST EDITION]
were they expressed? As their beliefs were not based on doc-
about the divine beings acquired an almost canonical value
trine, they did not entail for the devout any obligation to ad-
and functioned as sources of reference for the authors who
here, for fear of impiety, on all points and to the letter to a
came after them as well as for the public that listened to or
body of defined truths. It sufficed for a person performing
read them.
rites to give credence to a vast repertory of stories learned in
Certainly, the poets that succeeded Homer and Hesiod
childhood. Each of these stories existed in many versions, al-
were not as influential. As long as the city-state remained
lowing a wide margin of interpretation. It was within the
alive, however, poetic activity continued to act as a mirror,
context of this narrative tradition that beliefs about the gods
reflecting the image of the inhabitants and allowing them to
developed and that a consensus emerged as to their nature,
perceive their dependence on the sacred and to define them-
their role, and their requirements. Rejecting this core of
selves with reference to the immortal. Poetic activity gave the
common beliefs would have been, for a Greek, like giving
community of mortals its cohesiveness, its continuity, and
up the Greek language or the Greek way of life. However,
its permanence.
for all that, the Greeks were fully aware that other languages
and other religions existed. They could, without falling into
Consequently, a problem arises for the historian of reli-
disbelief, remain objective enough about their own religious
gions. If poetry was the vehicle through which the attributes
system to engage in a free and critical reflection on it, and
of divine creatures, their roles, and their relationships with
they did not hesitate to do so.
mortal creatures were expressed, and if it fell to each poet to
present, with occasional modifications, the divine and heroic
But how did they preserve and transmit this mass of tra-
legends that, taken together, constituted an encyclopedia of
ditional “knowledge” about the social reality of the other-
knowledge about the otherworld, should these poetic tales
world—the families of the gods, their genealogies, their ad-
and dramatized narrations be considered as religious docu-
ventures, their conflicts or agreements, their powers, their
ments or be given a purely literary value? That is, do myths
spheres and modes of action, their prerogatives, and the hon-
and mythology, in the forms given them by Greek civiliza-
ors that were due them? Where language was concerned, es-
tion, belong to the field of religion or to that of literary
sentially in two ways. First, through a purely oral tradition
history?
maintained in each household, especially by women: nurses’
For the scholars of the Renaissance, as for the great ma-
tales or old grandmothers’ fables, as Plato called them, were
jority of the scholars of the nineteenth century, the reply was
absorbed by children from the cradle. These stories, or
self-evident. In their eyes, Greek religion was, above all, an
muthoi—which were all the more familiar for having been
abundant treasure of legendary tales transmitted to us by the
heard by children at the age when they were learning to
Greek authors (assisted by the Romans) in which the spirit
speak—helped shape the mental framework in which the
of paganism remained alive long enough to offer the modern
Greeks imagined the divine, situated it, and conceived it.
reader in a Christian world the surest path to a clear view of
As adults, the Greeks learned about the world of the
ancient polytheism.
gods through the voices of the poets. Through the tales about
Actually, in taking this standpoint, they simply walked
the gods, the remoteness and strangeness of the otherworld
in the footsteps of the ancients. In the sixth century BCE,
took a familiar, intelligible form. Performed with a musical
Theagenes of Rhegium and Hekataios inaugurated a critical
instrument, the poets’ songs were not heard in private, inti-
approach to the traditional myths, as recounted by Homer
mate surroundings, as were the tales told to children, but at
in particular. They subjected these stories to a reasoned ex-
banquets, official festivities, and important competitions and
amination or applied to them a method of allegorical exege-
games. The rise of a written narrative tradition modified and
sis. In the fifth century, work was begun that would be sys-
preserved the very ancient tradition of oral poetry and came
tematically pursued in essentially two directions. First,
to occupy a central place in the social and spiritual life of
chroniclers undertook the collection and inventory of all the
Greece. The poets’ songs were not a luxury reserved for the
legendary oral traditions peculiar to a city or a sanctuary.
learned elite, nor were they merely personal entertainment
Like the atthidographs of Athens, these scholars attempted
for an audience; they functioned as a real institution that
to set down in writing the history of a city and its people
kept alive the social memory, as an instrument for the preser-
from its earliest beginnings, going back to the fabulous time
vation and communication of knowledge. As a verbal form
when the gods mingled with men, intervening directly in
that could be memorized easily, poetry expressed and fixed
their affairs to found cities and to beget the first reigning
the fundamental traits that went beyond the particularities
dynasties. Thus was made possible, from the Hellenistic peri-
of each city and were the foundation of a common culture
od onward, the enterprise of scholarly compilation that led
for all of Hellas—especially those traits reflected in religious
to the drafting of veritable repertories of mythology: the Bib-
representations of the gods proper, daemons, heroes, or the
liotheca of “Apollodorus,” the Fabulae and Poetica Astronomi-
dead. Had it not been for all the works of the epic, lyrical,
ca of Hyginus, book 5 of the Bibliotheca historica of Diodorus
and dramatic poetry, we could speak of Greek cults in the
Siculus, the Metamorphoses of Antoninus Liberalis, the
plural instead of a unified Greek religion. In this respect,
three miscellaneous collections known as the Mythographi
Homer and Hesiod played prominent roles: their narratives
Vaticani.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GREEK RELIGION [FIRST EDITION]
3661
Parallel to this effort, which aimed at a systematic sum-
What are the reasons for this exclusive bias in favor of the
mary of the legends common to all Greeks, there became ap-
cult and for the importance attributed to its most archaic ele-
parent a certain hesitation and uneasiness—already percepti-
ments? There are two, very distinct reasons. The first is of
ble among the poets—about how much credit should be
a general nature and has to do with the personal philosophy
accorded to the scandalous episodes that seemed incompati-
of the scholar and with his idea of religion. The second is
ble with the eminent dignity of the divine. But it was with
a response to more technical requirements: the progress of
the development of history and philosophy that interroga-
classical studies—in particular, the strides made in archaeol-
tion reached full scale; from then on criticism assailed myth
ogy and epigraphy—opened new areas of investigation, be-
in general. Subjected to the investigations of the historian
sides the mythological field, to students of antiquity. These
and the reasonings of the philosopher, the fable, as fable, was
advances led scholars to call into question, and sometimes
deemed incompetent to speak of the divine in a valid and
even modify profoundly, the image of Greek religion fur-
authentic fashion. Thus, at the same time that they applied
nished by literary tradition alone.
themselves, with the greatest care, to setting down their leg-
endary heritage, the Greeks were led to challenge the myths,
Today, the rejection of mythology is based on an anti-
sometimes in the most radical manner, and to raise the prob-
intellectualist presumption in religious matters. Scholars of
lem of the truth—or falsehood—of the myth. The solutions
this standpoint believe that behind the diversity of reli-
varied from rejection, or pure and simple negation, of the
gions—just as beyond the plurality of the gods of polythe-
myths to the multiple forms of interpretation that permitted
ism—lies a common element that forms the primitive and
them to be “saved”; for example, a banal reading might be
universal core of all religious experience. This common ele-
replaced with learned hermeneutics that brought to light a
ment, of course, cannot be found in the always multiple and
secret lesson underlying a narrative and analogous to those
varying constructions that the mind elaborates in its attempt
fundamental truths—the privilege of the wise—which, when
to picture the divine; it is placed, therefore, outside of intelli-
known, reveal the only real sure access to the divine. Yet,
gence, in the sacred terror that a human being feels each time
from one point of view, no matter if the ancients were care-
he or she is compelled to recognize, in its irrecusable strange-
fully collecting myths, if they interpreted or criticized them
ness, the presence of the supernatural. The Greeks had a
or even rejected them in the name of another, truer kind of
word for this effective, immediate, and irrational reaction in
knowledge—it all came down to recognizing the role gener-
the presence of the sacred: thambos (“reverential awe”). Such
ally assigned to myths in the Greek city-state, namely, to
awe would be the basis of the earliest cults, the diverse forms
function as instruments of information about the other-
taken by the rites answering, from the same origin, to the
world.
multiplicity of circumstances and human needs.
During the first half of the twentieth century, however,
Similarly, it is supposed that behind the variety of
historians of Greek religion took a new direction. Many re-
names, figures, and functions proper to each divinity, a ritual
fused to consider the legendary traditions as strictly religious
brought into play the same general experience of the divine,
documents that could be useful as evidence of the real state
considered a suprahuman power (kreitton). This indetermi-
of the beliefs and feelings of the faithful. For these scholars,
nate divine being (Gr., theion, or daimonion), underlying the
religion lay in the organization of the cult, the calendar of
specific manifestations of particular gods, took diverse forms
sacred festivals, the liturgies celebrated for each god in his
according to the desires and fears to which the cult had to
sanctuaries. Next to these ritual practices, which constitute
respond. From this common fabric of the divine, the poets,
the “real” religious comportments, the myth appears as a lit-
in turn, cut singular characters; they brought them to life,
erary outgrowth, a mere fabulation. As a more or less gratu-
imagining for each a series of dramatic adventures in what
itous fantasy of the poets, myth could be only remotely relat-
Festugière does not hesitate to call a “divine novel.” On the
ed to the inner convictions of the believer, who was engaged
other hand, for every act of the cult, there is no other god
in the concrete practice of cult ceremonies and in a series of
but the one invoked. From the moment he is addressed, “in
daily acts that brought him into direct contact with the sa-
him is concentrated all divine force; he alone is considered.
cred and made him a pious man.
Most certainly, in theory he is not the only god since there
are others and one knows it. But in practice, in the actual
In the chapter on Greece in Histoire générale des religions
state of mind of the worshiper, the god invoked supplants
(1944), A.-J. Festugière warned the reader in these terms:
at that moment all the others” (Festugière, 1944, p. 50).
No doubt poets and sculptors, obeying the requisites of
Thus the refusal of some scholars to take myth into ac-
their art, were inclined to represent a society of highly
count becomes clear: it leads exactly to that which from the
characterized gods; form, attributes, genealogy, history,
beginning was meant, more or less consciously, to be proved.
everything is clearly defined, but the cult and popular
feeling reveal other tendencies. Thus, from the begin-
By effacing the differences and the oppositions that distin-
ning, the field of the religious is enclosed. In order to
guish the gods from one another, any true difference is ef-
understand fully the true Greek religion, forgetting
faced between polytheisms of the Greek type and Christian
therefore the mythology of the poets and of art, let us
monotheism, which then becomes a model. This flattening
turn to the cult—to the earliest cults.
out of religious realities to make them fit a single mold can-
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GREEK RELIGION [FIRST EDITION]
not satisfy the historian. Must not his first concern be, on
and appreciation of the great forces that in their mutual rela-
the contrary, to define the specific traits that give each great
tionships and their perfect equilibrium govern the natural
religion a character of its own and that make it, in its unicity,
and supernatural worlds and human society and makes them
an entirely original system? Apart from reverential awe and
what they ought to be.
a diffused feeling of the divine, the Greek religion presents
In this sense myth, which should not be confused with
itself as a vast symbolic construction, complex and coherent,
ritual or subordinated to it, does not conflict with ritual as
that allows room for thought, as well as feeling, on all levels
much as has been supposed. In its verbal form, myth is more
and in all aspects, including the cult. Myth played its part
explicit than rite, more didactic, more apt to theorize. It thus
in this system in the same way as ritual practices and repre-
contains the germ of that knowledge that—on another level
sentations of the divine. Indeed, myth, rite, and figurative
of language and thought—is the concern of philosophy
portrayals were the three modes of expression—verbal, ges-
when it formulates its assertions using concepts and terms
tural, and iconic—by which the Greeks manifested their reli-
that are removed from any reference to the gods of the com-
gious experience. Each constituted a specific language that,
mon religion. The cult is more engaged in considerations of
even in its association with the two others, responded to par-
a utilitarian nature. But it is no less symbolic: a ritual ceremo-
ticular needs and functioned autonomously.
ny unfolds according to a scenario whose episodes are as
The work of Georges Dumézil and Claude Lévi-Strauss
strictly organized and as fraught with meaning as the se-
on myth led to a totally different presentation of the problem
quences of a narrative. Every detail of this mise-en-scène, in
of Greek mythology: How should the texts be read? What
which the worshiper in defined circumstances undertakes to
status did they assume in Greek religious life? The days when
act out his relationship with one god or another, has an intel-
one could discuss myth as if it were a poet’s individual fanta-
lectual dimension and goal: it implies a certain idea of the
sy, a free and gratuitous romantic invention, are gone. Even
god, the conditions for his approach, and the results that the
in the variations to which it lent itself, a myth obeyed the
various participants, according to their role and status, have
severe constraints of the community. During the Hellenistic
the right to expect from this means of entering into symbolic
period, when an author, such as Callimachus, wrote a new
commerce with the divinity.
version of a legendary theme, he was not free to modify the
Figurative representation is of the same nature. Al-
elements or to recompose the scenario as he pleased. He be-
though it is true that during the Classical period the Greeks
longed to a tradition; whether he conformed to it exactly or
gave a privileged place in their temples to the great anthropo-
deviated on a certain point, he was restrained and supported
morphic statues of the gods, they were familiar with all the
by it and had to refer to it, at least implicitly, if he wanted
forms of divine manifestation: aniconic symbols, either natu-
the public to hear his tale. As Louis Gernet (1932) noted,
ral objects, such as a tree or a rough stone, or products shaped
even when a narrator seemed to have completely invented a
by the human hand (e.g., a post, a pillar, a scepter); diverse
tale, he was actually working according to the rules of a “leg-
iconic figures, such as a small, rough-hewn idol whose form
endary imagination” that had its own functioning, internal
was completely hidden by clothes; monstrous figures min-
necessities, and coherence. Without even knowing it, the au-
gling the bestial and the human; a simple mask whose hollow
thor was obliged to submit to the rules of the play of associa-
face and fascinating eyes evoked the divine; a fully human
tions, oppositions, and homologies that had been established
statue. These figures were not all equivalent, nor were they
by a series of previous versions of the tale and that composed
indiscriminately suited to all the gods or to all aspects of the
the conceptual framework common to the type of narrative.
same god. Each had its own way of translating certain aspects
To have meaning, each variation of a myth had to be linked
of the divine, of “making present” the beyond, of locating
to, as well as compared with, the other variations. Together,
and inserting the sacred in the space of the here and now.
they composed one semantic space, whose particular config-
Thus, a pillar or post driven into the ground had neither the
uration appears as the characteristic mark of Greek legendary
same function nor the same symbolic value as an idol that
tradition. By analyzing a myth in all its versions, or a corpus
was ritually moved from one place to another; as an image
of diverse myths centered around the same theme, we are
locked away in a secret repository, its legs bound to prevent
able to explore this structured and organized mental space.
its escape; or as a great cult statue whose permanent installa-
tion in a temple demonstrated the lasting presence of the god
Interpretation of a myth, therefore, operates along lines
in his house. Each form of representation implied for the spe-
different from those characterizing the study of literature and
cific divinity a particular way of making himself known to
must meet other goals. It seeks to determine the conceptual
man and of exercising, through his images, his supernatural
architecture of the very composition of the fable, the impor-
powers.
tant frameworks of classification that are involved, the
choices made in the division and the coding of reality, and
If, following various modalities, myth, image, and ritual
the network of relationships that the story, by its narrative
all operate on the same level of symbolic thought, it is under-
procedures, establishes between the various elements of the
standable that they combine to make each religion a com-
plot. In short, the mythologist seeks to reconstitute what
plete whole in which, to quote Dumézil in L’héritage indo-
Dumézil calls the “ideology,” that is, the conceptualization
européen à Rome (Paris, 1949, p. 64), “concepts, images and
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GREEK RELIGION [FIRST EDITION]
3663
actions fit together and by their relations form a kind of net
concern for what is due even to the weakest. In him and by
in which, potentially, all the matter of human experience
him, order and power, law and violence are reconciled and
must be caught and distributed.”
conjoined. “All kings come from Zeus,” wrote Hesiod in the
seventh century BCE, not to oppose monarch, warrior, and
THE WORLD OF THE GODS. To find the lines of the net, to
peasant, but to affirm that there is no true king who does
pick out the configurations shaped by its meshes: such must
not set himself the task of quietly making justice triumph.
be the historian’s task. In the case of Greek religion, this
“From Zeus are the kings,” echoes Callimachus four centu-
proves to be far more difficult than with the other Indo-
European religions, in which the pattern of the three func-
ries later, but this kinship between kings and the royalty of
tions—sovereignty, war, and fertility—is maintained. Where
Zeus does not fit into a trifunctional framework. It crowns
it is clearly attested, this structure serves as the framework
a series of similar statements that link a particular category
and keystone of the entire edifice and provides a unity that
of men to the divinity who acts as its patron: blacksmiths to
seems to be lacking in Greek religion.
Hephaistos, soldiers to Ares, hunters to Artemis, and singers
accompanied by the lyre to Phoibos (Apollo).
Indeed, Greek religion presents an organization so com-
plex that it excludes recourse to a single reading code for the
When Zeus enters into the composition of a triad, as
entire system. To be sure, a Greek god is defined by the set
he does with Poseidon and Hades, it is to delimit by their
of relationships that unite or put him in opposition to other
apportionment the cosmic levels, or domains: the heavens to
divinities of the pantheon, but the theological structures thus
Zeus, the sea to Poseidon, the subterranean world to Hades,
brought to light are too numerous and, especially, too diverse
the surface of the earth to all three. When he is paired with
to be integrated into the same pattern. According to the city,
a goddess, the dyad thus formed brings out different aspects
the sanctuary, or the moment, each god enters into a varied
of the sovereign god, depending on the female divinity who
network of combinations with the others. Groups of gods do
is his counterpart. Joined with Gaia (“earth”), for example,
not conform to a single model that is more important than
Zeus is the celestial principle, male and generative, whose fer-
others; they are organized into a plurality of configurations
tilizing rain reaches deep in the ground to animate young
that do not correspond exactly but compose a table with sev-
sprouts of vegetation. United with Hera in a lawful marriage
eral entries and many axes, the reading of which varies ac-
that engenders a legitimate line, Zeus becomes the patron of
cording to the starting point and the perspective adopted.
the institution of matrimony, which, by civilizing the union
of man and woman, serves as the foundation of every social
Take the example of Zeus. His name clearly reveals his
organization; the couple formed by the king and queen is the
origin, based on the same Indo-European root (meaning “to
exemplary model. Associated with Metis, his first wife
shine”) as Latin dies/deus and the Vedic dyeus. Like the Indian
(whom he swallowed and assimilated entirely), Zeus the king
Dyaus Pitr: or the Roman Jupiter (Iovpater), Father Zeus
is identified with cunning intelligence and with the under-
(Zeus Pater) is the direct descendant of the great Indo-
handed shrewdness needed to win power and to keep it. He
European sky god. However, the gap between the status of
is able to ensure the permanence of his reign and to protect
the Zeus of Greece and that of his corresponding manifesta-
his throne from traps, snares, and surprises, for he is always
tions in India and in Rome is so evident, so marked, that
prompt to foresee the unexpected and to ward off dangers.
even when comparing the most assuredly similar gods one
Taking Themis for his second wife, he fixes, once and for
is compelled to recognize that the Indo-European tradition
all, the order of the seasons, the balance of human groups
has completely disappeared from the Greek religious system.
in the city (order and balance represented by the Horai,
Zeus does not appear in any trifunctional group compa-
daughters of Zeus and Themis), and the ineluctable course
rable to the pre-Capitoline Jupiter-Mars-Quirinus, in which
of the Fates (the Moirai). He becomes cosmic law, social har-
sovereignty (Jupiter) is contrasted with the action of the war-
mony, and destiny.
rior (Mars) and the functions of fertility and prosperity
Father of the gods and humankind, as he is designated
(Quirinus). Nor is he associated, as Mitra is with Varun:a,
already in the Iliad—not because he sired or created all be-
with a sovereign power that expresses not only legal and ju-
ings but because he exercises over each of them an authority
ridical aspects but also the values of magic and violence. Ou-
as absolute as that of the head of a family over his house-
ranos, the dark night sky, who has sometimes been compared
hold—Zeus shares with Apollo the epithet patro¯ios (“the an-
with Varuna, is paired in myth with Gaia, the earth, not with
cestral”). Together with Athena Apatouria, Zeus, as
Zeus.
Phratrios, ensures the integration of individuals into the di-
As sovereign, Zeus embodies greater strength than all
verse groups that compose the civic community. In the cities
the other gods. He is the supreme power: with Zeus on one
of Ionia, he makes of all the citizens authentic brothers, cele-
side and all the assembled Olympians on the other, it is Zeus
brating in their respective phratries, as in one family, the fes-
who prevails. Confronted by Kronos, whom he dethroned,
tival of the Apaturia, that is, of those who acknowledge
and the Titan gods, whom he fought and imprisoned, Zeus
themselves children of the same father. In Athens, joined
represents justice, the fair distribution of honors and offices,
with Athena Polias, Zeus is Polieus, patron of the city. Mas-
respect for the privileges to which each person is entitled,
ter and guarantor of political life, Zeus forms a couple with
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GREEK RELIGION [FIRST EDITION]
the goddess, whose function as titulary power of Athens is
nounces his oracles in the sanctuary of Delphi, he speaks not
more precise and, one might say, more localized. Athena
so much for himself as in the name of his father, with whom
watches over her city as a particular city distinguished from
he remains associated and, in his oracular function, seems to
the other Greek city-states. She favors Athens, according it
obey. Apollo is a prophet, but he is the prophet of Zeus: he
the dual privileges of concord within the city and victory out-
voices only the will and decrees of the Olympian so that
side of it.
here—at the navel of the world—the word of the king and
father may resound in the ears of those who can hear.
Celestial and judicious wielder of supreme power,
founder of order, guarantor of justice, governor of marriage,
The different epithets of Zeus, wide as their range may
father and ancestor, and patron of the city, the tableau of the
be, are not incompatible. They all belong to one field and
sovereignty of Zeus includes still other dimensions. His au-
emphasize its multiple dimensions. Taken together, they de-
thority is domestic as well as political. In close connivance
fine the contours of divine sovereignty as conceived by the
with Hestia, Zeus has supreme control not only over each
Greeks; they mark its boundaries and delimit its constituent
private hearth—that fixed center where the family has its
domains; they indicate the various aspects that the power of
roots—but also over the common household of the state in
the king-god may assume and exercise in more or less
the heart of the city, the Hestia Koine¯, where the ruling mag-
close alliance (according to circumstances) with the other
istrates keep watch. Zeus Herkeios, the god of the courtyard
divinities.
and the household, circumscribes the domain within which
An entirely different matter is the Zeus of Crete, the
the head of the house has the right to exercise his power;
Kretagenes, Diktaios, or Idaios, the youthful god whose in-
Zeus Klarios, the divider of estates, delineates and sets
fancy was associated with the Curetes, with their dances and
boundaries, leaving Apollo and Hermes in charge of protect-
orgiastic rites and the din of their clashing weapons. It was
ing the gates and controlling the entries.
said of this Zeus that he was born in Crete and that he also
As Zeus Hikesios and Zeus Xenios, he receives the sup-
died there; his tomb was shown on the island. But the Greek
pliant and the guest, introduces them into the unfamiliar
Zeus, in spite of his many facets, can have nothing in com-
house, and ensures their safety by welcoming them to the
mon with a dying god. In the Hymn to Zeus, Callimachus
household altar, although he does not assimilate them entire-
firmly rejects the tradition of these stories as foreign to his
ly to the members of the family. Zeus Ktesios, the guardian
god, “ever great, ever king.” The real Zeus was not born in
of possession and wealth, watches over the property of the
Crete, as those lying Cretans told it: “They have gone so far
head of the house. As an Olympian and a celestial god, Zeus
as to build you a tomb, O King; Nay, you never died; You
opposes Hades; yet as Ktesios, Zeus’s altar is deep in the cel-
are for eternity.”
lar, and he takes on the appearance of a serpent, the most
In the eyes of the Greeks, immortality, which sets a rig-
chthonic of animals. The sovereign can thus incorporate that
orous boundary between the gods and mortals, was such a
chthonic part of the universe normally controlled by the
fundamental trait of the divine that the ruler of Olympus
powers of the underworld but occasionally incarnated by
could in no way be likened to one of the Oriental deities who
Zeus himself in a kind of internal tension, polarity, or even
die and are reborn. During the second millennium, the
a double image. The celestial Zeus, who sits at the summit
framework of the Indo-European religious system, whose in-
of the shining ether, is mirrored by a Zeus Chthonios, Zeus
fluence is reflected in the name of Zeus, may well have col-
Katachthonios, Zeus Meilichios, a Zeus of the dark under-
lapsed among those people speaking a Greek dialect, who
world, who is present in the depths of the earth where he
came in successive waves to settle Helladic soil and whose
nurtures, in the proximity of the dead, the riches or retribu-
presence is attested as far as Knossos in Crete from the end
tions that are ready, if he is willing, to surge into the light
of the fifteenth century BCE. Contacts, exchanges, and inter-
led by the chthonic Hermes.
mixing were numerous and continuous. There were borrow-
ings from the Aegean and Minoan religions, just as there
Zeus connects heaven and earth by means of the rain
were from the Oriental and Thraco-Phrygian cults when the
(Zeus Ombrios, Huetios, Ikmaios, “rainy,” “damp”), the
Greeks later expanded throughout the Mediterranean. Nev-
winds (Zeus Ourios, Euanemos, “windy,” “of a good wind”),
ertheless, between the fourteenth and the twelfth centuries,
and the lightning (Zeus Astrapaios, Bronton, Keraunios,
most of the gods revered by the Achaeans—and whose names
“wielder of thunderbolts,” “thunderer”). He ensures com-
figure on the Linear B tablets from Knossos and Pylos—are
munication between high and low through signs and oracles,
the same ones encountered in the classical Greek pantheon:
which transmit messages from the gods of heaven to mortals
Zeus, Poseidon, Enualios (Ares), Paean (Apollo), Dionysos,
on the earth. According to the Greeks, their most ancient or-
Hera, Athena, Artemis, and the Two Queens, that is, Deme-
acle was an oracle of Zeus at Dodona. There he established
ter and Kore.
his sanctuary at the site of a great oak, which belonged to him
and which rose straight as the tallest column toward heaven.
The religious world of the Indo-European invaders of
The rustling of the leaves of the sacred oak above their heads
Greece could well have been modified and opened to foreign
provided the consultants with the answer to their questions
influences, but while it assimilated some concepts, it kept its
to the sovereign of heaven. Moreover, when Apollo pro-
specificity and the distinctive features of its own gods. From
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GREEK RELIGION [FIRST EDITION]
3665
the religion of the Mycenaeans to that of the age of Homer,
vate sanctuaries, this house of the god was the common prop-
during those obscure centuries that followed the fall or the
erty of all citizens.
decline of the Achaean kingdoms after the twelfth century,
To mark and confirm its legitimate authority over a ter-
continuity was not only marked by the persistence of the
ritory, each city built a temple in a precise place: in the center
names of the gods and cult places. The continuity of certain
of the city, the acropolis or agora, the gates of the walls sur-
festivals celebrated by the Ionians on both shores of the Med-
rounding the urban area, or in the zone of the agros and the
iterranean proves that these festivals must already have been
eschatiai—the wilderness that separated each Greek city from
customary in the eleventh century at the outset of the first
its neighbors. The construction of a network of sanctuaries
wave of colonization, whose point of departure may have
within, around, and outside the city not only punctuated the
been Athens, the only Mycenaean site to remain intact, and
space with holy places but also marked the course of ritual
which established groups of emigrants on the coast of Asia
processions, from the center to the periphery and back.
Minor to found Greek cities.
These processions, which mobilized all or a part of the popu-
This permanence of Greek religion must not be mis-
lation on fixed dates, aimed at shaping the surface of the land
leading, however. The religious world evoked by Homer is
according to a religious order.
no more representative of the religion of an earlier period
Through the mediation of its civic gods (installed in
than the world of the Homeric poems is representative of the
their temples), the community established a kind of symbio-
world of the Mycenaean kings, whose exploits the bard, after
sis between the people and their land, as if the citizens were
an interval of four centuries, undertook to evoke. During this
the children of an earth from which they had sprung forth
time a whole series of changes and innovations were intro-
in the beginning and which, by virtue of this relationship
duced: behind apparent continuities was a veritable rupture
with those who inhabited it, was itself promoted to the rank
(that the epic text effaces but whose extent can be measured
of “earth of the city.” This explains the bitterness of the con-
through archaeological research and a reading of the tablets).
flicts, between the eighth and the sixth centuries, that pitted
THE CIVIC RELIGION. Between the eleventh and eighth cen-
neighboring cities against each other in the appropriation of
turies, technical, economic, and demographic changes led to
cult places on those borders that were held in common by
what the English archaeologist Anthony Snodgrass called the
more than one polis. The occupation of the sanctuary and
“structural revolution,” which gave rise to the city-state
its religious annexation to the urban center were equivalent
(polis). The Greek religious system was profoundly reorga-
to legitimate possession. When it founded its temples, the
nized during this time in response to the new forms of social
polis rooted them firmly in the world of the gods so that its
life introduced by the polis. Within the context of a religion
territorial base would have an unshakable foundation.
that from then on was essentially civic, remodeled beliefs and
Another innovation with partly comparable significance
rites satisfied a dual and complementary obligation. First of
left its mark on the religious system. During the eighth cen-
all, they fulfilled the specific needs of each group of people,
tury, it became customary to put into service Mycenaean
who constituted a city bound to a specific territory. The city
buildings, usually funerary, that had been abandoned for
was placed under the patronage of its own special gods, who
centuries. Once they were fitted out, they served as cult
endowed it with a unique religious physiognomy. Every city
places where funeral honors were rendered to legendary fig-
had its own divinity or divinities, whose functions were to
ures who, although they usually had no relationship to these
cement the body of citizens into a true community; to unite
edifices, were claimed as ancestors by their “progeny,” noble
into one whole all the civic space, including the urban center
families or groups of phratries. Like the epic heroes whose
and the chora, or rural area; and to look after the integrity
names they carried, these mythical ancestors belonged to a
of the state—the people and the land—in the presence of
distant past, to a time different from the present, and consti-
other cities. Second, the development of an epic literature cut
tuted a category of supernatural powers distinct from both
off from any local roots, the construction of great common
the theoi, or gods proper, and the ordinary dead. Even more
sanctuaries, and the institution of pan-Hellenic games and
than the cult of the gods (even the civic gods), the cult of
panegyrics established and reinforced, on a religious level,
heroes had both civic and territorial value. It was associated
legendary traditions, cycles of festivals, and a pantheon that
with a specific place, a tomb with the subterranean presence
would be recognized equally throughout all of Hellas.
of the dead person, whose remains were often brought home
from a distant land.
Without assessing all the religious innovations brought
about during the Archaic period, the most important should
The tombs and cults of the hero, through the prestige
be mentioned. The first was the emergence of the temple as
of the figure honored, served as glorious symbols and talis-
a construction independent of the human habitat, whether
mans for the community. The location of the tombs was
houses or royal palaces. With its walls delimiting a sacred en-
sometimes kept secret because the welfare of the state de-
closure (temenos) and its exterior altar, the temple became an
pended on their safety. Installed in the heart of the city in
edifice separated from profane ground. The god came to re-
the middle of the agora, they gave substance to the memory
side there permanently through the intermediacy of his great
of the legendary founder of the city (the tutelary hero or, in
anthropomorphic cult statue. Unlike domestic altars and pri-
the case of a colony, the colonizing hero), or they patronized
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3666
GREEK RELIGION [FIRST EDITION]
the various components of the civic body (tribes, phratries,
the roots of the families, groups, and communities of the
and demes). Disseminated to various points of the territory,
Hellenes.
the cults consecrated the affinities that united the members
of the rural areas and villages (the ko¯mai). In all cases their
Although they were mortals, these ancestors seemed in
function was to assemble a group around an exclusive cult
many ways nearer to the gods, less cut off from the divine,
that appears to have been strictly implanted in precise points
than the rest of humanity. In their day, the gods still mingled
of the land.
readily with mortals, inviting themselves to their homes, eat-
ing at their tables, and even slipping into their beds to unite
The spread of the cult of the hero did not just comply
with them and—by mixing the two races, the mortal and the
with the new social needs that arose with the city; the adora-
immortal—to beget beautiful children. The heroic figures
tion of the heroes had a properly religious significance. Dif-
whose names survived and whose cults were celebrated at
ferent from the divine cult, which was obligatory for every-
their tombs were very often presented as the fruit of these
one and permanent in character, and also from the funerary
amorous encounters between the divinities and human be-
rites, which were limited in time as well as to a narrow circle
ings of both sexes. They were, as Hesiod said, “the divine race
of relatives, the heroic institution affected the general stabili-
of heroes called demigods.” If their birth sometimes en-
ty of the cult system.
dowed them with a semidivine origin, their death also placed
them above the human condition. Instead of descending into
For the Greeks, there was a radical opposition between
the darkness of Hades, they were “abducted” or transported
the gods, who were the beneficiaries of the cult, and mortals,
by means of divine favor—some during their lifetime but
who were its servants. Strangers to the transience that defines
most of them after death—to a special, separate place on the
the existence of mortals, the gods were the athanatoi (“the
Isles of the Blessed, where they continued to enjoy in perma-
immortals”). Humans, on the other hand, were the brotoi
nent felicity a life comparable to that of the gods.
(“the mortals”), doomed to sickness, old age, and death.
Consequently, the funeral honors paid to the dead were
Although it did not bridge the immeasurable gulf that
placed on a different level from the sacrifices and devotions
separates mortals from the gods, heroic status seemed to
demanded by the gods as their share of honor, their special
open the prospect of the promotion of a mortal to a rank
privilege. The narrow strips of material decorating the
that, if not divine, was at least close to divinity. However,
tombs, the offerings of cakes for the dead person, the liba-
during the entire Classical period, this possibility remained
tions of water, milk, honey, or wine that had to be renewed
strictly confined to a narrow sector. It was thwarted, not to
on the third, ninth, and thirtieth day after the funeral and
say repressed, by the religious system itself. Indeed, piety, like
again each year on the festival of the Genesia appear to have
wisdom, enjoined mortals not to pretend to be the equal of
been the temporary continuation of the funeral ceremony
a god; the precepts of Delphi—“know who you are, know
and mourning practices rather than acts of veneration toward
thyself”—have no other meaning than that. Humanity must
the higher powers. The intent of opening the doors of Hades
accept its limits. Therefore, apart from the great legendary
to the dead person was to make him disappear forever from
figures, such as Achilles, Theseus, Orestes, and Herakles, the
this world, where he no longer had a place. At the same time,
status of the hero was restricted to the first founders of the
through the various procedures of commemoration, the fu-
colonies or to persons, such as Lysander of Samos and Ti-
neral transformed his absence into a presence in the memory
moleon of Syracuse, who had acquired exemplary symbolic
of the survivors—an ambiguous, paradoxical presence, as of
worth in the eyes of a city.
one who is absent, relegated to the realm of shadows, reduced
henceforth to the social status of a dead man by the funeral
We know of few cases of men who were heroized during
rites. Even this status, however, is destined to sink into obliv-
the Classical period. They never concerned a living person
ion as the cycle of generations is renewed.
but always one who after his death appeared to bear a numen
(or formidable sacral power) because of his extraordinary
The heroes were quite another matter. To be sure, they
physical characteristics (size, strength, and beauty), the cir-
belonged to the humankind and thus knew suffering and
cumstances of his death (if he had been struck by lightning
death. But a whole series of traits distinguished them, even
or had disappeared leaving no trace), or the misdeeds attri-
in death, from the throng of ordinary dead. The heroes had
buted to his ghost, which it seemed necessary to appease. For
lived during the period that constituted the “old days” for
example, in the middle of the fifth century, the boxer Cle-
the Greeks, a bygone era when men were taller, stronger,
omedes of Astypalaia, who was exceptionally strong, killed
more beautiful. Thus the bones of a hero could be recognized
his adversary in combat. Denied a prize by the decision of
by their gigantic size. It was this race of men, later extinct,
the jury, he returned home mad with rage. He vented his
whose exploits were sung in epic poetry. Celebrated by the
fury on a pillar that held up the ceiling of a school, and the
bards, the names of the heroes—unlike the names of ordi-
roof caved in on the children. Pursued by a crowd that want-
nary people, which faded into the indistinct and forgotten
ed to stone him, Cleomedes hid in a chest in the sanctuary
mass of the nameless—remained alive forever, in radiant
of Athena, locking the lid on himself. His pursuers succeeded
glory, in the memory of all the Greeks. The race of heroes
in forcing it open, but the chest was empty: no Cleomedes,
formed the legendary past of the Greece of the city-states and
living or dead, was to be found. The Pythia, when consulted,
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GREEK RELIGION [FIRST EDITION]
3667
advised the establishment of a hero cult in honor of the
THE SACRIFICIAL PRACTICES. To find his bearings in the
boxer, whose strength, fury, misdeeds, and death set him
practice of the cult, the believer, therefore, had to take into
above ordinary mortals. Sacrifices were to be made to him
account the hierarchical order that presided in the society of
as “no longer a mortal.” But the oracle manifested her reser-
the beyond. At the top of the hierarchy were the theoi, both
vations by also proclaiming that Cleomedes was the last of
great and small, who made up the race of the blessed immor-
the heroes.
tals. These were the Olympians, grouped under the authority
of Zeus. As a rule they were celestial divinities, although
However much the heroes constituted, through the
some of them, such as Poseidon and Demeter, bore chthonic
honors paid to them, a category of superior beings, their role,
aspects. There was indeed a god of the underworld (Hades),
their power, and the domains in which they intervened did
not interfere with those of the gods. They never played the
but he was in fact the only one who had neither temple nor
role of intermediary between earth and heaven; they were not
cult. The gods were made present in this world in the spaces
intercessors but indigenous powers, bound to the spot of
that belonged to them: first of all, in the temples where they
ground where they had their subterranean homes. Their effi-
resided but also in the places and the objects that were conse-
cacity adhered to their tombs and to their bones; there were
crated to them and that, specified as hiera (“sacred”), could
anonymous heroes designated only by the names of the
be subject to interdiction. These include the sacred groves,
places where their tombs were established, such as the hero
springs, and mountain peaks; an area surrounded by walls
of Marathon. This local quality was accompanied by a strict
or boundary markers (temenos); crossroads, trees, stones, and
specialization. Many heroes had no other realities than the
obelisks. The temple, the building reserved as the dwelling
narrow function to which they were dedicated and which de-
of the god, did not serve as a place of worship. The faithful
fined them entirely. For example, at Olympia, at the bend
assembled to celebrate the rites at the exterior alter (bo¯mos),
of the track, competitors offered sacrifices at the tomb of the
a square block of masonry. Around it and upon it was per-
hero Taraxippos, the Frightener of Horses. Similarly, there
formed the central rite of the Greek religion, the burnt offer-
were doctor heroes, doormen, cook, fly-catcher heroes, a
ing (thusia), the analysis of which is essential.
hero of meals, of the broad bean, of saffron, a hero to mix
This was normally a blood sacrifice implying the eating
water and wine or to grind the grain.
of the victim: a domestic animal, crowned and decked with
If the city could group into the same category of cults
ribbons, was led in procession to the altar to the sound of
the highly individualized figures of heroes of long ago, whose
flutes. It was showered with water and fistfuls of barley seeds,
legendary biographies were fixed in their epics, of exceptional
which were scattered on the ground and on the altar as well
contemporaries, of anonymous dead of whom all that re-
as on the participants, who also wore crowns. The head of
mained were funerary monuments, and of all sorts of func-
the victim was then lifted up and its throat cut with a
tional daemons, it was because inside their tombs they mani-
machaira, a large knife concealed under the seeds in the
fested the same contacts with the subterranean powers,
kanoun, or ritual basket. The blood that gushed onto the
shared the same characteristic of territorial localization, and
altar was caught in a receptacle. The animal was cut open and
could be used as political symbols. Instituted by the emerg-
its entrails, especially the liver, were drawn out and examined
ing city, bound to the land that it protected and to the
to see if the gods accepted the sacrifice. If accepted, the vic-
groups of citizens that it patronized, the cult of the hero did
tim was immediately carved. The long bones, entirely
not, in the Hellenistic period, lead to the divinization of
stripped of flesh, were laid on the altar. Covered with fat,
human figures, nor did it lead to the establishment of a cult
they were consumed with herbs and spices by the flames and,
of sovereigns: these phenomena were the product of a differ-
in the form of sweet-smelling smoke, rose toward heaven and
ent religious mentality. Inseparable from the polis, the hero
the gods. Certain internal morsels (splagchna) were put on
cult declined with it.
spits and roasted over the same fire that had sent to the divin-
ity his share, thus establishing a link between the sacred pow-
The appearance of the hero cult, however, was not with-
ers for whom the sacrifice was intended and the performers
out consequences. By its newness it led to an effort to define
of the rite for whom the roasted meat was reserved. The rest
and categorize more strictly the various supernatural powers.
of the meat was boiled in caldrons, divided into equal parts,
Plutarch noted that Hesiod was the first, in the seventh cen-
and eaten by the participants on the spot, taken home, or
tury, to make a clear distinction between the different classes
distributed outside to the community at large. The parts that
of divine beings, which he divided into four groups: gods,
were thought to confer honor, such as the tongue or the hide,
daemons, heroes, and the dead. Taken up again by the Py-
went to the priest who presided at the ceremony, though his
thagoreans and by Plato, this nomenclature of the divinities
presence was not always indispensable.
to whom men owed veneration was common enough in the
fourth century to appear in the requests that the consultants
As a rule, any citizen, if he was not impure, had full au-
addressed to the oracle of Dodona. On one of the inscrip-
thority to perform sacrifices. The religious significance of
tions that have been found, a certain Euandros and his wife
this must be defined by bringing out its theological implica-
question the oracle about which “of the gods, or heroes, or
tions. From the start, however, several points are essential.
daemons” they must sacrifice to and address their prayers to.
Certain divinities and certain rituals, such as that of Apollo
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3668
GREEK RELIGION [FIRST EDITION]
Genetor in Delphi and Zeus Hupatos in Attica, required, in-
to the concealment of the knife in the basket to the shudder
stead of a blood sacrifice, food oblations: fruit, palms, grain,
by which the sprayed animal, sprinkled with an ablution, was
porridge (pelanos), and cakes sprinkled with water, milk,
supposed to give its assent to the immolation—was designed
honey, or oil; no blood or even wine was offered. There were
to efface any traces of violence and murder and to bring to
cases in which this type of offering, usually consumed by fire
the fore aspects of peaceful solemnity and happy festivity.
but sometimes simply deposited on the altar without being
Furthermore, in the economy of the thusia, the procedures
burned (apura), was characterized by marked opposition to
for cutting up the victim, for roasting or boiling the pieces,
customary practice. Considered pure sacrifices, unlike those
for their orderly distribution in equal parts, and for their con-
involving the killing of living creatures, they served as models
sumption, either on the spot or elsewhere, were no less im-
for sectarian movements. Orphics and Pythagoreans referred
portant than the ritual killing. The alimentary function of
to them in advocating a ritual behavior and an attitude to-
the rite is expressed in a vocabulary that makes no distinction
ward the divine that, in rejecting the blood sacrifice as impi-
between sacrificer and butcher. The word hiereion, which
ous, diverged from the official cult and appeared foreign to
designates an animal as sacrificial victim, at the same time
the civic religion.
qualifies it as an animal to be butchered, as one suitable for
In addition, blood sacrifice itself took two different
eating. Since the Greeks ate meat only on the occasion of sac-
forms according to whether it addressed the heavenly and
rifices and in conformity with sacrificial rules, the thusia was
Olympian gods or the chthonic and infernal ones. The lan-
simultaneously a religious ceremony in which a pious offer-
guage already made a distinction between them: for the first,
ing, often accompanied by prayer, was addressed to the gods;
the Greeks employed the term thuein; for the second, ena-
a ritualized cooking of food according to the norms that the
gizein or sphattein.
gods required of humans; and an act of social communion
that reinforced, through the consumption of the parts of one
The thusia, as we have seen, was centered on an elevated
victim, the bonds that were to unite all citizens and make
altar, the bo¯mos. The chthonic sacrifice had only a low altar
them equal.
(the eschara) with a hole in it to let the blood pour out into
the earth. Normally the celebration took place at night over
As the central moment of the cult, the sacrifice was an
a ritual pit (bothros) that opened the way to the underworld.
indispensable part of communal life (whether family or state)
The animal was immolated with its head lowered toward the
and illustrated the tight interdependence of the religious and
earth, which would be inundated with its blood. Once its
the social orders in the Greece of the city-states. The func-
throat was cut, the victim was no longer the object of ritual
tion of the sacrifice was not to wrest the sacrificer or the par-
handling; because it was offered in holocaust, it was burned
ticipants away from their families and civic groups or from
entirely without the celebrants having the right to touch it
their ordinary activities in the human world but, on the con-
or to eat it. In this kind of rite, in which the offering is de-
trary, to install them in the requisite positions and patterns,
stroyed in order to be delivered in its entirety to the beyond,
to integrate them into the city and mundane existence in
it was less a matter of establishing with the divinity a regular
conformity with an order of the world presided over by the
commerce of exchange in mutual confidence than of warding
gods (i.e., “intraworld” religion, in the sense given by Max
off the sinister forces, of placating a formidable power who
Weber, or “political” religion, in the Greek understanding
would approach without harm only if defenses and precau-
of the term). The sacred and the profane did not constitute
tions were taken. One might say that it was a ritual of aver-
two radically opposite, mutually exclusive categories. Be-
sion rather than one of reconciliation or contact. Under-
tween the “sacred” in its entirely forbidden aspect and its
standably, its use was reserved for the cult of the chthonic
fully accessible one a multiplicity of configurations and gra-
and infernal deities, for expiatory rites, or for sacrifices of-
dations existed. In addition to those realities dedicated to a
fered to heroes and to the dead in their tombs.
god and reserved for his use, the sacred was also to be experi-
enced by way of objects, living creatures, natural phenome-
In the Olympian sacrifice, the orientation toward the
na, and both the everyday events of private life—eating a
heavenly divinities was marked not only by the light of
meal, departing on a journey, welcoming a guest—and the
day, the presence of an altar, and the blood gushing upward
more solemn occasions of public life. Without any special
when the throat of the victim was cut. A fundamental feature
preparation, every head of a family was qualified to assume
of the ritual was that it was inseparably an offering to the
religious functions in his home. Each head of a household
gods and a festive meal for the human participants. Although
was pure as long as he had not committed any misdeed that
the climax of the event was undoubtedly the moment that,
defiled him. In this sense, purity did not have to be acquired
punctuated by the ritual cry (ololugmos), life abandoned the
or obtained; it constituted the normal state of the citizen.
animal and passed into the world of the gods, all the parts
of the animal, carefully gathered and treated, were meant for
As far as the city was concerned, there was no division
the people, who ate them together. The immolation itself
between the priesthood and the magistracy. There were
took place in an atmosphere of sumptuous and joyful cere-
priesthoods that were devolved and practiced as magistracies,
mony. The entire staging of the ritual—from the procession
and every magistrate was endowed by virtue of his duties
in which the untied animal was led freely and in great pomp
with a character of holiness. For any political power to 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
GREEK RELIGION [FIRST EDITION]
3669
exercised, for any common decision to be valid, a sacrifice
and stomach and disgusting in appearance, constituted all
was required. In war as in peace, before giving battle as well
that was edible in the animal.
as when convening an assembly or inaugurating a magistrate,
Honor to whom honor is due: it was for Zeus, in the
the performance of a sacrifice was just as necessary as it was
name of the gods, to be the first to choose a portion of
during the great religious festivals of the sacred calendar. As
the sacrifice. He saw the trap but pretended to be tricked,
Marcel Detienne so accurately observes in La cuisine du sacri-
the better to take his revenge. He chose, therefore, the out-
fice en pays grec: “Until a late period, a city such as Athens
wardly enticing portion, the one that concealed the inedible
maintained the office of archon-king—one of whose major
bones under a thin covering of fat. For this reason, men
functions was to administer all of the sacrifices instituted by
burned the white bones of the victim for the gods, then di-
the ancestors, that is, all the ritual gestures that guaranteed
vided the meat, the portion that Zeus did not choose, among
the harmonious operation of society” (Detienne, 1980,
themselves. Prometheus had imagined that in allotting the
p. 10).
flesh to humans he was reserving the best part for them. But
If the thusia was indispensable for ensuring the validity
shrewd as he was, he failed to suspect that he was giving them
of social undertakings, it was because the sacrificial fire, by
a poisoned gift. By eating the meat, men sentenced them-
causing the fragrant smoke of the burning fat and bones to
selves to death. Driven by their hunger, they behaved from
rise toward heaven while at the same time cooking food for
then on like all the animals that inhabit the earth, the water,
people, opened the lines of communication between the gods
or the air. If they take pleasure in devouring the flesh of an
and the participants in the rites. By immolating a victim,
animal that has lost its life, if they have an imperious need
burning the bones, and eating the flesh according to ritual
for food, it is because their hunger, never appeased but con-
rules, the Greeks instituted and maintained with the divine
stantly renewed, is the mark of a creature whose strength fails
a contact without which their entire existence, left to itself
gradually, who is doomed to weariness, old age, and death.
and emptied of meaning, would have collapsed. This contact
By contenting themselves with the smoke from the bones
was not a communion; even in a symbolic form, the Greeks
and living off smells and fragrances, the gods bore witness
did not eat the god in order to identify with him and to par-
that they belonged to a race whose nature was entirely differ-
ticipate in his strength. They consumed a victim, a domestic
ent from that of men. They, the immortals, were everlasting
animal, and ate a part different from that offered to the gods.
and eternally young; their being contained nothing perish-
The link established by the sacrifice emphasized and con-
able and had no contact with the realm of the corruptible.
firmed the extreme distance that separated mortals and im-
But the vengeance of the angry Zeus did not stop here.
mortals, even when they communicated.
Even before he created out of the earth and water the first
Myths about the origin of the sacrifice are most precise
woman, Pandora, who introduced among men all the woes
in this respect. They bring to light the theological meanings
hitherto unknown to them—birth from procreation, fatigue,
of the ritual. It was the Titan Prometheus, son of Iapetus,
toil, sickness, age, and death—he decided, as retribution for
who was said to have instituted the first sacrifice, thus estab-
the Titan’s partiality toward mankind, to never again allow
lishing forever the model to which humans were to conform
men access to the celestial fire. Deprived of fire, were men
in honoring the gods. This took place during the time when
thus obliged to eat raw meat like beasts? Prometheus then
gods and men were not yet separate but lived together, feast-
stole a spark, a seed of fire, in the hollow of a stick, and
ed at the same tables, and shared the same felicity far from
brought it down to earth. Although they would no longer
all evils and afflictions. Men were still unacquainted with the
have the flash of the thunderbolt at their disposal, men were
necessity of work, sickness, old age, fatigue, death, and
given a technical fire, more fragile and mortal, one that
women. Zeus had been promoted king of heaven and had
would have to be preserved by constant feeding. By cooking
carried out an equitable distribution of honors and privi-
their food, this second fire—contingent and artificial, in
leges. The time had come to define in precise terms the forms
comparison with the heavenly fire—differentiates humans
of life appropriate for men and for gods.
from animals and establishes them in a civilized life. Of all
the animals, only men share the possession of fire with the
Prometheus was assigned the task. He brought before
gods. Thus it is fire that unites man to the divine by rising
the assembled gods and men a great steer, killed it, and cut
toward heaven from the lighted altars. But this fire, celestial
it up. The boundary that exists between gods and mortals
in origin and destination, is also, in its all-consuming ardor,
follows, therefore, the line of division between the parts of
as perishable as the living creatures subjected to the necessity
the immolated beast that went to the gods and those that
of eating. The frontier between gods and men is both
went to men. The sacrifice thus appears as the act that, as
bridged by the sacrificial fire, which unites them, and accen-
its first accomplishment, consecrated the distinction of di-
tuated by the contrast between the heavenly fire in the hands
vine and human status. But Prometheus, in rebellion against
of Zeus and the fire that Prometheus’s theft made available
the king of the gods, tried to deceive him for the benefit of
to mankind. Furthermore, the function of the sacrificial fire
men. Each of the two parts prepared by the Titan was a ruse,
is to mark the portion of the victim belonging to the gods
a lure. The first, camouflaged in appetizing fat, contained
(totally consumed in the flames) and that of men (cooked
only the the bare bones; the second, concealed in the skin
just enough not to be eaten raw).
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3670
GREEK RELIGION [FIRST EDITION]
The ambiguous relationship between men and gods in
with a woman, whom marriage has drawn out of savagery
the sacrifice was coupled with an equally equivocal relation-
and domesticated by setting her in the conjugal home. By
ship between men and animals. In order to live, both must
reason of this same exigency of equilibrium in the Greek sac-
eat, whether their food be animal or vegetable, and so they
rifice, the sacrificer, the victim, and the god—although asso-
are equally perishable. But it is only man who eats his food
ciated in the rite—were never confused.
cooked according to rules and after having offered in honor
The fact that this powerful theology should have its base
to the gods the animal’s life, dedicated to them with the
on the level of alimentary procedures indicates that the di-
bones. If the barley seeds showered on the head of the victim
etary vagaries of the Orphics and Pythagoreans, as well as cer-
and on the altar were associated with the blood sacrifice, the
tain Dionysian practices, had a specifically theological signif-
reason was that cereals, as a specifically human food involv-
icance and constituted profound divergences in religious
ing agricultural labor, represented in the Greek view the par-
orientation. Vegetarianism was a rejection of blood sacrifice,
adigm of cultivated plants symbolizing, in contrast to a sav-
which was believed to be like the murder of a close relation;
age existence, civilized life. Cooked three times (by an
omophagia and diasparagmos of the Bacchantes—that is, the
internal process that assists the cultivation, by the action of
devouring of the raw flesh of a hunted animal that had been
the sun, and by the human hand that turns it into bread),
torn to pieces while still alive—inverted the normal values
cereal was an analogue to the sacrificial victim, the domestic
of sacrifice. But whether sacrifice was circumvented, on the
animal whose flesh had to be ritually roasted or boiled before
one hand, by feeding like the gods on entirely pure dishes
it was eaten.
and even on smells or, on the other, by destroying the barri-
In the Promethean myth, sacrifice comes into being as
ers between men and animals maintained by sacrificial prac-
the result of the Titan’s rebellion against Zeus at a time when
tice, so that a state of complete communion was realized—
men and gods needed to separate and establish their respec-
one that could be called either a return to the sweet familiari-
tive destinies. The moral of the story states that one could
ty of all creatures during the Golden Age or a fall into the
not hope to dupe the sovereign god. Prometheus tried to de-
chaotic confusion of savagery—in either case, it was a ques-
ceive Zeus; man must pay the price of his failure. To perform
tion of instituting, whether by individual asceticism or by
a sacrifice was both to commemorate the adventure of the
collective frenzy, a type of relationship with the divine that
Titan, the founder of the rite, and to accept its lesson. It was
the official religion excluded and forbade. Furthermore, al-
to recognize that through the accomplishment of the sacrifice
though employing opposing means with opposite implica-
and all that it entailed—the Promethean fire, the necessity
tions, the normal distinctions between sacrificer, victim, and
of work and of women and marriage in order to have chil-
divinity became blurred and disappeared. The analysis of sac-
dren, the condition of suffering, old age, and death—Zeus
rificial cuisine thus leads to an understanding of the more or
situated man between animals and gods for all time. In the
less eccentric—sometimes integrated and sometimes margin-
sacrifice, man submitted to the will of Zeus, who made of
al—positions occupied by various sects, religious move-
mortals and immortals two separate and distinct races. Com-
ments, or philosophical attitudes, all of which were at odds
munication with the divine was instituted in the course of
both with the regular forms of the traditional cult and with
a festive ceremonial, a meal recalling the fact that the com-
the institutional framework of the city-state and all that it
mensality of former times was no more: gods and men no
implied concerning the religious and social status of man.
longer lived together, no longer ate at the same tables. Man
GREEK MYSTICISM. Blood sacrifice and public cult were not
could not sacrifice according to the model established by
the only expressions of Greek piety. Various movements and
Prometheus and at the same time pretend in any way to
groups, more or less deviant and marginal, more or less
equal the gods. The rite itself, the object of which was to join
closed and secret, expressed different religious aspirations.
gods and men together, sanctioned the insurmountable bar-
Some were entirely or partly integrated into the civic cult;
rier that separated them.
others remained foreign to it. All of them contributed in vari-
ous ways to paving the way toward a Greek “mysticism”
By means of its alimentary rules, sacrifice established
marked by the search for a more direct, more intimate, and
man in his proper state, midway between the savagery of ani-
more personal contact with the gods. This mysticism was
mals that devour one another’s raw flesh and the perpetual
sometimes associated with the quest for immortality, which
bliss of the gods, who never know hunger, weariness, or
was either granted after death through the special favor of
death because they find nourishment in sweet smells and am-
a divinity or obtained by the observance of the discipline of
brosia. This concern for precise delimitations, for exact ap-
a pure life reserved for the initiated and giving them the priv-
portionment, closely unites the sacrifice, both in ritual and
ilege of liberating, even during their earthly existence, the
in myth, to cereal agriculture and to marriage, both of which
particle of the divine present in each.
likewise define the particular position of civilized man. Just
as, to survive, he must eat the cooked meat of a domestic ani-
In this context, a clear distinction must be made be-
mal sacrificed according to the rules, so man must feed on
tween three kinds of religious phenomena during the Classi-
sitos, the cooked flour of regularly cultivated domestic plants.
cal period. Certain terms, such as telet¯e, orgia, mustai, and
In order to survive as a race, man must father a son by union
bakchoi, are used in reference to all three, yet the phenomena
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GREEK RELIGION [FIRST EDITION]
3671
they designate cannot in any way be considered identical.
lowing year to acquire the rank of epopt¯es. The entire ceremo-
Despite some points of contact, they were not religious reali-
ny (at Athens itself, at Phaleron for the ritual bath in the sea,
ties of the same order; nor did they have the same status or
and on the road from Athens to Eleusis in a procession that
the same goals.
followed the sacred objects and included the Eleusinian cler-
First, there were the mysteries. Those of Eleusis, exem-
gy, the magistrates of Athens, the mustai, foreign delegations,
plary in their prestige and their widespread influence, consti-
and throngs of spectators) took place in full daylight before
tuted in Attica a well-defined group of cults. Officially recog-
the eyes of everyone. The archon-king, in the name of the
nized by the city, they were organized under its control and
state, was in charge of the public celebration of the Greater
supervision. They remained, however, on the fringe of the
Mysteries, and even the traditional families of the Eumol-
state because of their initiatory and secret nature and their
pides and the Kerukes, who had a special relationship with
mode of recruiting (they were open to all Greeks and based
the two goddesses, were responsible to the city, which
not on social status but on the personal choice of the indi-
had the authority to regulate by decree the details of the fes-
vidual).
tivities.
Next there was the Dionysian religion. The cults associ-
Only when the mustai had entered the sanctuary was se-
ated with Dionysos were an integral part of the civic religion,
crecy imposed and nothing allowed to escape to the outside
and the festivals in honor of the god had their place like any
world. The interdiction was sufficiently powerful to be re-
other in the sacred calendar. But as god of mania, or divine
spected for centuries. But although the mysteries have kept
madness—because of his way of taking possession of his fol-
some of their secrets till this day, some points about them
lowers through the collective trance ritually practiced in the
can be considered certain. There was no teaching, nothing
thiasoi and because of his sudden intrusion here below in epi-
resembling an esoteric doctrine, at Eleusis. Aristotle’s testi-
phanic revelation—Dionysos introduced into the very heart
mony on this subject is decisive: “Those who are initiated
of the religion of which he was a part an experience of the
have not to learn something but to feel emotions and to be
supernatural that was foreign and, in many ways, contrary
in a certain frame of mind.” Plutarch describes the mood of
to the spirit of the official cult.
the initiates, which ranged from anxiety to rapture. Such
Finally, there was what is called Orphism. Orphism in-
inner emotional upheaval was brought about by the
volved neither a specific cult, nor devotion to an individual
dro¯mena, things played and mimed; by the legomena, ritual
deity, nor a community of believers organized into a sect as
formulas that were pronounced; and by the deiknumena,
in Pythagoreanism, whatever links might have existed be-
things shown and exhibited. It is probable that they were re-
tween the two movements. Orphism was a nebulous phe-
lated to the passion of Demeter, the descent of Kore into the
nomenon that included, on the one hand, a tradition of sa-
underworld, and the fate of the dead in Hades. It is certain
cred books attributed to Orpheus and Musaios (comprising
that after the final illumination at the end of initiation, the
theogonies, cosmogonies, and heterodox anthropogonies)
believer felt that he had been inwardly transformed. From
and, on the other, the appearance of itinerant priests who ad-
then on, he was bound to the goddesses in a close personal
vocated a style of existence that was contrary to the norm,
relationship of intimate connivance and familiarity. He had
a vegetarian diet, and who had at their disposal healing tech-
become one of the elect, certain to have a fate different from
niques and formulas for purification in this life and salvation
the ordinary in this life and in the next. Blessed, asserts the
in the next. In these circles, the central preoccupation and
Hymn to Demeter, is he who has had the full vision of these
discussion focused on the destiny of the soul after death, a
mysteries; the uninitiated, the profane, would not know such
subject to which the Greeks were not accustomed.
a destiny after they died and went to the realm of the shades.
Although they neither presented a new conception of the
What was the relationship of each of these three great
soul nor broke with the traditional image of Hades, the mys-
religious phenomena to a cult system based on the respect
teries opened the prospect of continuing a happier existence
of nomoi, the socially recognized rules of the city? Neither
in the underworld. This privilege was available to believers
in beliefs nor in practices did the mysteries contradict the
who freely decided to submit to initiation and to follow a
civic religion. Instead, they completed it by adding a new di-
ritual course, each stage of which marked a new progress to-
mension suited to satisfying needs that the civic religion
ward a state of religious purity.
could not fulfill. The goddesses Demeter and Kore (Perseph-
one), who together with several acolytes patronized the Eleu-
On returning home to his family and to his professional
sinian cycle, were great figures of the pantheon, and the nar-
and civic activities, nothing distinguished the initiate either
rative of the abduction of Kore by Hades, with all its
from what he had been before or from those who had not
consequences (including the founding of the orgia, the secret
undergone initiation—no external sign, no mark of recogni-
rites of Eleusis), is one of the basic legends of the Greeks. The
tion, not even a slight modification in his way of life. He re-
candidate had to take a series of steps to attain the ultimate
turned to the city and settled down again to do what he had
goal of initiation—from the preliminary stage of the Lesser
always done with no other change but his conviction that
Mysteries of Agrai to renewed participation in the Greater
through this religious experience he would be among the
Mysteries at Eleusis, the must¯es having to wait until the fol-
elect after his death: for him, there would be light, joy, danc-
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3672
GREEK RELIGION [FIRST EDITION]
ing, and song in the world of darkness. These hopes concern-
religion. Instead, it expressed the city’s official recognition
ing the hereafter would later be nourished and developed
of a religion that in many ways eluded the city, contradicting
among the sects, which would also borrow the symbolism of
it and going beyond its control. It established, in the midst
the mysteries, their secrecy, and their hierarchical system.
of public life, a religious behavior that displayed aspects of
But in the city that patronized them, the mysteries became
eccentricity in an allusive, symbolic form or in an open
part of the official religion.
manner.
At first glance, the status of Dionysism may seem com-
Even in the world of the Olympian gods, to which he
parable to that of the mysteries. This cult also consisted of
had been admitted, Dionysos personified, as expressed so
teletai and orgia, initiations and secret rites open only to
well by Louis Gernet, the presence of the Other. He did not
those who were invested as bakchoi. But the winter festivals
confirm and reinforce the human and social order by making
of Dionysos at Athens—Oschoporia, rural Dionysia, Lenaea,
it sacred. Dionysos called this order into question; indeed,
Anthesteria, urban Dionysia—did not form a coherent and
he shattered it. In so doing he revealed another side of the
self-contained whole or a closed cycle as they did at Eleusis;
sacred, one that was no longer regular, stable, and defined
they were instead a discontinuous series spread throughout
but strange, elusive, and disconcerting. As the only Greek
the calendar along with the festivals of the other gods and
god endowed with the power of ma¯ya¯ (“magic”), Dionysos
revealing the same norms of celebration. All of them were
transcends all forms and evades all definitions; he assumes
official ceremonies, fully civic in character. Some of them
all aspects without confining himself to any one. Like a con-
carried an element of secrecy and required specialized reli-
jurer, he playes with appearances and blurs the boundaries
gious personnel, for example, the annual marriage of the
between the fantastic and the real. Ubiquitous, he is never
queen, the wife of the archon-king, to Dionysos, which was
to be found where he is but always here, there, and nowhere
performed in the Boucoleion during the Anthesteria. The
at the same time. As soon as he appears, the distinct catego-
Gerarai, a group of fourteen women, who assisted the queen
ries and clear oppositions that give the world its coherence
in her role as wife of the god, performed secret rites in the
and rationality fade, merge, and pass from one to the other.
sanctuary of Dionysos in the marshes, but they did this “in
He is at once both male and female. By suddenly appearing
the name of the city” and “following its traditions.” The peo-
among mortals, he introduces the supernatural in the midst
ple themselves prescribed the procedures of the wedding and
of the natural and unites heaven and earth. Young and old,
ensured their safety by having them engraved on a stele. Thus
wild and civilized, near and far, beyond and here-below are
the queen’s secret marriage was equivalent to the official rec-
joined in him and by him. Even more, he abolishes the dis-
ognition by the city of the divinity of Dionysos. It consecrat-
tance that separates the gods from humans and humans from
ed the union of the civic community with the god and repre-
animals.
sented his integration into the religious order of the
community.
When the Maenads give themselves over to the frenzy
of the trance, the god takes possession of them, subjugating
The Thyiads, or Bacchantes, of Athens, women who
and directing them as he pleases. In frenzy and enthusiasm,
participated in the orgiastic rites of Dionysos, met their
the human creature plays the god, and the god, who is within
counterparts from Delphi at Mount Parnassus every three
the believer, plays the human. The frontiers between them
years. They performed their secret rites in the name of the
are suddenly blurred or obliterated in a proximity through
city. They were not a segregated group of initiates, a marginal
which humans are estranged from their daily existence or or-
sisterhood of the elect, or a sect of deviants: they formed an
dinary life, alienated from themselves, and transported to a
official female cult, entrusted by the city with the task of rep-
distant elsewhere. This contiguity with the divine, accom-
resenting it before the Delphians. They operated according
plished by the trance, is accompanied by a new familiarity
to the framework of the cult rendered to Dionysos in the
with animal savagery. On the mountains and in the woods,
sanctuary of Apollo. There is no evidence of private Diony-
far from their homes and from cities and cultivated lands,
sian associations that recruited adepts to celebrate secretly a
the Maenads play with serpents and suckle the young of ani-
specific cult under the protection of the god in Attica, or
mals as their own, but they also pursue, attack, and tear to
even in continental Greece, in the fifth century, as was the
pieces living animals (diasparagmos) and devour their raw
case several centuries later with the Iobakchoi. Toward the
flesh (omophagia). Through their eating behavior, they as-
fifth century, when the city of Magnesia, on the Meander
similate themselves to wild beasts that—unlike human be-
River, decided to organize a cult dedicated to Dionysos, it
ings, who eat bread and the cooked meat of ritually sacrificed
founded, after consulting Delphi, three thiasoi (three official
domestic animals—eat one another and lap up each other’s
female colleges placed under the direction of qualified priest-
blood, knowing no rule or law but only the hunger that
esses who had come from Thebes especially for that
drives them.
purpose).
Maenadism, which was limited to women, carried in its
What then constituted, in comparison with the other
sudden outburst two opposing aspects. For the faithful, in
gods, the originality of Dionysos and his cult? Dionysism,
happy communion with the god, it brought the supernatural
unlike the mysteries, did not exist as an extension of the civic
joy of momentary escape to a kind of Golden Age where all
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GREEK RELIGION [FIRST EDITION]
3673
living creatures meet again, mingled like brothers and sisters.
ple nor priest. He intervened as the figure of Iacchos, to
However, for those women (and cities) who rejected the god
whom he was assimilated and whose function was to preside
and who had to be constrained by punishment, mania led
over the procession from Athens to Eleusis during the Great-
to the horror and madness of the most atrocious of pollu-
er Mysteries. Iacchos was the personification of the joyful rit-
tions: a return to the chaos of a lawless world in which mad-
ual cry given by the cortege of mustai in an atmosphere of
dened women tear apart the bodies of their own children as
hope and festivity. In the representations of a hereafter to
if the children were animals and devour their flesh. A dual
which the faithful of the god of mania seemed quite indiffer-
god, combining in his person two facets, Dionysos, as he
ent (with the exception perhaps of those in southern Italy),
proclaims in The Bacchae of Euripides, is both “the most ter-
Iacchos was imagined as leading the blessed chorus of initi-
rible and the most gentle.”
ates in the underworld while Dionysos led his thiasoi of Bac-
In order that he may show himself beneficent in his gen-
chantes on earth.
tleness, Dionysos—whose strangeness, irrepressible exuber-
The problems of Orphism are of another order. This re-
ance, and intrusive dynamism seem to threaten the stability
ligious movement, in all of its diverse forms, belonged essen-
of the civic religion—must be welcomed into the city, ac-
tially to late Hellenism, in the course of which it took on in-
knowledged as belonging to it, and assured a place beside the
creasing importance. But several discoveries during the
other gods in the public cult. The entire community must
twentieth century have confirmed that Orphism had a role
solemnly celebrate the festivals of Dionysos: for its women,
in the religion of the Classical period. Let us begin with the
it must organize a form of controlled and ritualized trance
first aspect of Orphism: a tradition of written texts and sa-
within the framework of the official thiasoi, promoted public
cred books. The papyrus of Derveni, found in 1962 in a
institutions; for its men, an estrangement from the normal
tomb near Salonika, proves that theogonies from the sixth
course of things in the joyfulness of a revelry consisting of
century may have been known to pre-Socratic philosophers
wine and drunkenness, games and festivities, masquerades
and to have partly inspired Empedocles. Thus Orphism’s
and disguises; and, finally, it must found the theater on
principal feature appears from its beginning: a doctrinal form
whose stage illusion acquires substance and comes to life and
that opposed it to the mysteries and to Dionysian religion,
the imaginary is displayed as if it were reality. In each case,
as well as to the official cult, while relating it to philosophy.
the integration of Dionysos into the city and its religion
These theogonies are known to us in many versions, but the
meant installing the Other, with all honors, in the heart of
basic orientation is the same: they take an opposite view from
the social establishment.
that of the Hesiodic tradition. For Hesiod, the divine world
Ecstasy, enthusiasm, and possession; the joy of wine and
is organized in a linear progression leading from disorder to
festival; the pleasures of love; the exaltation of life in its out-
order, from an original state of indistinct confusion to a dif-
pouring and unexpectedness; the gaiety of masks and dis-
ferentiated world organized into a hierarchy under the im-
guises; the happiness of everyday life—Dionysos can bring
mutable authority of Zeus. For the followers of Orphism, the
all of these if men and cities are willing to recognize him. But
reverse was true: in the beginning the first principle, primor-
never does he come to announce a better fate in the hereafter.
dial Egg or Night, expresses perfect unity, the plenitude of
He does not advocate flight from the world, nor does he
a self-contained totality. But the nature of “being” deterio-
teach renunciation or offer the soul access to immortality
rates as its unity is divided and dislocated, producing distinct
through an ascetic way of life. He conjures up the many faces
forms and separate individuals. To this cycle of dispersion
of the Other in this life and world, around us and within us.
there must succeed a cycle during which the parts are reinte-
He opens before us, on this earth and even in the framework
grated into the unity of the whole. This is to take place dur-
of the city, the way of escape toward a disconcerting strange-
ing the sixth generation with the coming of the Orphic
ness. Dionysos teaches or forces us to become other than
Dionysos, whose reign represents a restoration of the One,
what we ordinarily are.
the recovery of the lost plenitude.
Undoubtedly, it was this need to escape, this nostalgia
But Dionysos does not just play a part in a theogony
for a complete union with the divine, that—even more than
that substitutes for the progressive emergence of a differenti-
his descent into the underworld in search of his mother, Se-
ated order a fall into division, followed (as if redeemed) by
mele—explains the fact that Dionysos could be associated,
a reintegration into the whole. According to one tale, Diony-
sometimes quite closely, with the mysteries of the two Eleu-
sos, who had been dismembered and devoured by the Titans,
sinian goddesses. When the wife of the archon-king went to
was reconstituted from his heart, which had been preserved
celebrate her marriage with Dionysos, she was assisted by the
intact; the Titans were then struck down by Zeus’s thunder-
sacred herald of Eleusis; and, at the Lenaea, perhaps the most
bolt, and the human race was born from their ashes. This
ancient of the Attic festivals of Dionysos, it was the torch-
story, to which Pindar, Herodotus, and Plato seem to make
bearer of Eleusis who led the invocation taken up by the pub-
allusions, is attested in the Hellenistic period. In it, Dionysos
lic: “Iacchos, son of Semele.” The god was present at Eleusis
himself assumes the double cycle of dispersion and reunifica-
as early as the fifth century and had a discreet presence and
tion in the course of a “passion” that directly engages the life
a minor role even in those places where he had neither tem-
of humankind since it mythically founds the misfortune of
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3674
GREEK RELIGION [FIRST EDITION]
the human condition and, at the same time, offers mortals
renew his initiation and discovering, together with his wife
the prospect of salvation. Born from the ashes of the Titans,
and children, the Orpheotelestai. Plato, for his part, de-
the human race carries as a legacy the guilt of having dis-
scribed the Orpheotelestai as beggar priests and itinerant
membered the body of the god. But by purifying himself of
holy men who took money for their alleged competence in
the ancestral offense by performing rites and observing the
performing purifications and initiations (katharmoi and te-
Orphic way of life, by abstaining from all meat to avoid the
letai) for both the living and the dead. These marginal
impurity of the blood sacrifice—which the city sanctifies but
priests, who made their way from city to city and based their
which recalls for the Orphics the monstrous feast of the Ti-
science of secret rites and incantations on the authority of
tans—each man, having kept within himself a particle of
the books of Musaios and Orpheus, were readily identified
Dionysos, can return to the lost unity, join the god, and find
as a band of magicians and charlatans who exploited public
a Golden Age type of life in the hereafter.
credibility.
The Orphic theogonies therefore led to an anthropo-
But on another, more intellectual level, the Orphic writ-
gony and a soteriology that gave them their true meaning.
ings belonged, along with others, to the movement that, in
In the sacred literature of Orphism, the doctrinal aspect can-
modifying the framework of the religious experience, shifted
not be separated from the quest for salvation: the adoption
the direction of Greek spiritual life. Orphism, like Pythago-
of a pure life, the avoidance of any kind of pollution, and
reanism, belonged to a tradition of outstanding figures with
the choice of a vegetarian diet expressed the desire to escape
exceptional prestige and powers. From the seventh century
the common fate of finitude and death and to be wholly
on, these “god-men” used their abilities to purify the cities;
united with the divine. The refusal of blood sacrifice was
they have sometimes been defined as representing a Greek
more than just a deviance from common practice, for vege-
version of shamanism. In the middle of the fifth century,
tarianism contradicted precisely what sacrifice implied: the
Empedocles testified to the vitality of these maguses, who
existence of an impassable gulf between humans and gods,
were capable of commanding the winds and of bringing the
even in the ritual through which they communicate. The in-
dead back from Hades and who presented themselves, not
dividual search for salvation was situated outside the civic re-
as mortals, but as gods. A striking characteristic of these sin-
ligion. As a spiritual movement, Orphism was external and
gular figures—who included not only Epimenides and Em-
foreign to the city, to its rules and to its values.
pedocles but also a number of inspired and more or less leg-
endary missionaries, such as Abaris, Aristeas, and
Its influence was nonetheless exercised along several
Hermotimos—was that their disciplined lives, spiritual exer-
lines. From the fifth century on, certain Orphic writings
cises in the control and concentration of their breathing, and
seem to have concerned Eleusis, and whatever the differ-
techniques of asceticism and recollection of former lives
ences, or rather the oppositions, between the Dionysos of the
placed them under the patronage, not of Dionysos, but of
official cult and the one of the Orphic writings, assimilation
Apollo, a Hyperborean Apollo, the god of ecstatic inspiration
between the two might have occurred quite early. In Hippoly-
and purifications.
tus, Euripides suggests such an assimilation when he makes
Theseus speak of the young man “playing the Bacchant
In the collective trance of the Dionysian thiasos, the god
under the direction of Orpheus,” and Herodotus attributes
came down to take possession of his group of worshipers, rid-
the interdiction from being buried in woolen clothes to “the
ing them and making them dance and jump about according
cults called orphic and bacchic.” These convergences are not
to his will. Those who were possessed did not leave this
decisive, however, as the term Bacchic is not reserved exclu-
world, but they were made different by the power that inhab-
sively for Dionysian rituals. The only evidence of a direct en-
ited them. In contrast, among the god-men, for all their di-
counter between Dionysos and the Orphics, and at the same
versity, it was the human individual who took the initiative,
time of an eschatological dimension to Dionysos, is to be
set the tone, and passed to the other side. Thanks to the ex-
found on the fringes of Greece, on the edges of the Black Sea,
ceptional powers that he had succeeded in acquiring, a god-
in the Olbia of the fifth century. Here, the words Dionusos
man could leave his body, abandoned as if in a cataleptic
Orphikoi, followed by bios thanatos bios (“life death life”),
sleep, and travel freely into the other world, then return with
were discovered on bone plates. But, as has been observed,
the memory of all that he had seen in the beyond.
this puzzle remains more enigmatic than enlightening, and
This type of man, by the way of life that he had chosen
in the present state of documentation, its singular character
and his techniques of ecstasy, demonstrated the presence of
attests to the peculiarities of religious life in the Scythian en-
a supernatural element within him, an element foreign to
vironment of the colony of Olbia.
earthly life, a being from another world, in exile, a soul
(psuch¯e) who was no longer, as in Homer, a shadow without
In fact, Orphism had two major impacts on the reli-
force or an insubstantial reflection but instead a daimon, or
gious mentality of the Greeks during the Classical period.
“spirit,” a power related to the divine and longing to return
On the level of popular piety, it nourished the anxieties and
to it.
the practices of the superstitious, who were obsessed with the
fear of impurity and disease. Theophrastus, in his The Super-
To possess the control and mastery of this psuch¯e, to iso-
stitious Man, shows the protagonist going every month to
late it from the body, to focus it in itself, to purify it, to liber-
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GREEK RELIGION [FIRST EDITION]
3675
ate it, and by means of it to return to the heavenly place for
Vian, Francis. “La religion grecque à l’époque archaïque et clas-
which the heart still yearns—such may have been the object
sique.” In Histoire des religions, edited by Henri-Charles
and the end of the religious experience in this tradition of
Puech, vol. 1, pp. 489–577. Paris, 1970. A general study of
thought. However, as long as the city-state remained alive,
the formation of Greek religion and its basic components:
no sect, religious practice, or organized group expressed the
the nature and agrarian cults, the religion of the family and
the city, the federative and pan-Hellenic cults, and the mys-
need to leave the body and to flee the world in order to
teries and ecstatic cults.
achieve an intimate and personal union with the divine. The
renouncer was unknown to the traditional Greek religion. It
Gods and Heroes
was philosophy that relayed this concept by interpreting in
Brelich, Angelo. Gli eroi greci. Rome, 1958. From the viewpoint
of a general history of religions, this book analyzes the role
its own terms the themes of asceticism and of purification
of the Greek heroes in myth and cult and examines their rela-
of the soul and its immortality.
tions with other mythical figures in order to bring out the
For the oracle of Delphi, “know thyself” meant “know
specific morphology of the Greek hero.
that you are not a god and do not commit the sin of pretend-
Farnell, Lewis R. Greek Hero Cults and Ideas of Immortality
ing to become one.” For Socrates and Plato, who adopted
(1921). Oxford, 1970. An investigation of the origin of the
the maxim as their own, it meant: know the god who, in you,
Greek heroes, proposing a compromise theory between the
is yourself; try to become, as much as is possible, a likeness
thesis of Erwin Rohde, who considered the heroes as spirits
of the god.
of the dead, and that of Hermann Usener, who upheld the
theory of a divine origin of the heroes.
SEE ALSO Dionysos; Fire; Mystery Religions; Omophagia;
Guthrie, W. K. C. The Greeks and Their Gods. London, 1950. A
Orpheus; Shamanism.
still useful work on Greek religion, conceived and written for
nonspecialists.
BIBLIOGRAPHY
Kerényi, Károly. The Heroes of the Greeks. Translated by H. J.
General Works
Rose. London, 1959. Discusses the life, exploits, and deaths
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of the Greek heroes.
reader, this book presents the results of a number of erudite
Otto, Walter F. Die Götter Griechenlands: Das Bild des Göttlichen
studies on Greek religion (those, for example, of Wila-
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Moses Hadas as The Homeric Gods: The Spiritual Significance
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of significant illustrations.
and essence of the gods of Homer, who is treated as a great
Burkert, Walter. Griechische Religion der archaischen und klassisc-
religious reformer.
hen Epoche. Stuttgart, 1977. Translated as Greek Religion
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(Cambridge, Mass., 1985). This synthesis, supported by an
Grèce. Paris, 1966. A complete scientific file on the principal
abundant bibliography, covers both the Archaic and Classical
figures of the Greek pantheon, whose origins, cult manifesta-
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authors.
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Myth and Ritual
“religion of the philosophers.”
Burkert, Walter. Structure and History in Greek Mythology and Rit-
Festugière, A.-J. “La Grèce: La religion.” In Histoire générale des
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Detienne, Marcel. L’invention de la mythologie. Paris, 1981.
Gernet, Louis, and André Boulanger. Le génie grec dans la religion.
Through the study of the status of the “fable” in the eigh-
Paris, 1932. Reprinted in 1969 with a complementary bibli-
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ety, the author makes an epistemological investigation of
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mythology, reconsidered as an object of knowledge as well
Olympus during the Hellenistic period.
as an object of culture.
Nilsson, Martin P. Den grekiska religionens historia. 2 vols. Stock-
Deubner, Ludwig. Attische Feste (1932). Hildesheim, 1966. The
holm, 1921. Translated by F. J. Fielden as A History of Greek
most complete discussion of the festivals of Attica, indispens-
Religion (1925); 2d ed., Oxford, 1949), with a preface by
able for the wealth of texts cited; places iconographic materi-
James G. Frazer.
al in relationship to certain festivals.
Nilsson, Martin P. Geschichte der griechischen Religion (1941–
Farnell, Lewis R. The Cults of the Greek States (1896–1909). 5
1957). 2 vols. 3d rev. ed. Munich, 1967–1974. The basic
vols. New Rochelle, N. Y., 1977. A veritable “encyclopedia”
“manual” for any study of the religion of ancient Greece; a
of Greek cults, invaluable for the broad range of materials
truly comprehensive work, indispensable, especially for its
brought together and analyzed under the name of each divin-
wealth of documentation.
ity of Greece.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3676
GREEK RELIGION [FIRST EDITION]
Kirk, G. S. Myth: Its Meaning and Functions in Ancient and Other
the Greek sacrifice as a ritual and civic act situated in the cen-
Cultures. Berkeley, 1970. Studying the relationship between
ter of the alimentary practices and politico-religious thinking
myth, ritual, and fable, the limits of the structuralist theory
of the city; leads to questioning the pertinence of a Judeo-
of Claude Lévi-Strauss, as well as the specific character of
Christian model pretending to be unitarian and universal.
Mesopotamian and Greek myths, the author examines the
With contributions by Jean-Louis Durand, Stella Geor-
status of myths as expressions of the subconscious and as uni-
goudi, François Hartog, and Jesper Svenbro.
versal symbols.
Meuli, Karl. “Griechische Opferbräuche.” In Phyllobolia für Peter
Nilsson, Martin P. Griechische Feste von religiöser Bedeutung: Mit
von der Mühli zum 60. Geburtstage, edited by Olof Gigon
Ausschluss der Attischen (1906). Stuttgart, 1957. The best-
and Karl Meuli, pp. 185–288. Basel, 1946. A comparison
documented study of the festivals of ancient Greece, with the
between the “Olympian sacrifice” of the Greeks and certain
exception of Attic festivals, classified and analyzed under the
rites of the hunting and herding peoples of northeastern Eu-
name of each divinity.
rope and northern Asia; discerns a sacrificial structure origi-
Parke, H. W. Festivals of the Athenians. Ithaca, N.Y., 1977. A de-
nating in this primitive world and surviving in ancient
scription of the festivals of the ancient Athenians, analyzed
Greece.
according to the calendar; accessible to nonspecialists of the
Reverdin, Olivier, ed. Le sacrifice dans l’antiquité. Geneva, 1981.
Greek world.
Contributors approach questions of method, not in a theo-
Rudhardt, Jean. Notions fondamentales de la pensée religieuse et actes
retical and general manner, but through the study of a choice
constitutifs du culte dans la Grèce classique. Geneva, 1958. A
of specific and varied sacrificial rites.
pertinent analysis of the notion of the divine; beliefs concern-
ing the gods, the dead, and the heroes; and the acts of the
Mysteries, Dionysism, Orphism
cult (dances, ritual meals, purifications, religious songs,
Guthrie, W. K. C. Orpheus and Greek Religion: A Study of the Or-
prayers, sacrifices, etc.).
phic Movement. 2d ed., rev. London, 1952. A study of Or-
pheus and Orphic beliefs, in which the author tries to analyze
Vernant, Jean-Pierre. Mythe et pensée chez les Grecs (1965). 2 vols.
and assess the influence of Orphism on the life and thought
3d ed. Paris, 1971. Translated as Myth and Thought among
of the Greeks.
the Greeks (London, 1983).
Vernant, Jean-Pierre. Mythe et société en Grèce ancienne. Paris,
Jeanmaire, Henri. Dionysos: Histoire du culte de Bacchus. 2 vols.
1974. Translated as Myth and Society in Ancient Greece (At-
Paris, 1951. A study devoted to the major institutions and
lantic Highlands, N. J., 1980). Attempts to determine the in-
the characteristic elements of the Dionysian religion as it was
tellectual code proper to the Greek myth and to define the
constituted especially in the Archaic period; also analyzes the
logical form that the myth brings into play (a logic of am-
development of the Dionysian myth and mystic speculation
biguity, equivocality, and polarity); examines the relation-
in the Hellenistic and Greco-Roman environment.
ship between the intellectual framework brought out by
Kerényi, Károly. Dionysos: Archetypal Image of the Indestructible
structural analysis and the sociohistorical context in which
Life. Translated by Ralph Mannheim. Princeton, 1976.
myth was produced.
Considering the Dionysian element as a chapter of the reli-
Divination and Oracles
gious history of Europe, the author retraces the itinerary of
Bouché-Leclercq, Auguste. Histoire de la divination dans
the Dionysian religion from “the Minoan period to the
l’antiquité (1879–1882). 4 vols. Brussels, 1963; New York,
Roman empire” with the aid of linguistic, archaeological,
1975. The fundamental book on ancient divination, al-
philosophical, and psychological research; includes 146 illus-
though outdated on numerous points.
trations and a rich bibliography.
Parke, H. W., and D. E. W. Wormell. The Delphic Oracle. 2 vols.
Linforth, Ivan M. The Arts of Orpheus (1941). New York, 1973.
Oxford, 1956. The most complete synthesis devoted to the
A critical study of texts relating to Orphism and the legend
oracle of Delphi, treating all the ancient accounts in the light
of Orpheus as well as the myth of Dionysos.
of archaeological discoveries.
Mylonas, George E. Eleusis and the Eleusinian Mysteries. Prince-
Sacrifice
ton, 1961. An archaeological study of the sanctuary and mys-
Burkert, Walter. Homo Necans: Interpretationen altgriechischer Op-
teries of Eleusis, retracing the history of the cult from the first
ferriten und Mythen. Berlin, 1972. Translated by Peter Bing
houses of the Bronze Age to the imperial era of Rome.
as Homo Necans: The Anthropology of Ancient Greek Sacrificial
Otto, Walter F. Dionysos: Mythos und Kultus. Frankfurt, 1933.
Ritual and Myth (Berkeley, 1983). Continuing the work of
Translated by Robert B. Palmer as Dionysos: Myth and Cult
Karl Meuli, the author attempts to articulate a general theory
(Bloomington, Ind., 1965). Emphasizes the Archaic and
of sacrifice in which the ritual murder of the victim is central
pan-Hellenic character of this “god of paradox” and the
to the entire ceremony.
theme of his “persecution” as well as the typology of his mul-
Casabona, Jean. Recherches sur le vocabulaire des sacrifices en grec,
tiple epiphanies.
des origines à la fin de l’époque classique. Aix-en-Provence,
1966. An excellent semantic study of the vocabulary of sacri-
Sabbatucci, Dario. Saggio sul misticismo greco. Rome, 1965. An
fice and libations, supported by a meticulous examination of
essay on the Greek concepts of salvation and Orphism, Py-
literary texts (from Homer to Xenophon) and epigraphic
thagoreanism, Dionysism, and Eleusinism as alternatives to
texts.
the politico-religious system of the city.
Detienne, Marcel, and Jean-Pierre Vernant, eds. La cuisine du sac-
JEAN-PIERRE VERNANT (1987)
rifice en pays grec. Paris, 1980. An anthropological analysis of
Translated from French by Anne Marzin
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GREEK RELIGION [FURTHER CONSIDERATIONS]
3677
GREEK RELIGION [FURTHER CONSID-
sometimes linked with urinating and defecating as taboos in
ERATIONS]. The most important religion for Western
sanctuaries. Women were denied access to sanctuaries of
European scholars attempting to gain a better understanding
macho gods and heroes like Poseidon and Herakles, and even
of the phenomenon of religion has long been the Greek.
statues of goddesses were washed more often than those of
Great historians of religion, from Vico and Herder to Frie-
male gods.
drich Max Müller, Jane Ellen Harrison, and Sir James Frazer
Unlike Christianity, Judaism, and Islam, Greek religion
of The Golden Bough, all steeped themselves in the religious
was polytheistic. However, the gods were not just separate
legacy of the Greeks, whom they considered superior to all
individuals but all belonged to a pantheon that was sup-
other nations of the past. The study of Greek religion, then,
ported by a Greek city, the polis. Admittedly, the great early
is already several centuries old. The persistent efforts of clas-
poets, such as Homer and Hesiod (both probably living in
sicists to collect and analyze the ancient Greek sources—
the seventh century BCE), had created a kind of unity in that
coins, texts, vases, statues, inscriptions, and excavations—
all these gods were accepted and recognizable all over Greece.
have supplied a basis that is more firm and varied than is
Moreover, important cultural and cultic centers, like Olym-
available for the study of any other ancient religion.
pia and Delphi, helped to establish a degree of homogeneity
The basic character of Greek religion is clear. Like the
in worship. Yet every polis worshiped its own pantheon that,
other religions of the ancient Mediterranean and Near East,
to a certain extent, was unique. In Sicily, for example, Deme-
Greek religion was embedded. In other words, there was no
ter was the most prominent divinity; in Athens, Athena; and
sphere of life without a religious aspect. “Church” and
on Chios, Dionysos. Moreover, small cities could support
“state” were not yet separated, as is the rule in the modern
only a small pantheon, but a big city like Athens had dozens
world, with the exception of a number of countries, such as
of sanctuaries with their corresponding divinities. Our
Islamic Iran and Saudi Arabia or the Roman Catholic Philip-
model, then, is basically a Panhellenic one, and the investiga-
pines. Consequently, there is no Greek term for “religion,”
tion of local religion as a reflection of local identity is still
which as a concept is the product of eighteenth-century Eu-
in its initial stages.
rope. This absence also meant that there was no strong dis-
It was typical of polytheism that its gods covered only
tinction between sacred and profane, as became conceptual-
a limited area of life. Unlike God, Jehovah, or Alla¯h they
ized only in Western Europe around 1900. The Greeks did
were not loving, omnipresent, or omnipotent. That is why
not even have a term for “profane,” although they had a rela-
piety never meant devotion to one god but rather the proper
tively large vocabulary for “holy.” The most important term
performance of religious ritual. As the fourth-century politi-
was hieros, which is everything that has to do with sacred ob-
cian Isocrates (7.30) observed: “piety consists not in expen-
jects, sacred times, and sacred buildings; in the felicitous for-
sive expenditures, but in changing nothing of what our an-
mulation of Walter Burkert, hieros is “as it were the shadow
cestors have handed down.” Impiety, on the other hand,
cast by divinity.” This is also the term that lies at the basis
came closer to our own ideas. It included temple robbery,
for the Greek word for priest, hiereus, which is already found
killing suppliants, and the introduction of religious innova-
in Mycenaean times. At the same time, this “embeddedness”
tions without the consent of the community. Socrates, for
also meant the absence of atheism. People could and did
example, was executed on the charge of proposing new gods.
question the existence of the gods, but, unlike in modern
Tolerance is not a great virtue of either polytheism or mono-
times, as an ideology atheism remained unthinkable.
theism.
Religion was a public affair. Unlike modern European
The many gods were also useful in explaining the vicissi-
society, where religion seems more and more to become a
tudes of life in an age without insurance or social welfare.
matter of the private sphere, Greek cult was always a public,
Dreams, accidents shipwrecks, plagues, and earthquakes—all
communal activity. Worship outside that framework was
could be traced to particular gods and thus be given a place
suspect, and magic became conceptualized only in the fifth
in the Greek worldview. And when the known gods failed,
century. Yet there was an enormous difference with the adja-
there were always the anonymous gods to take their places,
cent countries of the Near East. Among the Greeks, religion
in particular when the gods requested a human sacrifice, with
was not used to support theocracies, as in Babylon or Egypt,
which Greek mythology abounds but which does not seem
or to limit access to the sacred to the aristocracy, as was the
to have been practiced in historical times.
case in Rome. In Greece any citizen could bring sacrifices,
The gods set boundaries that people should not over-
and there never developed a professional priestly class, like
step. If they nevertheless did so, the most important conse-
the Israelite priests, the Indian Bra¯hman:s, the Celtic Druids,
quence was the incurring of pollution. In the Greek world,
or the Iranian mullahs.
fear of pollution helped to keep the social and religious order
Like Islam, Orthodox Judaism, and Christianity, Greek
intact, even though purity did not play the same role it does
religion was very much male dominated. The inferior posi-
in normative Judaism and Islam. Overstepping the divine
tion of women manifested itself in the modest place they oc-
boundaries could have even cosmic effects, as the Greeks did
cupied in the rituals but also in the fact that women were
not yet separate the human and divine spheres, as in modern
considered to be more impure than men. Giving birth was
Christianity. Grave crimes, like incest or murder, could have
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3678
GREEK RELIGION [FURTHER CONSIDERATIONS]
the effect that the gods intervened by sending a plague, as
the eighth century BCE, although the Linear B tablets men-
was the case when Oedipus married his mother and Aga-
tion servants, priests, and priestesses. Unlike Classical times,
memnon offended Apollo’s priest Chryses. Pollution was
the sanctuaries were clearly controlled by the palaces and
even invoked by the Greeks in cases where modern society
were thus comparable to, if not influenced by, the contem-
would use a rather different kind of vocabulary. Men who
porary Near Eastern states.
practiced passive homosexuality or women who prostituted
H
themselves were considered impure and thus refused entry
OMERIC RELIGION. Homeric religion may have preserved
some of these older stages, but scholars have increasingly be-
into sanctuaries.
come reticent in postulating them. Contemporary attention
Like older Judaism, but unlike medieval Christianity
is directed especially toward the influence of the Near East
and Islam, Greek life was decidedly directed at this life, not
and the function of the gods in the epics. The latter have a
that of the hereafter. In fact, the early Greeks had hardly de-
clear narrative role in that they help to organize the poems
veloped a view of the afterlife. This changed in some circles
and its plots, but they also create a kind of antiworld in
in Classical times, but the percentage of Greeks strongly in-
which the gods feast on Olympus free from human toils and
terested in the destination of their soul always remained
troubles and thus emphasize the difference between mortals
small. Moreover, as the Greeks had no holy book or dogmas,
and immortals. Gods and goddesses can intervene in the
it was especially in this area that idiosyncratic ideas could
human world, even start relationships with them or form
flourish. In other areas of life, religion was fairly traditional.
special friendships with individual humans, like Athena with
Religious education was a “hands-on” business that children
Odysseus. Yet they cannot change the natural course of
received in the family. As they grew up, they were gradually
things and save their favorites from death. The gods, too, are
socialized in the festivals and rituals of men and women,
subject to Moira, the embodiment of fate.
which only slowly adapted themselves to changing times.
New ideas were long the territory of the poets who did the
As poets had to be able to recite and revise the poems
circuit of aristocratic courts and wove new ideas about the
of Homer all over Greece, the poems contain few specific rit-
afterlife or unusual themes from the Near East into their
ual names, such as festivals or months, and clearly give a
poems. For example, in his Iliad Homer adapted cosmogonic
highly stylized picture of contemporary religion. They men-
themes from the great Near Eastern epics Atrahasis and
tion those rituals that were widespread, such as sacrifice,
Enuma elish, and the poet Pindar clearly adapted Orphic
prayer, or the funerary rituals, but leave rites of initiation,
(below) views in his first Olympian Ode. Yet, on the whole,
which must have been still very much alive in the early archa-
Greek religion changed only slowly during the archaic and
ic period, in the background. On the other hand, they avoid
Classical periods (c. 800–300
as much as possible mention of rites that later times called
BCE).
magical, and neither do they report those strange details that
MYCENAEAN RELIGION. Mycenaean religion (c. 1400–1200
make studies of local religion often so fascinating. Occasion-
BCE) is the oldest stage of Greek religion that we can recon-
ally, the poets may have even invented rituals, such as the
struct with some confidence. The many excavations and the
human sacrifice performed by Achilles in honor of his friend
decipherment of the Greek language of the period, the so-
Patroclus.
called Linear B, enable us to see that many of the Greek di-
vinities already go back to the second millennium. The tab-
ARCHAIC AND CLASSICAL RELIGION. Archaic and Classical
lets that survived through the fires that destroyed the palaces
religion received its specific “color” from the gods, whose
in Pylos, Thebes, and on Crete have given us the names of
statues were everywhere and whose exploits could be seen on
Zeus, Hera, Athena, Artemis, Dionysos, and Hermes, but
the thousands of vases that ornamented Greek homes. The
not Apollo. Even relatively small gods, such as Paiaon and
distinctive nature of a god was determined by various aspects.
Enyalios, already existed. On the other hand, some divinities
First, there was his name, which was often further deter-
did disappear in the course of time. Zeus’s wife Diwija and
mined by his epithet, a typically Greek habit, although not
Poseidon’s other half Posidaeja no longer existed in the Clas-
unknown in Rome too. Some divinities received the epithet
sical period. As one tablet mentions Zeus, Hera, and
from their place of worship, if they dominated that place,
“Drimios, son of Zeus,” we may also safely accept some kind
such as Apollo Anaphaios (the small Cycladic island of An-
of Mycenaean mythology; the existence of several Indo-
aphe), Artemis Ephesia (Ephesus), Demeter Eleusinia (Eleu-
European themes in Classical Greek mythology, such as the
sis), or Herakles Thasios (Thasos). Other epithets indicated
kidnapping of Helen, points in the same direction.
the function of the god: Artemis Phosphoros (“Bringer of
light, salvation”), Hermes Agoraios (“Of the market”), or
Continuity of names, though, is no guarantee for conti-
Zeus Ktesios (“Protector of possessions”). Second, the myths
nuity in practices. There are very few cult places that can be
about the divinities related their families and deeds. The Ho-
demonstrated to have survived as such into Classical times,
meric Hymn to Demeter, for example, detailed the kidnapping
and the Mycenaean ritual is hard to recover in the absence
of Persephone by Hades and the ways Demeter responded
of detailed descriptions. There is some evidence for the dedi-
by instituting the Eleusinian mysteries. The myth thus close-
cation of objects but hardly for burnt offerings. Sanctuaries
ly connected Demeter with the institution that glorified her.
did not yet have temples, which arrived in Greece only in
Myth also told that the goddess Leto had two children, Arte-
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GREEK RELIGION [FURTHER CONSIDERATIONS]
3679
mis and Apollo. As all three divinities were connected with
Just as Poseidon had a wife, Posidaeja (“Mrs. Posei-
initiation, this function probably helped to create their fami-
don”), in Mycenaean times, so Zeus’s first wife must have
ly; at the same time, all three were also closely connected to
been Dione (“Mrs. Zeus”), a goddess later worshiped only
(southwestern) Anatolia, and their probable geographical or-
at the edges of the Greek world. In Homer, though, Hera
igin may have also contributed to their being a family. Art
is already his permanent wife, even though the relationship
must have helped to visualize the gods. Vases, statues, and
is not pictured as a happy one. In the Iliad, Hera is jealous
mirrors were highly standardized and in this way helped to
and Zeus regularly has to penalize her. The difficult relation-
create a mental image of the gods: Zeus with his lightning,
ship perhaps reflects the ambivalent position of Hera within
Athena with the owl, and Poseidon with his trident. In addi-
the social order. On the one hand, she is the goddess who
tion, all kinds of ritual aspects, such as the place of a divini-
“keeps the keys of wedlock,” as Aristophanes says in his Thes-
ty’s festival in the calendar, the location of the sanctuary, and
mophoriazusae (973), but that function seems to have been
the nature of the sacrifices received, contributed to the place
the consequence of her position as wife of Zeus; her cult as
of the divinity in the community. It was the sum total of all
goddess of marriage was certainly Panhellenic but not promi-
these factors that created the persona of a Greek divinity.
nent. An older layer becomes visible in the centers of her
Unlike the Egyptian gods, Greek gods were very much
worship, Argos and Samos. Here Hera’s festivals display
anthropomorphic. Their frivolous adventures were popular
strong signs of ancient New Year festivals. Moreover, here
themes in Greek poems, and their uncanny behavior was fre-
she is also closely connected with the coming of age of both
quently explored in tragedy. Hesiod related their genealogy
boys and girls, who perhaps demonstrated the newly ac-
in his Theogony, in which he was heavily dependent on the
quired status of adulthood during the New Year festivals. In
epics of the ancient Near East. His poem established the clas-
the course of time this older function receded for the newly
sic family relationship in which Zeus and Hera were the lead-
found one of goddess of marriage.
ing divinities who, together with their brothers, sisters, and
(half-)children, live on Olympus. Later times liked to think
The divinity closest to Zeus was Athena, who was born
of them as a group of twelve, of whom Zeus, Hera, Poseidon,
from his head. The myth surely reflects the aspect of intelli-
Demeter, Athena, Aphrodite, Apollo, and Artemis are always
gence that is prominent in Athena: she is closely connected
mentioned, but Dionysos, Herakles, and Hestia less regular-
with women’s crafts like weaving and male artisans like the
ly. Their parents Kronos and Rhea were relatively unimpor-
smiths; even the Trojan horse was built by a carpenter under
tant, as were their grandparents Tethys and the castrated Ou-
her supervision. Originally, Athena seems to have been a tu-
ranos; their great-grandmother Gaia is only a shadowy
telary goddess of cities, which is probably her oldest recover-
figure. The occurrence of Near Eastern motifs in the Theogo-
able layer, as in Mycenaean times she received the title Pot-
ny makes it likely that this genealogical system is relatively
nia, “Mistress.” Her temple is attested on many an acropolis,
late and almost certainly postdates the Mycenaean era.
the strategic heart of a Greek city. Her statuette, the Palladi-
um, the name of which comes from her still unexplained
The gods have been systematized in various ways. The
title, Pallas, functioned as a polis talisman and as such even
Greeks themselves opposed the heavenly gods to the subter-
played a role in Vergil’s Aeneid. It is not surprising, then, that
ranean ones, in particular Hades and his wife Persephone,
she often received the epithet Polias or, more literary,
who, due to their inferior position, hardly receive cultic hon-
Poliouchos. Given this protective role of the city, Athena,
ors. Late antiquity introduced the opposition Olympian and
like Hera, is also associated with the growing up of the young
chthonic, which it associated with different altars and types
generation, especially in Athens.
of worship. Yet recent scholarship has increasingly seen that
the distinction is not supported by the pre-Hellenistic evi-
Apollo’s name has been tied to the yearly Doric assem-
dence. That is why we opt for a distinction between “order-
bly, the apellai, in recent decades, but etymological rules and
ly” and “disorderly” or “central” and “ec-centric” gods: gods
the geographical distribution of his name make this less like-
who support the social order and gods who are more re-
ly. As he was still absent from the Mycenaean tablets, he
moved from or in opposition to that order.
probably entered Greece from Lycia, where his mother, Leto,
The most important Greek god was undoubtedly Zeus,
was a highly prominent goddess. His connection with initia-
one of the few Greek gods with an uncontested Indo-
tion has clearly shaped his divine nature to an extent that is
European name. At one point he must have progressed from
hard to parallel with other gods. Aristocratic male youths had
a position as weather god to the supreme divine ruler. It
to be able to sing, dance, and play the lyre, and this explains
seems likely that some Anatolian influence played a role, but
why Apollo was closely connected with these activities. Male
gods do not exist separate from their worshipers and the me-
initiation also meant the entering of a new stage of life in
chanics of these shifts in the Greek pantheon (or other pan-
which political activities were highly important. That is why
thea) are still only dimly understood. It is clear, though, that
Apollo is often associated with the center of political institu-
his promotion to the top took place relatively late, as he had
tions of the polis. In this role he is regularly worshiped as
only a few festivals and hardly any months named after him.
Apollo Lykeios or Delphinios; the latter non-Indo-European
He never occupied the same position in cult that we can see
epithet even strongly suggests that in this capacity Apollo
in the case of Roman Jupiter or Babylonian Marduk.
had taken over pre-Greek institutions. Finally, the comple-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3680
GREEK RELIGION [FURTHER CONSIDERATIONS]
tion of the male initiatory ritual was often celebrated in a
a more recently published Linear B tablet has shown that
kind of New Year festival. That is why Apollo was also the
Dionysos was already worshiped in Mycenaean Crete. Con-
god of the new beginning, be it the god of the new moon,
sequently, these myths of arrival are better interpreted as
the god of purification, the god of healing, or the god of divi-
ways of expressing the nature of Dionysos as “stranger” in
nation, which often made an end to a period of confusion
the Greek world. This aspect of his nature becomes apparent
and uncertainty.
from his festivals, where we can find the split-up of society
in its two gender halves, the equality of slaves, or the promi-
Apollo’s sister Artemis goes back to a time in which
nence of the phallus in a procession. In some communities,
hunting was still of prime importance; witness her title “Mis-
Dionysos was even associated with human sacrifice (in myth,
tress of the Animals.” Such protecting goddesses were often
not reality). In this capacity he was worshiped on Lesbos as
also initiatory divinities, as was the indeed the case with Arte-
Dionysos Omestes, “Eater of Raw Meat.” A similar “antiso-
mis. She was in particular associated with the raising of girls
cial” nature appears from Dionysos’s mythical followers, the
at the margin of civilization in areas that were well watered
satyrs and maenads. The latter could commit heinous crimes,
or near rivers or lakes. Their lush nature reflected that of the
as Euripides’ Bacchae so well illustrates. The former showed
maturing maidens whose beauty the male Greeks so highly
themselves on the Greek vases in such antisocial activities as
admired. Rather strikingly, these areas were also often border
masturbation and sex with animals. Dionysos was a more
areas, and just as initiates were on the critical border between
problematic god than the many scenes of him happily drink-
youth and adulthood, so Artemis also functioned in other de-
ing suggest.
cisive moments like the critical phase of a battle, where she
was the one to give victory.
Other gods were less influential. Hephaestus was the
If Zeus, Athena, and Apollo were the gods who stood
god of the smiths, who seems to have played a more impor-
in the center of the Greek polis, other gods were more “off
tant role in the early archaic period than in later times. His
center.” Poseidon must once have been a very powerful god,
main place of worship was Lemnos, an island where the in-
but in the course of the post-Mycenaean age he was displaced
habitants once spoke a language related to Etruscan and that
by Zeus. He was the ancestor of several tribes and associated
was conquered only in the late sixth century by the Greeks.
with men’s associations, such as the pan-Ionic league. This
This means that originally Hephaestus was the god of a pre-
function also connected him to male initiation in some
Greek population.
places. Moreover, Poseidon was the god of brute force in
Hermes was the messenger of the gods and thus also
men and animals. That is why he was also considered to be
moved between the upper world and the underworld. In
the god of earthquakes and such powerful animals as horses.
many ways he is the personification of the more marginal
That is also why in more settled times Poseidon’s domain
persons in ancient Greece, such as the wanderers and the
was largely relegated to the sea, the area of the marginal fish-
merchants. He was sometimes connected with Aphrodite,
ermen but also the area that was feared by the Greeks because
the goddess of love, who had a clear background in ancient
of its dangers and unpredictability.
Near Eastern goddesses like Ishtar. However, this love was
In many places Poseidon was closely connected with
not only physical but also political. Aphrodite was often asso-
Demeter. The association must go back to an early stage in
ciated with the people as a whole or with smaller councils
Greek religion, as is illustrated by Poseidon’s metamorphosis
of magistrates. Her worship supposedly promoted the har-
into a stallion when Demeter tried to flee from him in the
mony and unity of those concerned. It is the Near Eastern
shape of a mare—a type of myth that has clear Indo-
connection that made her also into a goddess of military af-
European parallels. Poseidon’s ancient political side probably
fairs, and in several cities her statue was armed. The connec-
explains why at various places Demeter was also connected
tion also received expression on a mythological level: Aphro-
with political power; she even seems to have been connected
dite was the beloved of Ares, the god of war.
with initiation in some places before the rise of the mysteries
Like Dionysos, Ares was also reputed to come from
(below). However, Demeter was celebrated in particular dur-
Thrace to express his outsider position in the Greek pan-
ing the festival of the Thesmophoria, the most popular
theon. In Homer, Ares is already closely identified with an-
women’s festival in ancient Greece. During several days all
other war god, Enyalios, but in cult the two remained sepa-
the women of the community assembled to celebrate this fer-
rated. Ares was the god of the bloodthirsty side of war. This
tility festival, from which men were excluded. The occasional
made him an unpopular god who had few cults and whose
symbolic exclusion from power made men nervous, and they
sacrificial animal, the dog, was not normally eaten at sacrifi-
saw to it that the women assembled only in local communi-
cial banquets.
ties and never in cities as a whole.
The gods of the underworld, Hades and his wife, Per-
If Demeter is certainly “ec-centric,” the god of the “anti-
sephone, mainly had a mythological life. There were no tem-
order” par excellence was Dionysos. Myth designated him as
ples for them, and their place in Greek cult was negligible.
the stranger among the gods, as it related his arrival from
Thrace. Earlier generations of scholars usually interpreted
In addition to these major divinities there were also
these stories as reflections of a historical development, but
smaller ones, like Gaia, (“Earth”), Hestia (“Hearth”), Eirene
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(“Peace”), Thanatos (“Death”), Arete (“Virtue”), and other
as Achilles and Herakles, whose precise status—hero or
personifications. Yet the Greek pantheon was much smaller
god?—remained debated. The development took a long time
than, say, the Hittite or Roman one. The reason for these
to materialize fully and should not be retrojected into earlier
differences is still unexplored, just as the nature of polythe-
centuries. In that period we have tomb cults, cults of the an-
ism and the implications of the difference with monotheism
cestors, and cults of founders of cities, but it is only from the
are still largely terra incognita.
late archaic period onward that we start to have hero cults
in the technical sense of the word. Consequently, we should
On the other hand, we have reached a better under-
standing of the mutual relations within the pantheon. Al-
avoid speaking of hero cult in the earlier archaic period.
though divinities have each their own sphere or mode of ac-
Because of their origin, the category of the heroes turned
tion, they can also combine their influence or display their
out to be the lowest common denominator of a motley group
powers in opposition to other gods. For example, the fact
of “supernatural beings,” such as faded goddesses like Helen,
that Apollo and Artemis are siblings cannot be separated
culture heroes like Prometheus, and mythological supermen
from their connection with initiation (above). Hera and
like Herakles. In the later fifth century the category became
Aphrodite are both associated with love and marriage, but
expanded to fallen generals like the Spartan Brasidas, who
whereas Hera is responsible for the protection of marriage
was killed in action in 422 BCE. As time went on, the Greeks
as such, Aphrodite promotes its sexual part. Ares and Aphro-
started to connect their great mythological heroes, like Aga-
dite were already a pair in Homer. Both divinities were at
memnon and Odysseus, with older graves or grottoes, and
the margin of the pantheon but also each other’s opposites.
scholars have all too long thought that these late connections
There is a Poseidon Hippios and an Athena Hippia. Both
also implied age-old continuities.
divinities are clearly concerned with horses, but whereas Po-
seidon is responsible for the power and fierceness of horses,
Yet the connection with graves does point to an impor-
Athena is the goddess who gives man the power to use the
tant quality of the heroes: their local association. Unlike the
animal in an intelligent manner. It becomes more complicat-
gods, heroes are nearly always associated with a family, a po-
ed when we see that the Athenian ephebes worshiped Ares
litical or social group, or a city. Many people gave regular
and Athena Areia. Evidently, Ares was responsible for their
greetings and offerings to the shrine of their neighborly hero
courageous behavior in battle, but Athena must have helped
and clearly expected something positive in return. Armies
them to do this in a strategically intelligent manner. In a dif-
could see heroes on their side, just as in the First World War
ferent way, myth often told of Poseidon’s defeat by other
German and English soldiers saw angels coming to their as-
gods, in particular Apollo and Athena. This shows that
sistance. The Locrians even left a gap in their phalanx where
Greek gods were not only persons but also embodied powers,
Ajax was supposed to defend the ranks. However, heroes
as in this case Poseidon’s defeat symbolized the conquest of
could also be nasty and mean. The chorus of Aristophanes’
“chaos” by the powers of order, intelligence, and civilization.
Heroes sings: “we are the guardians of good things and ill;
Both the aspect of “person” and of “power” should always
we watch out for the unjust, for robbers and footpads, and
be taken into account when looking at individual Greek
send them diseases—spleen, coughs, dropsy, catarrh, scab,
gods.
gout madness, lichens, swellings, ague, fever [some words
HEROES. It is hard to find parallels to heroes, the “demigods”
missing]. That’s what we give to thieves” (tr. Robert Parker).
between gods and men, in other religions. Their origin has
There is always something ambivalent about the heroes, as
been much discussed but rarely with the right attention to
there is about the gods.
an important terminological question. Surely, it is impossible
to speak of a hero cult before there was a category of heroes
RITUAL. Ritual was the basis of Greek religion, although the
named and conceptualized in opposition to the category of
all-embracing category “ritual” is a relatively modern inven-
the gods. Unfortunately, this simple truth is rarely taken into
tion that originated around 1890. The Greeks did not yet
account in scholarly literature. Yet the religious meaning of
have such a term but called their rituals teletai (connected to
the Greek word herôs as “demigod” did not start to material-
Greek telos, “goal”), drômena, “what is done,” or nomizo-
ize before the last decades of the sixth century. In fact, the
mena, “what is customary.” Rituals accompanied the most
order gods-heroes-men does not occur in extant Greek litera-
important stages of Greek lives, such as the birth, coming of
ture before Pindar’s Second Olympian Ode (2) of 476 BCE,
age, the wedding, and death, but also political activities, en-
in which the poet wonders: “What god, what hero and what
tertainment such as the symposium, divination, or purifica-
man should we celebrate?” It is not easy to explain this devel-
tions from pollutions. In addition, the Greek year was inter-
opment, but it is clear that in the later sixth century BCE a
spersed with festivals, if more in winter than in summer. In
gradual hardening took place of the division between the
this short compass it is impossible to pay attention to all
main gods of the Greeks and all other (for lack of a better
manifestations of ritual. We therefore just mention hymns,
word) supernatural beings worthy of worship. This develop-
dances, and processions and limit the discussion to a more
ment was perhaps the result of the growing status of Homer,
detailed extension of sacrifice (the most important ritual), to
but as there was no independent authority to decide who be-
sanctuaries (the places where many of the rituals took place),
longed where, some heroes stayed hovering on the edge, such
prayer, and the main women’s festival, the Thesmophoria.
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GREEK RELIGION [FURTHER CONSIDERATIONS]
Sacrifices already abound in the oldest literary source,
had clearly dramatized the beginning of sacrifice by the orga-
Homer (c. 700 BCE). His preferred victim is the cow, the
nization of a sacrificial procession. At the front an aristocratic
largest domesticated animal available and the predominant
girl (the kanêphoros) walked with a beautiful basket on her
victim in literature and art. Yet after the Dark Age most sacri-
head, which contained the sacrificial knife covered up by bar-
fices were not of cattle, and smaller animals were the rule for
ley groats and ribbons. Male adolescents led along the victim,
small communities and private sacrifice. As a symbolic state-
and a male or female piper played the music indicating the
ment, cattle remained the preferred animal, and Athenian
walking rhythm. Music had become such an integral part of
colonies and allies had to send a sacrificial cow to the festival
the ritual in post-Homeric times that the fifth-century histo-
of the Panathenaia. The next expensive full-grown sacrificial
rian Herodotos (1.132) was struck by its absence in Persian
victim was the pig, although it was not the most popular ani-
sacrifice. Then adult males and females followed in a throng.
mal in sacrifice. Pigs were not much employed in the great
The whole community played a part in this ritual of rituals.
sanctuaries, except perhaps in Cypriotic sanctuaries of Aph-
When the actual sacrifice began, the sacrificer purified the
rodite, and no god was connected with the pig in particular.
participants, the altar, and the sacrificial victim. This inaugu-
The main exceptions were Demeter and Dionysos, both di-
ral act separated the sacrificial participants from the rest of
vinities in some opposition to the social order, as we have
the population and constituted them as a distinct social
seen. The low appreciation of the pig was not only shared
group.
by the Jews, whose abhorrence of the pig is well known, but
also by the ancient Egyptians and, later, Islam. It thus fits
After a prayer, the officiant took the knife and cut a few
a larger Mediterranean and Near Eastern phenomenon.
hairs from the brow and threw them in the fire, the begin-
ning of the actual killing. In the meantime, the victim had
The predominant sacrificial victims were sheep and
given its consent by shaking its head. Voluntariness of the
goats, animals whose bones are often very difficult to distin-
victim was an important part of the Greek sacrificial ideolo-
guish. In the case of Aphrodite, even cheaper offerings were
gy, which stressed that the victim was pleased to go up to
quite normal, and the sacrifice of kids and lambs fits this pic-
the altar, sometimes could even hardly wait to be sacrificed.
ture. There were also a number of more marginal animals.
Obviously, ideology and practice did not always concur, and
Dogs were used for purificatory purposes but not normally
vases show us ephebes struggling with the victim or the ropes
eaten, except at the margin of the Greek world, such as Didy-
tied to its head or legs in order to restrain it. The participants
ma and Cyprus. The Greeks themselves thought of this sacri-
to the sacrifice now lifted up the (sometimes stunned) victim
fice as typical of foreigners, such as Carians and Thracians,
with its head up high, toward heaven, and a priest or another
and used it to differentiate cruel Ares and spooky Hekate
officiant cut the throat with the sacrificial knife. At this very
from the more civilized gods. Birds were brought to Aphro-
emotional moment the women present raised their high,
dite, and cockerels to Asklepios—both less important gods,
piercing cry, ololyge, which Aeschylus in the Seven against
whose status reflected itself in the gifts they received. Basical-
Thebes (269) calls the “Greek custom of the sacrifice cry”
ly, then, the Greeks selected only domesticated cattle for
(ololygmos). Great care was taken not to spill the blood of the
their sacrifice, and the origin of sacrifice does indeed not
victim on the ground. In the Classical period the blood is
seem to go back before the time when cattle became domesti-
prominently present on the altars as many vase paintings
cated in the ancient Near East. Yet in Artemis’s sanctuary in
show—the lasting proof of the otherwise perishable gifts to
Kalapodi, excavators have found bones of boars and deer; the
the gods.
latter have also come to light in the Theban Kabirion and
the Samian Heraion. In ancient Israel, too, excavations have
It was now time to skin the victim and carve it up. In
demonstrated incidental sacrifices of fallow deer. Evidently,
addition to the thigh bones, the gods also received some
there were sometimes fuzzy edges at the boundaries of the
other parts, such as the gallbladder and the tail. In Classical
accepted sacrificial victims in order to include the most pop-
times the gods also seem to have received a share of the in-
ular game.
nards, splanchna, in which the Greeks included the spleen,
kidneys, liver, and probably the heart and lungs. These parts
In addition to the nature and age of the victim, worship-
of the victim were the first to be eaten. Together with the
ers also had to make decisions about the sex and color of the
food, the gods received a libation of mixed wine. The meat
victims. In general, male gods preferred male victims, where-
was evenly divided between the participants, and egalitarian
as goddesses rather had female ones. Yet this was not a fixed
inclusiveness was very important for the Greeks: for the Jews
law but rather a rule with notable exceptions, as in the Sami-
the purity of sacrifice became an important guardian of
an Heraion bones of bulls, rams, and boars have been found.
monolatrous Yahwism, but foreigners were always invited to
Sacrificial regulations also often specified the color of the vic-
partake of Greek sacrifice.
tim, black being the preferred color for chthonic deities.
There were also sacrifices where food was absent or on
Sacrifice was a festal moment. Victims were adorned
purpose denied to the sacrificial participants. First, the vic-
with ribbons and garlands around their heads and bellies,
tim could be drowned: the Argives submerged a horse with
and the sacrificers took a bath, put on festive white clothes,
bridle in the sea for Poseidon, and the Rhodians, wealthy as
and, similarly, wreathed themselves. The Classical period
they were, a chariot with four horses for Helios. These costly
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3683
sacrifices must always have been rare, and they seem to go
who could rise to great fame through their strategic insights.
back to great antiquity. Second, there were extremely cheap,
Instead of seers, many people consulted the main oracles,
purificatory sacrifices, usually piglets, who after the sacrifice
Delphi and Dodona, which were situated at quite a distance
were thrown out in order to carry away the pollutions. Piglets
from important cities, as divination had to look objective to
were also sometimes used for a preliminary sacrifice, in
be credible. As in many cultures, their function was more
which case they were burned whole. Third, the Greeks often
to help to make a choice or to set a seal on decisions than
swore an oath while grasping an object, the horkos (which
to forecast the future.
gave its name to the Greek oath), embodying the powers in-
The temples contained the statues of the gods but also
voked; so the gods swore holding a jug with water from the
the many votives of the worshipers, ranging from precious
Styx. Four, sometimes a pregnant animal was sacrificed. This
golden objects to the anatomical votives of vulvae and phal-
happened especially in the cult of Demeter and, seemingly,
luses after a successful healing; in addition they functioned
in some maturation rituals. The victims were probably
as banks and often received asylum seekers onto their some-
burned whole, a practice the Greeks had taken over from the
times extensive lands: like the medieval church, some Greek
Syro-Palestine area. In all these sacrifices the most plausible
sanctuaries were the largest landowners of ancient Greece.
explanation is that they lacked the required relaxed atmo-
sphere of a good banquet. Banquets were naturally also ab-
The location of sanctuaries once again reflected the na-
sent from other emotionally laden sacrifices, such as that just
ture of their gods: Zeus, Athena, and Apollo usually had tem-
before a battle. On the other hand, epigraphical evidence has
ples in the center of the polis, Apollo and Demeter were
increasingly made clear that sacrifices to heroes, the so-called
more often located away from the center, and Hera, Posei-
chthonic sacrifices, which many generations of scholars sup-
don, Artemis, and Dionysos were usually located out of the
posed to have been burned whole, normally ended in a happy
city. The location of heroic sanctuaries also depended on the
banquet. The whole notion of chthonic sacrifice, like the one
place of the hero in the community. For example, if he was
of chthonic gods, is in urgent need of revision. That is not
the founder of the city, his heroön (sanctuary) would be on
to say that sacrifices for gods were always totally similar to
the agora in the center of the city, but Trophonios, the owner
those for heroes. The latter received more often cakes and
of an oracle, was worshiped away from the civilized world.
fruit.
PRAYER. Prayer had a place in many rituals and usually fol-
Finally, what did the collective imagination as expressed
lowed a standard structure of invocation, claim for attention,
in myth single out as significant? Hesiod’s Theogony (535–
and request. Moreover, the earlier Greeks never kneeled for
561) connects the origin of sacrifice with the invention of
their prayers, like Christians in several churches still do, but
fire and the creation of woman. In order to settle a quarrel
they prayed standing erect with hands raised. In principle ev-
between gods and mortals, Prometheus took refuge in a trick.
erybody (man and women, old and young, slaves and free)
He let Zeus chose between, on the one hand, the flesh and
could pray everywhere—at home, in a sanctuary, or on a
fatty entrails of a slaughtered bull and, on the other, the
ship. However, prayers were often pronounced on behalf of
white bones covered with glistening fat. Zeus opted inten-
the city or a smaller social group by priests or heralds. Unlike
tionally for the bones, and “since then the race of men on
the Christian God, Greek deities were not omnipresent
earth burn white bones for the immortals on smoking altars.”
and the worshipers had to call out for their attention. Thus,
Hesiod’s account locates the origin of sacrifice at the precise
a prayer often contained the invitations “hear” and “come”;
moment that gods and mortals were in the process of parting
moreover, it was important to mention the name of the di-
their common ways. Clearly, sacrifice was the preeminent act
vinity and his or her epithet. Yet to be absolutely certain that
of the “condition humaine,” which definitively established
the right divinity would hear their prayers, worshipers often
and continued the present world order, in which man dies
visited a temple and prayed in front of the deity’s statue,
and immortals have to be worshiped.
often in its very ear. When praying, the Greeks could freely
improvise and, unlike Rome or India, they did not have ar-
Sacrifice took mostly place in sanctuaries. Unlike Chris-
chaic fixed-prayer formulae. In their prayers there was a
tian churches, Islamic mosques, or Jewish synagogues, these
strong element of reciprocity. The worshiper referred to ear-
need not always have been proper buildings. For the Greeks
lier sacrifices or made a small gift that enlarged the chances
only the presence of an altar was essential, but sanctuaries
of being heard. Unlike Jewish and Christian prayers, Greek
often had a sacred grove, water for purification, and a temple.
prayers therefore rarely contained a feeling of gratitude.
Priests were useful but not indispensable, except in the larger
What did people pray for? Strangely, very few nonliterary
sanctuaries. Vases often portray them in white robes, and
prayers have survived, and our knowledge about the content
priestesses often carry a big key, the symbol of their supervi-
of Greek prayers is almost exclusively literary. Perhaps in op-
sion of the sanctuary. In addition to priests, there were also
position to many modern prayers, the Greeks did not shrink
seers, but they were often less officially connected with sanc-
from praying that the worst might befall their enemies, but
tuaries, even though two seer families officiated in Olympia.
they certainly mostly prayed for their own good. Unlike
Many seers wandered through Greece, and their status was
modern Christian attitudes, they would rarely pray for oth-
often not very high, with the exception of the military seers
ers, and Herodotos (1.132) expresses amazement about the
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GREEK RELIGION [FURTHER CONSIDERATIONS]
fact that the Persians prayed for the well-being of their king.
took place at sowing time, the women clearly celebrated
Finally, although Christians, Jews, and Muslims often pray
human and agricultural fertility at the same time.
aloud in public or religious services, silent prayers are perhaps
M
the norm for the modern individual. In Greece praying aloud
YSTERIES. Mysteries originally was the name of the festival
celebrated in the sanctuary of Demeter outside Eleusis in the
was the norm, but antisocial and magical prayers were proba-
month Boedromion in early autumn. From there the Greeks
bly performed in silence.
applied the name also to cults with a related structure, such
FESTIVALS. Festivals were the main religions occasions at
as the cults of the Kabeiroi in Thebes and of the Megaloi
which the community (the city but also subdivisions of the
Theoi of Samothrace. Unfortunately, it was a characteristic
city and the family) manifested itself. Festivals derived their
of the mysteries, and hence our use of the term, that the initi-
names from the most striking parts of the festivities, such as
ates were not allowed to divulge the secrets of the rites. The
the Plynteria from the “washing” of a statue, or from the
Eleusinian sanctuary dates from the late eighth century BCE,
names of the gods, such as the Kronia, the festival for
and the widespread occurrence of Demeter Eleusinia in Ionia
Kronos. In turn, months often took their names from the fes-
and the Peloponnese demonstrates an early popularity of her
tivals, such as the Ionian month Anthesterion from the name
cult. The combined evidence of the Peloponnesian and Ioni-
of the festival Anthesteria. As with Greek religion in general,
an cults does point into the direction of an initiatory cult of
local calendars regularly differed, and festivals could change
an aristocratic family; iconographic evidence from the sanc-
places in the calendar in the course of history.
tuary of the Theban Kabeiroi points in the same direction.
Apparently, the ritual became restructured and reinterpreted
There were several types of festivals. Some were con-
after the disintegration of the archaic puberty rites at the end
nected with the rites of initiation, such as the Spartan Hy-
of the seventh century, as the Homeric Hymn to Demeter (c.
akinthia and Karneia or the Cretan Ekdysia. In these festivals
650 BCE) is evidently related to the Eleusinian mysteries.
the youths of the cities demonstrated their prowess or beauty.
However, without corroborating evidence it is impossible to
Others celebrated New Year, everywhere an important festi-
reconstruct the mysteries from the Hymn. It is only in Chris-
val and perhaps in Greece even influenced by those of the
tian times that former pagans start to communicate the de-
ancient Near East. In Athens it can best be seen as a complex
tails that give us an impression of what happened in that era;
that lasted for three months. In the penultimate month of
whether we can retroject these details into Classical times re-
the year, Thargelion, the so-called scapegoat ritual purified
mains a matter of debate. The earlier Eleusinian mysteries
the city; in the ultimate month, Skirophorion, several festi-
very much remain a mystery.
vals took place away from the political center, the acropolis;
and the first festival of the first month of the new year, Heka-
The main rituals started with a procession from Athens
tombaion, was the Kronia, in which the social order was re-
to Eleusis along the still existing Sacred Way. After prepara-
vered, as slaves and masters dined at equal footing. The cele-
tory rites of purification and fasting, the climax took place
bration of the city’s foundation in the Synoikia and the
in the Telesterion (“House of rituals”), which survived well
Panathenaia, Athen’s most prestigious festival, reestablished
into Roman times. It was a fifty-one-square-meter roofed
the social, political, and religious order. Festivals, then, were
building that evidently cannot have held that many initiates
often related to one another, and a proper study should al-
at the same time. At night, light effects must have played a
ways look at the whole festive cycle.
role, and texts suggest a plurality of emotions. The high
point seems to have been the moment when the hierophant
The most important women’s festival was the Thesmo-
showed a “single harvested ear of grain” and shouted out at
phoria, a three-day festival for Demeter. The exclusive female
the top of his voice: “the Mistress has given birth to a holy
participation made the festival somewhat suspect in male
child, Brimo to Brimos,” as the Church Father Hippolytus
eyes, and several stories told of males spying on the women
informs us. The ear must have been symbolic of the gift of
during the rituals. Male suspicion probably also meant that
corn, which the Athenians had associated with the mytholog-
in Athens the women could not celebrate their festival in one
ical Eleusinian king Triptolemus. In the heyday of the Athe-
sanctuary but only separately in the demes. Its “ec-centric”
nian empire the Athenians evidently claimed the invention
character was indicated by several oppositions with normali-
of agriculture, which for the Greeks signaled the arrival of
ty. The women did not live in houses but in huts, slept on
the present cultural order. After the decline of the empire,
antaphrodisiac plants, and sacrificed pigs, whereas as a rule
the emphasis of the mysteries shifted to eschatological prom-
the males were the sacrificers in Greece. On the second day
ises: the Eleusinian priests were clever entrepreneurs who
Athens suspended court sessions and council meetings; other
kept their mysteries moving with the times.
places in Greece may well have done the same. There proba-
bly also was ritual fasting, sham fights, and indecent speech
The relative late rise of eschatology as an important
on this day. After all this “abnormal” behavior, women re-
motif in the mysteries is also confirmed by its absence from
turned to “normality” on the third day. On this last day,
the mysteries of Thebes and the islands Lemnos and Samo-
which was called Kalligeneia, “Beautiful birth,” the women
thrace. In the latter, we can see a triad of two males with a
fetched the decayed remains of piglets from subterranean pits
Great Goddess. Its geographical location and the details of
and placed them on altars as future manure. As the festival
the ritual point to a pre-Greek background in the world of
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GREEK RELIGION [FURTHER CONSIDERATIONS]
3685
initiation and men’s societies, which on the island of Lemnos
Zeus: “Zeus is the head, Zeus the middle, through Zeus all
seems to have developed into a society of smiths and their
things come to pass.” Pythagoras, their contemporary, went
god Hephaestus. Both on Lemnos and in Thebes remnants
even further. His prescriptions meant the first total break
have been found of wine amphorae suggesting communal
with traditional Greek lifestyle, and gods hardly seem to have
drinking rituals, but on Samothrace the emphasis seems to
played a role in his teachings. Nor did ritual come away un-
have been reoriented to salvation at sea.
scathed, as Heraclitus of Ephesus attacked purification ritu-
als and praying before the statues of the gods, as if one could
The immediate success of the Eleusinian mysteries may
converse “with houses,” as absurd.
well have been the stimulus for the development of a differ-
ent type of mysteries that were not tied to one particular
The seeds of these philosophies came to fruition in the
sanctuary. From about 500 BCE we hear of Bacchic mysteries
second half of the fifth century through the so-called Soph-
that were propagated by what Plato and Theophrastus call
ists. These wandering teachers exercised a great fascination
Orpheotelestai, “Initiators of Orpheus.” These wandering
on the Greek jeunesse dorée, and their influence can hardly
priests and priestesses apparently initiated people, men and,
be exaggerated. Among them, Prodicus from the island of
it seems, especially women, against payment into small cultic
Keos introduced a completely new view about the gods by
groups that practiced the Dionysiac ecstasy but presented
claiming that “primitive man, [out of admiration, deified]
their views under the aegis of Orpheus, who at the time was
the fruits of the earth and virtually everything that contribut-
the most famous Greek singer. Orphism presented an origin
ed to his subsistence.” In other words, the gods had not been
of humankind, whereas traditionally the Greeks had very few
there all along as immortal beings, but they were the product
anthropogonic myths. It also had developed a view of an at-
of human imagination. Protagoras of Abdera even went fur-
tractive afterlife that had been absent so far in Greek religion
ther and stated that we cannot have any certain knowledge
and that eventually would influence Jewish and Christian
about the gods. It is not surprising that atheistic positions
ideas of the afterlife. Moreover, it developed the idea of a
now became debated in Athenian tragedy, even if preferen-
kind of “original sin” by stating that Dionysos had been mur-
tially through the mouth of young males, not sensible older
dered by the Titans, our ancestors. In order to atone for this
men.
murder the Orphics had to live a life of purity and to practice
With Plato these tendencies became part and parcel of
vegetarianism. Only in this way they would be acceptable to
the enlightened Greeks. He rejected the teachings about the
Persephone.
gods by the poets and traditional piety. The divine adulteries,
their fantastic genealogies, the gods as the causes of our
Recent decades have given us not only a new papyrus
evils—all that is fit only for children and old women, accord-
with a commentary on an Orphic cosmogony (the Derveni
ing to Plato. Equally, the thought that prayers or sacrifices
papyrus), but also a number of the so-called Orphic gold
could influence the gods without a corresponding proper
leaves, minute tablets that were, so to speak, passports to the
moral behavior is completely rejected. God is now pro-
underworld and taught the deceased how to behave when
claimed to be absolutely good, but also without lies, always
meeting Persephone. Unfortunately the literary evidence for
the same, without envy, omnipresent, that is, an intellectual-
the Bacchic mysteries is rather poor, and it remains virtually
ly satisfactory but bloodless being that is so much above us
impossible to reconstruct the rituals of these mysteries in any
that it is hard to speak about him with any certainty. In his
detail and with any certainty. It seems that we must reckon
Timaeus Plato even introduced a creator god, an idea totally
with a whole spectrum of local varieties, but unless new evi-
alien to traditional Greek religion. These ideas transformed
dence turns up we will remain groping in the dark for these
the ways people would think about religion. Greek rituals
Bacchic mysteries despite our increased knowledge of Or-
may still have been practiced for many a century, but the tra-
phism.
ditional views of Greek religion would never recover from
PHILOSOPHY. Philosophers started to question the tradition-
the attacks of the Greek philosophers.
al views of Greek religion from about 500 BCE. They give us
a valuable insider view of what intellectuals thought of the
BIBLIOGRAPHY
traditional myths, rituals, and cosmological and cosmogoni-
Walter Burkert, Greek Religion (Oxford, 1985) is a brilliant hand-
cal concepts. Xenophanes of Colophon (on the west coast of
book with excellent bibliographies but basically reflecting the
modern Turkey) no longer accepted tradition but propagat-
scholarly positions of the earlier 1970s. For later views and
ed “what is fitting.” He radically polemicized against the
bibliographies see Fritz Graf, “Griechische Religion,” in Ein-
leading poets Homer and Hesiod and questioned the anthro-
leitung in die griechische Philologie, edited by H. Nesselrath,
pomorphic form of the gods by pointing out that the Thra-
pp. 457–504 (Stuttgart and Leipzig, 1997); J. N. Bremmer,
Greek Religion, 2d ed. (Oxford, 1999); J. D. Mikalson, An-
cians and Ethiopians imagined their gods to look like them-
cient Greek Religion (Oxford, 2005). For a Forschungsgesch-
selves. He did not do away with the gods, though, but
ichte of Greek religion and some of its terminology see J. N.
already tried to reduce the number of gods by claiming “One
Bremmer, “‘Religion,’ ‘Ritual,’ and the Opposition ‘Sacred
god is greatest among god and men.” Misgivings about tradi-
vs. Profane,’” in Ansichten griechischer Rituale. Für Walter
tional polytheism were clearly in the air, since Orphism, ac-
Burkert, edited by F. Graf, pp. 9–32 (Stuttgart and Leipzig,
cording to the Derveni papyrus, stressed the position of
1998); Ricardo di Donato, Hierà (Pisa, 2001). For the older
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3686
GREEK RELIGION [FURTHER CONSIDERATIONS]
bibliography I refer to the above surveys, but in the following
Wege zur Genese griechischer Identität, edited by Ch. Ulf,
I concentrate on the most important publications since the
pp. 20–58 (Berlin, 1996); Robin Hägg, ed., Ancient Greek
mid-1990s although mentioning some authoritative studies
Hero Cult (Stockholm, 1999).
of the subjects discussed above.
Ritual: Many excellent studies in F. Graf, ed., Ansichten griechis-
Magic: Fritz Graf, Magic in the Ancient World (Cambridge, Mass.,
cher Rituale (Stuttgart and Leipzig, 1998).
1997); J. N. Bremmer, “The Birth of the Term ‘Magic,’”
Greek sacrifice: F. T. van Straten, Hierà kalá (Leiden, 1995); J.
Zeitschrift für Papyrologie und Epigraphik 126 (1999): 1–12.
N. Bremmer, “Modi di communicazione con il divino: la
Gender: U. Kron, “Priesthoods, Dedications, and Euergetism:
preghiera, la divinizazione e il sacrificio nella civiltà greca,”
What Part Did Religion Play in the Political and Social Sta-
in Noi e i Greci, vol. 1, edited by S. Settis, pp. 239–283
tus of Greek Women?,” in Religion and Power in the Ancient
(Turin, 1996); G. Ekroth, The Sacrificial Rituals of Greek
Greek World, edited by P. Hellström and B. Alroth,
Hero-Cults (Liège, 2002); Robin Hägg, ed., Greek Sacrificial
pp. 139–182 (Uppsala, 1996); M. Dillon, Girls and Women
Ritual, Olympian and Chthonian (Stockholm, 2004).
in Classical Greek Religion (London and New York, 2002).
Sanctuaries: Olivier de Cazanove and John Scheid, eds., Les bois
Local religion: Robert Parker, Athenian Religion (Oxford, 1996);
sacrées (Naples, 1993); N. Marinatos and Robin Hägg, eds.,
Massimo Osanna, Santuari e culti dell’Acaia antica (Naples,
Greek Sanctuaries: New Perspectives (London, 1993); S. Al-
1996); Robin Hägg, ed., Peloponnesian Sanctuaries and Cults
cock and R. Osborne, eds., Placing the Gods: Sanctuaries and
(Stockholm, 2002); K. Sporn, Heiligtümer und Kulte Kretas
Sacred Places in Ancient Greece (Oxford, 1994); Francois de
in klassischer und hellenistischer Zeit (Heidelberg, 2002).
Polignac, Cults, Territory, and the Origin of the Greek City
Purity and pollution: Robert Parker, Miasma (Oxford, 1983).
State (Chicago, 1995); Walter Burkert, “Greek Temple
Builders: Who, Where and Why?,” in The Role of Religion in
Death and the afterlife: Christine Sourvinou-Inwood, “Reading”
the Early Greek Polis, edited by Robin Hägg, pp. 31–45
Greek Death (Oxford, 1995); S. I. Johnston, Restless Dead
(Stockholm, 1996).
(Berkeley, Los Angeles, and London, 1999); J. N. Bremmer,
The Rise and Fall of the Afterlife (London and New York,
Divination and oracles: J. N. Bremmer, “Prophets, Seers, and Pol-
2002).
itics in Greece, Israel, and Early Modern Europe,” Numen
40 (1993): 150–183; Robert Parker, “Greek States and
Gods: Luise Brut-Zaidman, Le commerce des dieux (Paris, 2001);
Greek Oracles,” in Oxford Readings in Greek Religion, edited
C. Scheffer, “Gods on Athenian Vases: Their Function in the
by Richard Buxton, pp. 76–108 (Oxford, 2000).
Archaic and Classical Periods,” in Ceramics in Context, edited
by L. Brut-Zaidman, pp. 127–137 (Stockholm, 2001).
Statues: A. A. Donahue, “The Greek Images of the Gods: Consid-
erations on Terminology and Methodology,” Hephaistos 15
Zeus: K. Arafat, Classical Zeus (Oxford, 1990).
(1997): 31–45; T. S. Scheer, Die Gottheit und ihr Bild (Mu-
Hera: Juliette de La Genière, ed., Héra. Images, espaces, cultes (Na-
nich, 2000).
ples, 1997).
Votives: F. T. van Straten, “Votives and Votaries in Greek Sanctu-
Athena: Jennifer Neils, ed., Worshipping Athena (Madison, Wis.,
aries,” in Le sacrifice dans l’antiquité, edited by O. Reverdin
1996); D. Geagan, “Who Was Athena?,” in Religion in the
and B. Grange, pp. 247–284 (Geneva, 1981); B. Forsén, Gr-
Ancient World, edited by M. Dillon, pp. 145–163 (Amster-
iechische Gliederweihungen (Helsinki, 1996).
dam, 1996).
Prayer: Simon Pulleyn, Prayer in Greek Religion (Oxford, 1997);
Apollo: J. Solomon, ed., Apollo: Origins and Influences (Tucson,
T. S. Scheer, “Die Götter anrufen: Die Kontaktaufnahme
1994); R. Capodicasa, “Apollo medico fra Grecia e Roma,”
zwischen Mensch und Gottheit in der griechischen Antike,”
Atene e Roma 48 (2003): 17–33; R. S. P. Beekes, “The Ori-
in Gebet und Fluch, Zeichen und Traum, edited by K. Broder-
gin of Apollo,” Journal of Ancient Near Eastern Religions 3
sen, pp. 31–56 (Münster, 2001).
(2003): 1–21.
Festivals: F. Graf, “Griechische Religion,” in Einleitung in die gr-
Artemis: Sarah G. Cole, Landscapes, Gender, and Ritual Space
iechische Philologie, edited by H. Nesselrath, pp. 483–490
(Berkeley, Los Angeles, and London, 2004).
(Stuttgart and Leipzig, 1997) (excellent survey of the various
Poseidon: J. N. Bremmer, “‘Effigies Dei’ in Ancient Greece: Po-
types of festivals); J. N. Bremmer, Greek Religion, 2d ed.
seidon,” in Effigies Dei, edited by D. van der Plas, pp. 35–41
(Oxford, 1999), pp. 44–50; the calendar, C. Trümpy, Unter-
(Leiden, 1987).
suchungen zu den altgriechischen Monatsnamen und Monats-
folgen (Heidelberg, 1997); for the Thesmophoria, H. S. Ver-
Dionysos: Many studies by Albert Henrichs, in particular
snel, Transition and Reversal in Myth and Ritual (Leiden,
“Changing Dionysiac Identities,” in Jewish and Christian
1993), pp. 228–288; Kevin Clinton, “The Thesmophorion
Self-Definition, vol. 3, edited by B. F. Meyer and E. P. Sand-
in Central Athens and the Celebration of the Thesmophoria
ers, pp. 1–22, 183–189 (London, 1982).
in Attica,” in The Role of Religion in the Early Greek Polis, ed-
Demeter: S. G. Cole, “Demeter in the Ancient Greek City and
ited by R. Hägg, pp. 111–125 (Stockholm, 1996).
Its Countryside,” in Placing the Gods: Sanctuaries and Sacred
Mysteries: Walter Burkert, Ancient Mystery Cults (Cambridge,
Places in Ancient Greece, edited by S. Alcock and R. Osborne,
Mass., and London, 1987); on Eleusis, Kevin Clinton, Myth
pp. 199–216 (Oxford, 1994).
and Cult: The Iconography of the Eleusinian Mysteries (Stock-
Heroes: Carla Antonaccio, The Archaeology of Ancestors (Lanham,
holm, 1992); Paolo Scarpi, Le religioni dei misteri, 2 vols.
Md., 1995); J. Larson, Greek Heroine Cults (Madison, Wis.,
(Milan, 2002). The best introduction to Orphism is Robert
1995); G. Lorenz, “Die griechische Heroenvorstellung in
Parker, “Early Orphism,” in The Greek World, edited by A.
früharchaischer Zeit zwischen Tradition und Neuerung,” in
Powell, pp. 483–510 (London and New York, 1995); Chris-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GREGORY I
3687
toph Riedweg, “Initiation—Tod—Unterwelt,” in Ansichten
but was captured after three days and brought back. Gregory
griechischer Rituale. Für Walter Burkert, edited by F. Graf,
always lamented the imposition of this heavy burden, which
pp. 359–398 (Stuttgart and Leipzig, 1998) (best edition of
deprived him of his “beloved solitude,” but he continued to
the gold leaves); Richard Janko, “The Derveni Papyrus: An
view himself as a monk and aimed to set up his household,
Interim Text,” Zeitschrift für Papyrologie und Epigraphik 141
as at Constantinople, in the form of a small community
(2002): 1–62; note also the many studies of Alberto Bernabé,
made up of monks and clerics who would live together and
who is preparing a new edition of the Orphic fragments
share all things in common.
(Munich, 2005).
JAN N. BREMMER (2005)
The fourteen years of Gregory’s pontificate (590–604)
are well documented, particularly on the strength of his cor-
respondence, which depicts a man who showed a superb
command of estate and personnel management and from
GREGORY I (c. 540–604), called the Great, was bishop
whom emanated good sense, moderation, and tact, allied to
of Rome from 590 until his death, and one of the most re-
shrewd, businesslike efficiency. He was fully conversant with
markable figures to occupy the Roman see. Gregory was
the laws of the imperial code but could temper them with
born into a landowning, aristocratic Roman family; he was
goodwill and humanity. He exhibited a firmness allied to
related to popes Agapetus I (r. 535–536) and Felix III (r.
fairness that was in the best Roman tradition. These qualities
483–492). There is no direct evidence about his early life and
were constantly at play in Gregory’s attempts to introduce
education, but his correspondence, the main historical
greater order and efficiency into the administration of the
source, suggests that he received sound legal training and ac-
patrimony of Peter (the possessions held by the church of
quired wide experience in the management of landed estates.
Rome not only in Italy and Sicily but also in Gaul, Africa,
Gregory’s own testimony relates that he spent some years in
and elsewhere), and in his handling of the affairs of dioceses
a public career as prefect of the city of Rome. Although one
and monasteries, and ecclesiastical disputes of all kinds. The
must assume that his education brought him into contact
correspondence also gives rise to the impression that in be-
with Latin classical authors, there are few echoes of their
coming bishop of Rome Gregory was in fact assuming again
works in Gregory’s writings; in this he was very different
some of the duties of the prefect of Rome, concerning him-
from Jerome and Augustine. What is known about his ori-
self with food and water supplies, appointing commanders
gins suggests a pious family background in which Christian
and paying for troops, and taking a leading role in negotiat-
authors and values prevailed.
ing truces and treaties with the threatening Lombard invad-
During his term as prefect he apparently felt called to
ers. Although there had been previous occasions when popes
become a more perfect Christian by embracing the monastic
assumed leadership of the city of Rome, particularly in crisis,
life. He speaks of having delayed his “conversion” for a long
Gregory’s pontificate is the first and best example of ecclesi-
time. When the decision was finally made—probably after
astical authority replacing, throughout the machinery of gov-
his father’s death—he established a monastery dedicated to
ernment, the political power of a declining state.
Saint Andrew in his paternal home, where he gathered a
Here and there in his letters a note of rigor and acerbity
community and appointed an abbot, and where he himself
emerges perhaps native to the Roman patrician and profes-
lived, by his own choice, as a monk. Despite the traditional
sional administrator, but for the most part these elements
view that Gregory was a Benedictine monk, it is by no means
were held in check by Gregory’s reverence for the gospel
certain that the rule of Saint Benedict governed the life of
teaching of humility and charity, in whose light he constant-
this new monastic house.
ly examined and formed his own conduct. His preoccupa-
Gregory’s skills as administrator and negotiator were too
tion with saving souls and helping the poor is ever present.
widely known to be eclipsed by his entry into seclusion. Pela-
John the Deacon, Gregory’s biographer, refers to a “very
gius II was no sooner elected bishop of Rome (r. 579–590)
large papyrus volume” (the first of its kind to be drawn up
than he summoned Gregory from his monastery, ordained
by a bishop of Rome), in which Gregory, with his usual effi-
him deacon, and sent him as papal representative (apocris-
ciency, caused all pensions, rent reductions, subsidies, and
iarius) to Constantinople. Gregory apparently accepted this
charitable outlays to be recorded so that none would be for-
mission on the condition that he could take monks from
gotten or overlooked in future years. Gregory’s concern for
Saint Andrew’s with him and set up a quasi-monastic house-
the good of souls likewise appeared in missionary activities
hold in the imperial city. Gregory remained in the East until
directed toward heretics or pagans, the most noteworthy
about 586, when he returned to Rome to resume his monas-
being his sending, in 596 and 601, groups of monks from
tic life and to assist and advise Pelagius II, even drafting some
his own monastery, under the leadership of Augustine, to
of the pope’s later letters.
evangelize the Anglo-Saxons.
Without much delay, and without waiting for the impe-
Despite the incessant preoccupations of his years as
rial consent, the Senate, clergy, and populace elected Gregory
bishop of Rome, and despite a debilitating malady that seems
bishop of Rome after Pelagius’s death in 590. Later tradition
to have afflicted him for years, Gregory consistently found
maintained that Gregory fled the city to avoid this burden
time to pursue the activity that lay nearest his heart, namely,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3688
GREGORY I
to study and interpret holy scripture for the group of close
dria, it was his duty to remonstrate, “but when fault does not
associates with whom he lived, in an effort to bring out its
intervene, we [bishops] are all equal by reason of humility.”
hidden meaning as a guide for moral life. Gregory had begun
Gregory was tireless in underlining the danger of pride and
such a discourse, on the Book of Job, during his stay at Con-
the need for humility in those who govern the church. For
stantinople. In the period between his return to Rome from
this reason, he rejected the title of ecumenical patriarch, not
the East (586) and his election as bishop (590), he reorga-
only when applied to the patriarch of Constantinople but
nized these spontaneous discourses into book form. The re-
also for himself. Ecumenical means universal, and he who is
sult was the vast Magna moralia in Job, a work in thirty-five
universal has no rivals in rank; on that level, others have no
books divided into six codices, which had a lasting influence
standing. Therefore, he wrote to his friend Eulogius, patri-
on the whole Middle Ages. During the first years of his pon-
arch of Alexandria, “you deny your own standing as bishop
tificate he discoursed in church and before the people not
when you assert that I am universal as bishop and pope.” On
only on the gospel lessons of the day but also on the opening
the level of custom and usage, including liturgical usage,
and final chapters of Ezekiel, chapters that seemed particular-
Gregory did not believe that the Roman see held any monop-
ly relevant in those grim years when events seemed to presage
oly of good things. It is here that he contrasts most markedly
the end of the world. However, he found talking to a large
with his predecessor Innocent I, who maintained that all the
audience in church a trying experience that overtaxed his
churches in the West needed to follow Roman usage. Grego-
health. After his first years as pope he gave up the practice,
ry’s legal training had familiarized him with customary law,
but continued to discourse to a smaller group of intimates.
and he had observed that good things might be found every-
He himself listed the books on which he spoke: Proverbs,
where. “We should love places because of the good things
Song of Songs, the books of the prophets, Kings, and the Hep-
they possess and not things because of the places from which
tateuch. Only the commentary on 1 Kings and two homilies
they come,” he wrote to Augustine of Canterbury in his so-
on Song of Songs are extant.
called Libellus responsionum, urging him to borrow liturgical
usages from Gaul as well as from his native Rome for the
In addition to his scriptural works and his letters, Greg-
newly converted Anglo-Saxons. Such a statement fitted into
ory also wrote a book of dialogues (between himself and his
Gregory’s larger view that claims to monopoly were detri-
deacon Peter), recounting the miracles performed through
mental to charity, which was fostered by diversity and inter-
God’s power in Italy in his own time. The aim of this work
change. Diversity on the level of custom was allowable and
was to revive the religious faith of the Roman people, beset
even desirable, as long as unity was always maintained in
at that time by war, plague, and famine. The second book
Christian faith. The medieval papacy would have evolved
of the Dialogues is devoted entirely to one figure, Benedict,
very differently if Gregory’s precepts in these matters had
the founder of Monte Cassino and author of the Benedictine
prevailed.
rule; it embodies the earliest traditions about Benedict, in-
cluding stories gathered by Gregory from Benedict’s own dis-
It is now recognized that Gregory the Great had rela-
ciples.
tively little to do with the sacramentary or with the chant
that still bears his name. He unquestionably composed cer-
His Regula pastoralis (Pastoral rule), probably the best
tain prayers and prefaces that eventually found their way into
known and most used of Gregory’s works in the Middle
the Roman sacramentary, but these are limited in number,
Ages, was the first work of his pontificate. No sooner had he
a total of 82 out of 927 formulas. The liturgical traditions
been consecrated in 590 than he set about constructing a
associated with Gregory’s name go back to Carolingian times
standard of conduct for the ideal shepherd of souls. In this
and derive from Gregory II rather than Gregory the Great.
one can perhaps perceive an attempt to redefine his own in-
sights as a skilled administrator and negotiator on a level
higher than that of practical affairs; that is, on a universal,
BIBLIOGRAPHY
spiritual plane. Gregory always maintained that if bishops
The collected works in Patrologia Latina, edited by J.-P. Migne,
lived up to their true ideal the church of Christ, spread
vols. 75–79 (Paris, 1849–1878), reproduce the Maurist edi-
throughout the world, would prosper. In writing the Regula
tion of 1704. Dag Norberg’s new edition of Gregory’s Regis-
pastoralis he sought to instruct himself as well as others.
ter of Letters, S. Gregorii Magni registrum epistularum, in
Corpus Christianorum, Series Latina, vols. 140 and 140A
As the years of his pontificate proceeded, Gregory con-
(Turnhout, Belgium, 1982), provides the most dependable
tinued to reflect on the implications of his position as bishop
Latin text, superseding Gregorii I Papae registrum episto-
of Rome, a see that claimed preeminence in the church over
larum, in the Monumenta Germaniae Historica, Epistolae,
all other sees, including those that were also patriarchal. Here
vols. 1 and 2 (Berlin, 1887–1899); nevertheless, the Monu-
menta edition remains indispensable by reason of its elucida-
he reached views that differ markedly from those that later
tory notes. Norberg has established a new order for the let-
formed the traditional papal attitude. Gregory sought to
ters, so their numbers in his edition do not necessarily
limit the Roman claim to what he considered its essential ele-
coincide with those of the Monumenta; he provides a concor-
ments. He believed that a supreme authority was needed in
dance. A new edition of the Moralia in Iob by Marci Adriaen
the church, but only so that things might be put right if they
can be found in Corpus Christianorum, Series Latina, vols.
went wrong; if simony were practiced in Gaul or in Alexan-
143 and 143A (Turnhout, Belgium, 1979). For fragments
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GREGORY VII
3689
of the homilies on the Song of Songs and the commentary on
dict, Gregory, Bede and Others (London, 1977). On Gregory’s
1 Kings, see volume 144 in the same series, Sancti Gregorii
authorship of some liturgical formulas, see Henry Ash-
Magni expositiones, edited by Patricius Verbraken (Turnhout,
worth’s “The Liturgical Prayers of St. Gregory the Great,”
Belgium, 1963). The Dialogues were edited by Umberto
Traditio 15 (1959): 107–161.
Moricca in Gregorii Magni dialogi (Rome, 1924), but with
Gregory was the only pope to win the admiration, even the affec-
a text long recognized to be unsatisfactory. The most useful
tion, of some Protestant reformers; see the references in L.
edition, comprising Latin text, French translation, introduc-
K. Little’s “Calvin’s Appreciation of Gregory the Great,”
tion, and notes is by Adalbert De Vogüé, Dialogues: Grégoire
Harvard Theological Review 56 (April 1963): 145–157, and
le Grand, in Sources chrétiennes, vols. 251, 260, and 265
my “Gregory the Great and the Theme of Authority,” in
(Paris, 1978–1980); to the long bibliography on the Dia-
Benedict, Gregory, Bede and Others (cited above).
logues should be added an important article by Pierre Bog-
lioni, “Miracle et nature chez Grégoire le Grand,” Cahiers
PAUL MEYVAERT (1987)
d’études médiévales (Montreal) 1 (1974): 11–102. The best
English translation of the Dialogues is Odo John Zimmer-
man’s Saint Gregory the Great: Dialogues (New York, 1959).
The earliest biographies of Gregory date from Carolingian
GREGORY VII (Hildebrand, c. 1020–1085), pope of
times: The Earliest Life of Gregory the Great, by an Anonymous
the Roman Catholic Church (1073–1085). The facts of Hil-
Monk of Whitby, edited by Bertram Colgrave (Lawrence,
Kans., 1968); the life of Gregory by Paul the Deacon in H.
debrand’s youth and education are hazy. He was born in
Grisar’s “Die Gregorbiographie des Paulus Diaconus in ihrer
Tuscany, perhaps at Soana, at an undetermined date: c.1015
ursprünglichen Gestalt, nach italienischen Handschriften,”
according to Cowdrey; Blumenthal says 1020/1025. He
Zeitschrift für katolische Theologie 11 (1887): 158–173; and
went to Rome early in his life and became a professed reli-
that by John the Deacon, in Patrologia Latina, vol. 75, cited
gious. The tradition that Hildebrand was a monk, perhaps
above. These and other early accounts of Gregory’s life, in-
at the Benedictine house of Santa Maria del Priorato on the
cluding those of the Liber Pontificalis and Bede’s Ecclesiastical
Aventine, is strong, although recently Blumenthal suggested
History (2.1), present only those facts that can be found in
that he was instead a regular canon. For a time he was a stu-
Gregory’s works or correspondence, which remain the pri-
dent of the learned and exiled Bishop Laurentius of Amalfi,
mary sources.
and also was active in the service of Pope Gregory VI (1045–
A good overall study of Gregory has yet to be written. F. H. Dud-
1046), with whom he had a familial connection. In January
den’s Gregory the Great, 2 vols. (London, 1905), is recog-
1047, Hildebrand accompanied this pontiff into exile in
nized to be outdated. The two long chapters (4 and 5) in
Germany, after Gregory’s deposition by Emperor Henry III
Erich Caspar’s Geschichte des Papsttums, vol. 2 (Tübingen,
and the Synod of Sutri (December 1046). That exile is the
1933), retain much value but stand in need of additions and
first precisely datable event in the future pope’s life. A later
corrections. Claude Dagens’s Saint Grégoire le Grand: Cul-
tradition that Hildebrand became a monk at Cluny almost
ture et expérience chrétiennes (Paris, 1977) is a long, diffuse
work, seeking mainly to explore Gregory as a spiritual writer,
certainly is erroneous, although he may well have stayed in
and often lacking historical perspective; see the review by
that house for a time before his return south. That return oc-
Robert A. Markus in Journal of Ecclesiastical History 29 (April
curred in the company of Bishop Bruno of Toul, who in
1978): 203–205. Jeffrey Richards’s Consul of God: The Life
1049 journeyed to Rome to become Pope Leo IX (1049–
and Times of Gregory the Great (London, 1980) gives an ex-
1054).
cellent picture, drawn from the correspondence, of Gregory’s
activity as bishop of Rome but does not deal adequately with
Leo’s pontificate is generally considered to mark the
his other writings and thought.
emergence of a reform movement centered on Rome and
which became predominant among other initiatives for re-
The view that there was little originality in Gregory’s spiritual
newal in the eleventh-century church. Pope Leo brought to
teaching has been dispelled by numerous recent studies. A pi-
oneer effort is Michael Frickel’s Deus totus ubique simul: Un-
Rome a group of reform-minded churchmen from both Italy
tersuchungen zur allgemein Gottgegenwart im Rahmen der Got-
and the north, and Hildebrand’s career developed in con-
teslehre Gregors des Grossen (Freiburg, 1956), which
junction with important individuals such as Peter Damian
demonstrates that Gregory’s special vocabulary could pro-
and Humbert of Moyenmoutier. He was designated by Leo
vide a key to his thought; his temperament was introspective
as abbot and rector of the Benedictine house of San Paulo
by nature, and his originality lies mainly in exploring the in-
fuori le Mura, and his importance in the evolving adminis-
ward dimensions of Christian behavior. For Gregory’s mo-
trative operations of the church is seen in his appointment
tives in sending missionaries to England, see Robert A.
several times in the 1050s as a papal legate north of the Alps.
Markus’s “Gregory the Great and a Papal Missionary Strate-
During one such legation, in 1054 in France, Hildebrand
gy,” Studies in Church History (Cambridge U.K.) 6 (1970):
presided over a synod at Tours that considered the question
29–38, and “Gregory the Great’s Europe,” Transactions of the
Royal Historical Society, 5th series 31 (1981): 21–36. On the
of the eucharistic views of Berengar of Tours, whose career
authenticity of the Libellus responsionum connected with this
would stretch into the 1070s and who would be called to
mission, see my essays “Diversity within Unity, a Gregorian
Rome during Gregory’s pontificate for an examination of his
Theme,” and “Bede’s Text of the Libellus responsionum of
teachings. It would be a mistake to view Hildebrand as the
Gregory the Great to Augustine of Canterbury,” in my Bene-
chief papal adviser at this juncture, but with appointment 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
3690
GREGORY VII
archdeacon under Nicholas II (1059–1061), and with the
Reform of the church in general and increased visibility
death of Humbert and the election of Alexander II in 1061,
and power for the Roman church occurred side by side. This
his importance grew. During Alexander’s long reign he has
new perception of Roman authority was not, however, the
been considered, perhaps with only slight exaggeration, as
invention of eleventh-century thinkers. The dossiers of
the power behind the papal throne.
claims, traditions, and incidents on which Roman leadership
rested reach as far into the past as the New Testament and
Alexander II died on April 21, 1073. During the cere-
the so-called Petrine passages (Mt. 16:13–19). Popes such as
mony for his burial Hildebrand was acclaimed by the Roman
Leo I, Gelasius I, and Gregory I were pivotal figures in antiq-
populace as Alexander’s successor. That public display was
uity who advanced claims that contributed to the special sta-
at variance with the terms of the well-known decree of Pope
tus of the Roman church and its bishop; and in the ninth
Nicholas II (1059), which placed the choice of a pope essen-
century Pope Nicholas I was a vigorous proponent of those
tially in the hands of the cardinal bishops. In the spring of
claims and that status. Yet in the eleventh century from the
1073 public acclaim preceded selection by the cardinals, and
reign of Leo IX onward the uniqueness and the authority of
this variance with the decree of 1059 later opened Hilde-
Rome was stressed increasingly and with new vigor. As the
brand to the charge that his elevation to the papacy was ille-
reformers, now in control of the papal office, sought to pro-
gitimate. He chose the papal name Gregory, probably in
mote their aims, the prestige and potential of the Roman
honor both of Gregory I, one of the fathers of Latin Chris-
church became a vehicle for this strategy. As the reform prog-
tianity and a venerable monastic pope, and of his relative and
ressed the theoretical authority believed for centuries to be
onetime patron, Gregory VI. Gregory’s consecration as bish-
vested in the Roman church became increasingly real, and
op of Rome was on June 30, 1073, a date carefully selected
attention was given in practice as well as theory to the rights
for it is the feast day of the two great saints of the Roman
and powers of Rome, its clergy, and its bishop.
church, Peter and Paul.
Such was the general situation confronting Gregory VII
The significance of Gregory VII’s twelve-year reign
at the beginning of his reign. Given his long association with
must be assessed within the framework of the reforming
papal reform, it was to be expected that the initiatives for pu-
movements underway at the time throughout Latin Chris-
rity in the church would continue. Yet these policies, along
tendom. For decades sensitive churchmen had criticized
with the pope’s strong personality and intense devotion to
abuses in religious structure and administration. Chief
the Roman church, were on a collision course with events
among those problems was simony, the gaining of an ecclesi-
growing out of the final years of the pontificate of Alexander
astical office by means of payment rather than according to
II. King Henry IV of Germany, having reached maturity,
canonical norms. Various circles of ecclesiastical reform in
was determined to exercise control over affairs within his
the eleventh century were also adamant in condemning sexu-
sphere of influence. At issue specifically were claims to au-
al incontinence among the higher orders of the clergy. The
thority in both secular and church matters in important cities
offensive against simony and clerical sexual activity marked
in northern Italy, especially in Milan. Thus in the early
an effort to purify the hierarchy and the sacramental life of
1070s Henry supported one candidate for the archbishopric
the Latin church, and the notion of puritas ecclesiae (“purity
of that city while the papacy supported another. There were
of the church”) became a common reform theme.
two questions. Did Henry have a right to grant churches on
his own, to whomever he chose; and could Henry ignore di-
From the pontificate of Leo IX, however, and especially
rectives about ecclesiastical matters from the Roman church
from the reign of Nicholas II, the papacy was increasingly
and its bishop?
in a position of leadership in these efforts to purify the
church. Repeatedly, in papal letters, conciliar decrees, and
Historians are fortunate to possess from Gregory VII an
through legatine missions, the Roman church fostered re-
official papal register—a unique survival from the eleventh-
form, aiming particularly at eradicating the aforementioned
century papacy—in which the development of events and
abuses. It must be stressed, however, that these initiatives did
ideas often can be followed in detail. In the register, under
not involve merely administrative changes in the ecclesiasti-
March, 1075, appears a series of twenty-seven epigrammatic
cal structure. The theological and practical importance of the
statements that were drafted by Gregory and his advisers (the
changes being sought reached deep into the religious mental-
so-called Dictatus papae), perhaps as titles for a new canon
ity of Latin Christendom, and had profound effects on eu-
law collection where texts would have been presented from
charistic theology, the cult of saints, attitudes toward proper-
the canonical tradition to support each proposition. The un-
ty, and the role of laymen in designating appointees to
usual form and special content of these texts has received
church positions. Concomitant with this evolving reform ac-
much attention from historians, for contained therein is a se-
tivity an ecclesiology developed centering on the Roman see.
ries of strong statements asserting the superiority of ecclesias-
The roots of this doctrine reach deep into the history of Latin
tical over secular authority, and the absolute authority of the
Christianity, but from the mid-eleventh century the poten-
Roman church and its bishop over all churches and bishops.
tial and the prerogatives of the Roman church gained in-
Here is found, for example, in number 12, the statement that
creased attention as reform progressed.
the pope may depose emperors, and in number 27, the claim
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GREGORY VII
3691
that the pope may absolve subjects of unjust men from their
from the perspective of his fascination with and devotion to
fealty. From the outset of his reign, therefore, Gregory VII
the Roman church and the papal office. From that perspec-
was concerned not only to advance policies to bring about
tive the events and the turmoil of his reign appear as outcrop-
puritas ecclesiae, but also, as part of a larger plan, he as eager
pings of a desire to continue the reforming work of his pre-
to define and command obedience to the policies of the
decessors, and also to establish what he deemed to be the
Roman church.
proper order of Christian society. Using the Bible as his chief
source, and infused with religious fervor and a deep sense of
The decade between 1075 and Gregory’s death in 1085
Roman ecclesiastical possibilities, Gregory believed that the
saw the genesis and development of a church-state controver-
whole world ought to be subject to the leadership of the
sy between Gregory and Henry that would outlive both lead-
church, for churchmen were responsible for promoting
ers. Issues arose about the interaction of the ecclesiastical and
secular realms of society that would be debated for centuries.
the kingdom of God on earth and would be held accountable
Gregory maintained that he had the right to remove Henry’s
for human souls on judgment day. It was Peter, the founder
kingship and to release his subjects from their oaths of loyal-
of the Roman church, to whom Christ gave supreme author-
ty. Henry, on the other hand, claimed that he reigned by the
ity over the terrestrial church, and thus Peter’s vicar, the bish-
grace of God, not of the pope, and that he possessed the right
op of Rome, was to be obeyed as the supreme authority on
to control the churches in his realm. Because of what he saw
earth and must be prime in both ecclesiastical and secular do-
as the indefensible novelty of Gregory’s positions he con-
mains. Both realms—the secular (regnum) and the religious
demned him as a “false monk” and usurper of the papal
(sacerdotium)—should attend to its own proper duties, but
throne. The battle extended beyond rhetoric and exchanges
by seeking to do God’s will under the headship of the church
of letters. In 1076 Gregory excommunicated Henry and for-
and ultimately under its chief bishop.
bade him to exercise his royal duties. After a period of com-
No less than laymen, Gregory expected churchmen to
plicated diplomatic maneuvering, however, in the early
be loyal devotees of Peter and his vicar. The papal office, fur-
1080s Henry invaded Italy, drove Gregory from Rome into
thermore, was an awesome responsibility. Gregory believed
Norman territory in the south, and installed in his place an-
that it was his divinely enjoined duty not only to protect the
other pontiff, the so-called antipope, Clement III (Archbish-
church from the stain of abuses such as simony, but also to
op Wibert of Ravenna). The controversy offers historians
free it from every distraction that would impede the perfor-
compelling vignettes such as the famous episode that oc-
mance of God’s work in the world. The desire for puritas
curred in January, 1077, at Canossa in northern Italy. At this
blended into a drive for the liberty of the church (liberts eccle-
crucial stage of the dispute Henry, beleaguered in both Ger-
siae). It often was necessary, consequently, to instruct and ad-
many and Italy, presented himself to Gregory as a penitent,
monish all sectors of society about their duties in the world,
parading barefoot in the snow to seek forgiveness from the
and about proper reverence for and obedience to Peter and
pope. After watching that performance from within the cas-
his successors. Gregory prohibited lay investiture, promoted
tle for three days, Gregory forgave Henry, and lifted the sen-
closer ties between Rome and outlying bishoprics and ab-
tence of excommunication (but probably did not intend to
beys, granted detailed powers to papal legates, stressed the
reinstate him as king). What political advantage was gained
need for liturgical harmony with Roman usages, ordered spe-
or lost on each side has been much debated, but Gregory’s
cial commissions to investigate the eucharistic teachings of
action in forgiving Henry was the response of a pastor of
Berengar of Tours, and even proposed early in his pontificate
souls and not of a power-crazed fanatic.
an expedition to the East to beat back the infidel from the
The prohibitions that Gregory formulated against lay-
Holy Land. Gregory was neither a canon lawyer nor a theolo-
men investing individuals with bishoprics and abbeys have
gian, although he was concerned with both areas, and he in-
been accorded a great deal of attention. In fact, the term In-
sisted that he was not an innovator. Perhaps he can be under-
vestiture Conflict has sometimes awkwardly been applied to
stood best as an eleventh-century monk (or regular canon)
the entire eleventh-century papal reform movement, with
of intense devotion and energy. He sought to realize what
the controversy about lay investiture, especially in the Ger-
he considered a properly structured Christian society and
man empire, wrongly seen as the cornerstone of Gregory’s
used the expanded authority of the papal office in his efforts.
policy to promote reform. Gregory’s decree against lay inves-
At the time of his death in 1085 Gregory was an exile
titure was probably issued first not in 1075 as once was as-
from Rome, driven to southern Italy by Henry IV and an
sumed but only in 1078. The transmission of these rulings
irate Roman populace. He had been deserted by many of his
must be closely examined to determine the extent to which
supporters, and many reforming churchmen thought he had
they were promulgated and applicable at different points
gone too far in his battle with Henry. By reason of that bat-
throughout Latin Christendom, for the programs of the re-
tle, however, and because of his powerful personality, Grego-
formers were not disseminated everywhere in the same
ry’s name has been attached to the entire reform movement
manner.
of the age, and the term Gregorian Reform is well-known
An assessment of Gregory’s policies must be given with-
to those who study medieval history. Although his impor-
in the general history of the eleventh-century reform and
tance is undeniable, the extent to which the cause of 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
3692
GREGORY OF CYPRUS
reform was aided or hindered by his pontificate is a compli-
cians at the patriarchal school where he lectured on the Paul-
cated issue. Many twelfth-century writers remembered Pope
ine letters. As one of the more creative personalities of the
Urban II (1088–1099), not Gregory, as the great figure of
late thirteenth century, he was the very embodiment of the
the preceding age of reform. Even so, Urban forcefully ac-
Paleologian renaissance that synthesized a renewal of ascetic
knowledged himself to be a disciple of Gregory, although the
spirituality and classical learning.
extent to which Urban is a true “Gregorian” can be debated.
Upon his ascendancy to the patriarchate in 1283, Greg-
As decades passed Gregory would be cited less and less fre-
ory inherited the political and religious problems that had
quently by his successors and by canon lawyers, but the issues
been festering since the Fourth Crusade (1204) and the
that dominated his reign could not be ignored. Because of
Council of Lyons (1274). Under the aggressive unionist at-
the claims that Gregory made, particularly those detailing the
tempts of Emperor Michael VIII and Patriarch John XI Bec-
relation between secular and ecclesiastical authority, medi-
cus (r. 1275–1282), these issues became entangled with the
eval church-state relations had been fundamentally altered
filioque controversy.
and could never again be seen as had been the case prior to
1075.
The Synod of Blachernae (spring 1285) proved to be a
short-lived victory for Gregory in his efforts to reconcile the
BIBLIOGRAPHY
Arsenites (the hard-line conservatives) with the unionists.
Two new biographies of Gregory VII recently have appeared and
The importance of this synod, however, was, by way of its
are the starting point for all further study and bibliography:
condemnation of Beccus, its reaction to and rejection of the
H. E. J. Cowdrey, Pope Gregory VII, 1073–1085 (Oxford,
1274 Roman formulation. Gregory’s role was pivotal be-
1998), and Uta-Renate Blumenthal, Gregor VII. (Darmstadt,
cause of his synodal paper (Tome), which, however, was not
2001). The volumes of the journal Studi Gregoriani, edited
subsequently recognized for what it was—the definitive refu-
by G. B. Borino and others (Rome, 1947–), appear at irregu-
tation of Beccus’s theological innovation. Gregory’s subse-
lar intervals and contain scholarly articles about the Gregori-
quent writings (among them the Pittakion, which was ad-
an Age in many languages. Of special significance are the two
dressed to his benefactor and supporter, Andronicus II
volumes of papers from an international Congress held at Sa-
Palaeologus) constitute a defense of his stand against the
lerno in 1985, commemorating the 900th anniversary of
Gregory’s death in that city: vol. 13 (1989), and vol. 14
filioque.
(1991). The critical edition of Gregory’s register is by Erich
Gregory’s theological contribution offered an insightful
Caspar, Das Register Gregors VII, “Monumenta Germaniae
solution to the filioque debate. Rather than being one of pro-
historica, Epistolae selectae,” vol. 2 (Berlin, 1920–1923).
visional accommodation (Beccus) or of rigorous adherence
Many sections of the register, following Caspar’s edition,
have been translated by Ephraim Emerton, The Correspon-
to the formulations of Photios and Athanasius, his solution
dence of Pope Gregory VII (New York, 1932; reprint 1991).
worked out the implications of the Cappadocians and of
Emerton’s introduction, albeit dated, is still useful for discus-
John of Damascus on the procession of the Holy Spirit. For
sion of the diplomatic questions raised by the surviving copy
Gregory, it was not enough to accept the authenticity of a
of the register in the Vatican Archives, although much has
particular scriptural or patristic reference; its correct interpre-
been written on this issue in the past sixty years: see, for ex-
tation was essential as well.
ample, Hartmut Hoffmann’s “Zum Register und zu den
Briefen Papst Gregors VII.,” Deutsches Archiv 32 (1976):
Gregory addressed Photios’s thesis that the Spirit eter-
86–130. Emerton’s translation has been superseded by a
nally proceeds from the Father alone by raising the question
complete English translation of the register by H. E. J. Cow-
of the relationship of the Spirit and the Son outside of time,
drey, The Register of Pope Gregory VII, 1073–1085 (Oxford,
as expressed in the formula “through the Son.” His argument
2002). For those letters of Gregory which are not to be found
distinguishes between the essence and energies of God, or be-
in the register, see the edition and translation by Cowdrey,
tween God’s unknowability and his perceivable manifesta-
The Epistolae vagantes of Pope Gregory VII (Oxford, 1972);
tion in the world. By emphasizing the notion of energetic
and for the papal privileges issued by Gregory see Leo Santi-
revelation in Greek patristic thought, Gregory remained,
faller et al., Quellen und Forschungen zum Urkunden- und
Kanzleiwesen Papst Gregors VII., Studi e testi, vol. 190 (Vati-
indeed, in the mainstream of Byzantine apophatism and
can City, 1957).
also became the forerunner of fourteenth-century Palamite
theology.
ROBERT SOMERVILLE (1987 AND 2005)
The impact of Gregory’s insights on the Palamite syn-
thesis as well as his solution to the filioque debate is increas-
ingly recognized by scholars as being far more valuable and
GREGORY OF CYPRUS (1241–1290), known as
genuine than the theology of unionism. Unfortunately,
Gregory II, was a patriarch of Constantinople. Born in
Gregory’s contemporaries, unlike his successors, did not
Frankish-occupied Cyprus, Gregory traveled to Ephesus, Ni-
share the same sentiments toward their prelate. Even though
caea, and finally Constantinople, where he studied under
they tacitly accepted his orthodoxy, they insisted that he re-
Gregory Akropolites. His exceptional proclivity toward hu-
sign and solemnly removed his name from the hierarchical
manism gained for him a place in the select circle of academi-
list of the sunodikon. Was his self-imposed abdication 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
GREGORY OF DATEV
3693
the patriarchate the most prudent action to take against a
works with the intention of eventually manifesting the or-
small yet influential band of opponents? That he did so
thodoxy of the Armenian church against the unitive attempts
proves not his weakness but his pastoral sensitivity to the im-
of Rome. His most important theological tracts are Girk E
portance of healing the political divisions that had torn the
Hartsmants (Book of questions; 1397) and Oskep Eorik (Book
church during his lifetime.
of golden content; 1407). In these Gregory addresses himself
to such topics as the Holy Trinity, the divinity of Christ, and
BIBLIOGRAPHY
Christ’s birth, baptism, death, and resurrection. In Oskep
The published works of Gregory II can be found in Patrologia
Eorik, Gregory taught that rational examination can prove
Graeca, edited by J.-P. Migne, vol. 142 (Paris, 1865). Of
the existence of God without recourse to faith, because the
note is his autobiography, translated into French by William
existence of creatures implies the reality of the creator. In this
Lameere in La tradition manuscrite de la correspondance de
work he also formulated a profession of the Orthodox faith
Grégoire de Chypre (Brussels, 1937), pp. 176–191.
based on the creeds of the councils of Nicaea and Constanti-
The most definitive work on Gregory, with an extensive bibliogra-
nople and included the teachings of the Armenian church
phy, is Aristeides Papadakis’s Crisis in Byzantium: The Filio-
and its early fathers, especially Gregory the Illuminator (c.
que Controversy in the Patriarchate of Gregory II of Cyprus
239–c. 326). In continuous use, this credo is recited also dur-
1283–1289 (New York, 1983). For a critical approach to
ing ordination ceremonies by the ordinand.
Gregory’s analysis in light of Gregory Palamas (fourteenth
century) and Joseph Bryennios (fifteenth century), see
Criticizing Plato, Gregory taught in his About the Struc-
Dumitru Staniloae’s “Trinitarian Relations and the Life of
ture of Man that the spirit does not exist prior to the corpore-
the Church” (in Romanian), Ortodoxia (Bucharest) 16
al (body or matter) nor apart from it but issues concurrently
(1964): 503–525, reprinted in Theology and the Church
and works through the mechanisms that the corporeal pro-
(New York, 1980), pp. 11–44.
vides. There are different types of spirit—the vegetative, the
JOHN TRAVIS (1987)
animal, and the rational. Through the initiative of God, the
corporeal, whether body or matter, contains “formative
power” or spirit, which is immortal, and which has heat, mo-
tion, and action. According to Gregory, faith and science do
GREGORY OF DATEV (1346–1410), or, in Arme-
not exclude each other but belong properly to two different
nian, Grigor Tatevatsi, was a Christian theologian, philoso-
realms. Science is bereft of the means to consider the super-
pher, and saint of the Armenian church. Gregory of Datev
natural realm and by faith alone one cannot understand na-
was born in TEmkaberd, a city in the province of Vayots
ture. Knowledge of the natural world is acquired through
Dsor, in northeastern Armenia. At the age of fifteen, he en-
reason, training, and experience (by way of the five senses).
tered the Monastery of AprakunikE to study under the fa-
The rational spirit of humankind is like a clean parchment
mous philosopher and theologian Hovhannes of OrotEn
and receives whatever is impressed on it, whereas through
(1315–1388), with whom he remained for twenty-eight
God’s grace one can understand theological truths.
years. With his teacher, Gregory traveled in 1373 to Jerusa-
lem, where he was ordained a celibate priest. He received the
An industrious writer, Gregory produced twenty-eight
degree of doctor of the church in Erzinka (present-day Erzin-
volumes on biblical, liturgical, pastoral, theological, and
can, eastern Turkey) and in 1387 was elevated to the rank
philosophical topics. Most of his works have not had a com-
of supreme doctor of the church at the Monastery of
prehensive critical evaluation. Such a task would enhance the
AprakunikE. At the death of Hovhannes and upon his express
proper understanding of the beliefs of the Armenian church
wish, Gregory became the dean of the theological school,
through the writings of one of its most loyal sons.
which in 1390 moved to the Monastery of Datev.
In addition to classical Greek philosophy, biblical exege-
BIBLIOGRAPHY
sis, and both Greek and Latin patristic thought, Gregory’s
Works by Gregory
students were also introduced to music, calligraphy, and the
Girk E Hartsmants. Constantinople, 1729. Written in 1397, this
art of painting illuminated manuscripts. An erudite thinker,
work, composed of ten volumes of an encyclopedic nature,
Gregory knew Greek, Latin, and Arabic. He died at the
provides a comprehensive account of the beliefs of the Arme-
nian church. An excellent apologist, Gregory analyzes such
Monastery of Datev at the age of sixty-four and was buried
varied theological topics as creation, incarnation, resurrec-
there, where his tomb lies to this day. Venerated by following
tion, and eschatology.
generations as “Second Illuminator,” “eternally shining sun,”
“heavenly champion,” and “great teacher,” Gregory of Datev
Karozgirk E. Constantinople, 1741. This book of homilies was
completed in 1407. Both volumes together contain 344 ser-
dominated the thought and orientation of the Armenian
mons written partly in defense of the Armenian church
church in the fourteenth and fifteenth centuries as monk, au-
against the unitive attempts of the Roman church. As origi-
thor, educator, theologian, philosopher, scientist, orator,
nally intended, it is also an excellent textbook on homiletics.
apologist, painter, calligrapher, and polyglot.
Works about Gregory
Well versed in the scholastic manner of demonstration,
Khachikian, Levon S. XV Dari Hayeren Tseragreri Hishadakaran-
Gregory used syllogistic argumentation throughout his
ner, part A, 1401–1450. Yerevan, 1955–1967. This book 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
3694
GREGORY OF NAREK
cludes a reprint of the concise but authoritative account of
Gregory was and remains the mystic of the Armenian
the life of Gregory written probably by his pupil Matheos
church. Central to his mysticism is the belief in a cathartic
Joughayatsi (b. 1360). Included are facts of his early back-
process that ultimately would lead humankind to a reacquisi-
ground, education, influences, death, and burial.
tion of divine similitude, or the likeness of God. The mysti-
Krikorian, Mesrob K. “Grigory of TatEev: A Great Scholastic
cism espoused by Gregory is a uniquely human undertaking
Theologian and Philosopher.” In Hygazian Hyagitagan Han-
whereby humanity tries to encounter God. To meet the Al-
tes, vol. 9, edited by Yervant Kasouni, pp. 71–79. Beirut,
mighty, humanity must rid itself of transgressions. In order
1981. A short but informative article portraying Gregory as
to encounter God, who transcends all being and all knowl-
scholastic theologian and nominalist philosopher.
edge, it becomes necessary to renounce all sense gathered
Ormanian, MalDachia. Azgapatowm (1912–1927). 3 vols. Reprint,
through the workings of reason. This apophatic approach to
Beirut, 1959–1961. This history of the Armenian nation is
an extremely comprehensive study of the events and people
knowledge of God takes the form of negating all meaning
who shaped the orientation and theology of the Armenian
in order to emphasize the absolute unknowability of God.
church as well as the politics of the Armenian nation. Of par-
According to Gregory, God is incomprehensible, invisible,
ticular relevance to the study of Gregory are paragraphs
ineffable, beyond totality, unspeakable, unobservable, with-
1367, 1379, and 1397–1404.
out beginning, and without time.
AVAK ASADOURIAN (1987)
Gregory, however, also embraced the cataphatic ap-
proach to God by stressing God’s actions in history, which
manifest God’s love and concern for humankind. In the
GREGORY OF NAREK (c. 945–c. 1010), or, in Ar-
Commentary on the Song of Songs of Solomon, Gregory empha-
menian, Grigor Narekatsi, was a Christian mystic, poet, and
sizes the parallelism between the union of Yahveh with Israel
saint of the Armenian church. Gregory was born in the vil-
and the marriage of the incarnate Logos with the church. As
lage of Narek in the region of Vaspourakan (present-day
the Lord of compassion and mercy, the Christian God is dis-
Van, eastern Turkey). His father, Khosrov Antsevatsi, bishop
tinctly a God of action, that is, a living God. Gregory began
of the nearby province of AntsevatsikE, built a monastery,
all his prayers by declaring, “from the depth of heart, a con-
where Gregory obtained his elementary schooling. He con-
versation with God.”
tinued his education in the Monastery of Narek, where after
ordination he spent the remainder of his life.
BIBLIOGRAPHY
The rulers of the kingdom of Vaspourakan favored ties
Gregory’s Odes and Discourses are available in the original classical
with Byzantium. Consequently, the Monastery of Narek
Armenian in Tagher Yev Gantser, edited by Armine
trained its novices in the trivium and quadrivium, having in-
KEo¯shkerian (Yerevan, 1981). The Book of Lamentation can
corporated the syllabi used in the educational centers
be obtained in classical Armenian as Matean Oghbergowt Den
(Jerusalem, 1964). This work is also available in a bilingual
throughout the Eastern Christian empire. Thus Gregory was
edition, with Russian translation by Naum Grebnev and in-
well versed in Greek philosophy, especially in the thought
terlinear translations by Levon Mkrtchian and Margarita
of Plato, Aristotle, and the Neoplatonic school, which by the
Darbinian, as Madyan Voghbergoutian/Kniga skorbi (Yerevan,
tenth century had been clothed in Christian garb. Gregory
1977). Parts of the Book of Lamentation are also available in
was also well read in the Armenian church fathers of the
English translation by Mischa Kudian as Lamentations of
fourth through seventh centuries and was familiar with the
Narek: Mystic Soliloquies with God (London, 1977). See also
thought of Ignatius of Antioch, the Cappadocian fathers,
the complete French translation by Isaac Kéchichian, Le livre
and Chrysostom.
de prières (Paris, 1961). Gregory’s Commentary on the Song
of Songs of Solomon is published as Meknoutyoun Yerg Yergots
Gregory’s major work, the Book of Lamentation, popu-
Soghomoni (Beirut, 1963). For further discussion of Gregory,
larly known as Narek, is a prayer book still much venerated.
see MalDachia Ormanian’s Azgapatowm, 3 vols. (1912–1927;
In it the penitent is made aware of the total otherness of God
reprint, Beirut, 1959–1961), a comprehensive study of the
and of humanity’s utter dependence on God, who is the
Armenian church as well as the politics of the Armenian na-
source of all reality. The Book of Lamentation is an analysis
tion. Of particular relevance to Gregory are paragraphs 790,
of Gregory’s own spiritual progress, realized through a fun-
791, 793, 813, and 814.
damental knowledge of Christ and a radical knowledge of
AVAK ASADOURIAN (1987)
himself as sinner. The work also exhibits detailed knowledge
of the scriptures and familiarity with agriculture, architec-
ture, mathematics, astronomy, nautical art, and medicine.
Among his other literary achievements are twenty-one
GREGORY OF NAZIANZUS (c. 329–c. 391) was
hymns, or odes; four panegyrical orations, containing histor-
one of the Cappadocian fathers, known to Christian tradi-
ical accounts of the era; and ten discourses, actually spiritual
tion as “the Theologian” by virtue of his rhetorical erudition
songs, consisting of invocations and supplications. Of special
and the consummate skill with which he combated the per-
interest is the historical information these discourses contain
ceived heresies of those who in any way detracted from or
concerning the stratification of society during the times of
denied the validity of the established orthodoxy of his day.
Gregory.
One of those “heretics” was his own father, Gregory 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
GREGORY OF NAZIANZUS
3695
Elder, who in his youth had been a member of an obscure
many of his views were adopted) he retired to the contempla-
but apparently popular sect known as the Hypsistarii. But
tive life that he had so fervently desired from the beginning.
inasmuch as his father was later converted to orthodoxy and
But Gregory’s retirement years, as his extant letters
subsequently consecrated bishop, his son could say of him
clearly indicate, were far from idle. Chief among his concerns
that he was one whose “character anticipates their faith”
during this period of his life was yet another “heresy,” this
(Oration 18) and that he was “well grafted out of the wild
time authored by Apollinaris, bishop of Laodicea. In an at-
olive tree into the good one” (Or. 7). It was by his mother,
tempt to solve the question of how the Son of God (or
Nonna, however, that Gregory was to be most enduringly
Word) could become incarnate in the human Jesus, Apolli-
influenced, for it was she who, by her tears and by her
naris suggested that the Word (Gr., logos) took the place of
prayers, persuaded him to embrace the ascetic life. Gregory
Jesus’ mind (or rational faculty), thus ensuring the unity of
said of her, “Who had a greater love of virginity, though pa-
the incarnate person and also implying that everything Jesus
tient herself of the marriage bond?” (Or. 18). Gregory was
did or said could be attributed to divine authorship. Gregory,
one of three children; Gorgonia, his older sister (“One red
in three closely argued dogmatic letters (101, 102, 202),
tint was dear to her, the blush of modesty,” Or. 8), and a
called this a “mindless” Christology, insisting—again, out of
younger brother, Caesarius (“Neither by his fame [as a physi-
a concern for the need for salvation and for humanity’s ulti-
cian] nor by the luxury which surrounded him was his nobil-
mate goal of union with God—that “only that which is as-
ity of soul corrupted,” Or. 7), both predeceased Gregory.
sumed [i.e., by the Logos] can be saved.” It must be the
The funeral orations Gregory preached for his sister and
whole person, the mind included, that was assumed by the
brother remain classics of their genre, panegyrics of the most
Word at the time of the incarnation, if the whole person is
elaborate sort.
to be saved. If the whole person is not assumed, then salva-
Gregory’s education was undertaken at Cappadocian
tion itself is imperiled. Gregory’s powerful and incisive argu-
Caesarea, at Palestinian Caesarea, at Alexandria, and finally
ments won the day, and Apollinaris’s bold attempts to ex-
at Athens. Upon completion of these extensive studies, Greg-
plain the incomprehensible were condemned.
ory had hoped to retire to a life of contemplative solitude
If Gregory were to be remembered, within the relatively
(“with no contact with human affairs except when neces-
narrow confines of the history of doctrine, only as “the Theo-
sary,” Or. 2), but this desire was thwarted when his father,
logian,” and if he were understood solely as the defender of
now a bishop, ordained him priest and set him on the stormy
true faith against heretical encroachments, it would be doing
road of pastoral and ecclesiastical responsibilities. The “tyr-
him an injustice. As important as his Christological and
anny” he experienced at his father’s hand was repeated when
Trinitarian concepts were to the debates of his day, his more
his close friend Basil of Caesarea consecrated him suffragan
enduring (and often overlooked) significance may lie else-
bishop of the “exceptionally abominable and narrow little
where. Caught, as he was, between the desire for solitary re-
village” (Or. 10) of Sasima. Upon his father’s death, howev-
tirement (“For me the greatest business is to be free of busi-
er, Gregory returned to Nazianzus to pursue what he hoped
ness,” Epistle 49) and his vehement dislike of ecclesiastical
would be a quiet and undisturbed episcopate.
and political machinations (“For my part . . . my inclina-
This was not to be so. During the “heretical” emperor
tion is to avoid all assemblies of bishops, because I have never
Valens’s reign, the Arian party had gained strength, so Greg-
seen a council come to a good end or turn out to be a solu-
tion for evils,” Ep. 130), he nevertheless manifested in his
ory was (again reluctantly) persuaded to go to Constantino-
own person a delicate balance between a genuine concern for
ple, the capital city, and preach on behalf of the outnum-
his fellow Christians’ spiritual well-being and an intuitive
bered “orthodox.” Arius and his followers had called into
grasp of those divine mysteries that transcend logical or ratio-
question the eternal divinity of Christ (a dogma that the
nal boundaries. This balance is seen less in his exclusively
Council of Nicaea, in 325, had promulgated in direct oppo-
doctrinal discourses than in his poetry, for it is in the latter
sition to Arius), while others had denied the full divinity of
that one glimpses a sensitivity at once aesthetic and mystical.
the Holy Spirit. Such views offended Gregory deeply, so he
set out in a series of five long discourses, commonly known
While Gregory’s orations address theological issues with
as his Theological Orations (Or. 27–31), to articulate, with
precision and directness, his poems—many of them no less
both depth of learning and clarity of thought, what he be-
theological—are less rigid, more given to deep self-
lieved to be the true doctrine of the Trinity. The core of his
understanding and to a broad, inclusive generosity of spirit.
teaching consisted in his assertion that the salvation of hu-
Gregory may be one of the earliest Christian theologians to
mankind is possible only if the agents of that salvation (i.e.,
realize, instinctively, that poetry is a more appropriate medi-
Father, Son, and Holy Spirit) share fully in the divinity of
um for theological articulation than is prose, however well
the one godhead. Defending the so-called Nicene faith
ordered, systematic, and architectonic that prose might be.
against its Arian detractors, however, took its toll on Grego-
He would have delighted, one dares suppose, in the claim
ry, as did his other episcopal duties, including his unwilling
of the nineteenth-century Scottish poet John Campbell
participation in ecclesiastical politics. It is no surprise, then,
Shairp that “whenever we come face to face with truth then
that during the Council of Constantinople in 381 (where
poetry begins.” It is as if Gregory’s dogmatic discourses 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
3696
GREGORY OF NYSSA
true to his (albeit grudging) acceptance of the ecclesial re-
and saintly ascetic. Destined for an ecclesiastical career,
sponsibilities laid on him, whereas his poems gave voice to
Gregory was early made a lector in the church and was edu-
his capacity for a deep inner awareness of his relationship to
cated in the local schools at Caesarea, thus missing the op-
God, a relationship of which both his constancy in ascetic
portunity to study, as Basil had, at one or more of the great
discipline and his unending search after truth were genuine
cosmopolitan centers of learning. Nevertheless, Gregory de-
symbols. The balance, then, between theological precision in
cided in favor of marriage (with a woman named Theose-
the interests of orthodoxy and his poetic sensitivities was, for
beia) and the career of a professional rhetorician, which he
Gregory, perhaps more of a tension than a balance. Yet he
took up in earnest around 365.
had a vision of the future state in which the balance would
Gregory’s first known work was the treatise On Virgini-
be restored and the tension resolved. And this he could ex-
ty, which he wrote in defense of the ascetic life, apparently
press both poetically and theologically:
at the behest of Basil. Shortly after its composition, Basil,
No longer from afar will I behold the truth,
now the metropolitan bishop of Caesarea, found himself
As if in a mirror reflected on the water’s surface.
badly in need of episcopal allies in his struggle with the Arian
Rather, the truth itself will I see with eyes unveiled,
orthodoxy of the imperial court. Accordingly, he induced
The truth whose first and primary mark the Trinity is,
Gregory to be ordained bishop of Nyssa (371), a small town
God as One adored, a single light in tri-equal beams.
on the river Halys, some eighty miles northwest of Caesarea.
The job fit neither Gregory’s tastes nor his talents, but he car-
BIBLIOGRAPHY
ried on until a synod of Arian bishops, assembled at Nyssa
The most extensive collection of Gregory’s writings in English
in his absence, deposed him (376) on a charge of maladmin-
translation is to be found in Saint Cyril of Jerusalem, Saint
istration of funds.
Gregory Nazianzus, edited and translated by Charles Gordon
Browne and James Edward Swallow, in volume 7 (2d series)
The year 379, which saw both the death of Basil and
of “A Select Library of Nicene and Post-Nicene Fathers”
the accession of an anti-Arian, pro-Nicene emperor in the
(New York, 1894), which comprises but a small portion of
person of Theodosius I, marked a turning point in Gregory’s
the extant corpus published (in Greek) in Patrologia Graeca,
life. For one thing, it raised him to prominence in the life
vols. 35–38 (Paris, 1857–1862), edited by J.-P. Migne. The
of the church: He was chosen (though by his own choice he
secondary literature on Gregory is vast, but any of the follow-
did not long remain) the metropolitan bishop of Sebaste in
ing titles may be consulted for their extensive bibliographies.
Armenia I; he figured prominently at the Council of Con-
Paul Gallay’s La vie de Grégoire de Nazianze (Lyons, 1943)
stantinople in 381; and he functioned as a regular “special
is a lively and appreciative work, complementing but not su-
preacher” in Theodosius’s capital.
perseding the earlier Saint Grégoire de Nazianze: Sa vie, ses
œuvres, son époque (1884; reprint, New York, 1973) of Al-
More important still, Gregory, on the death of Basil,
phonse Benoit. Jean Plagnieux’s Saint Grégoire de Nazianze
took up the cudgels against his brother’s principal theological
Théologien (Paris, 1952) is a splendid survey of Gregory’s
opponent, the radical Arian Eunomius. In all he composed
overall theological significance, while Heinz Althaus’s Die
four treatises entitled Against Eunomius during the years
Heilslehre des heiligen Gregor von Nazianz (Münster, 1972)
380–383. His continuation of his brother’s work in the de-
and Donald F. Winslow’s The Dynamics of Salvation: A Study
bate with Arianism was paralleled by his completion of
in Gregory of Nazianzus (Cambridge, Mass., 1979) address
specific doctrinal issues in greater detail. Finally, an impor-
Basil’s exegetical homilies on the creation story of Genesis 1.
tant work is Anna-Stina Ellverson’s The Dual Nature of Man:
To this end Gregory wrote a lengthy treatise, On the Making
A Study in the Theological Anthropology of Gregory of Nazian-
of Man, many of whose themes and issues are echoed in his
zus (Uppsala, 1981).
contemporary Dialogue on the Soul and the Resurrection,
which he presents as a conversation between himself and his
DONALD F. WINSLOW (1987)
dying sister Macrina. In all of these works Gregory exhibits
a remarkable knowledge not only of the Origenist tradition
in Christian theology, which Basil and Gregory of Nazianzus
GREGORY OF NYSSA (c. 335–c. 395), also known
had “rediscovered,” but also of pagan philosophy in the Neo-
as Gregory Nyssen, was a Christian theologian. With his
platonic idiom; and his indebtedness to these traditions is
elder brother, Basil of Caesarea (c. 329–379), and Basil’s life-
not the less obvious because he is critically aware of the prob-
long friend, Gregory of Nazianzus (c. 329–c. 391), Gregory
lems they created for Christian theology.
of Nyssa was a principal architect and interpreter both of the
In his defense of the orthodoxy of the Nicene tradition
trinitarian settlement canonized by the ecumenical Council
(i.e., of the doctrine that Son and Spirit are “of one being”
of Constantinople (381) and, in his later years, of the ascetic
with God), Gregory insists, with Basil and Gregory of Nazi-
and mystical tradition of Eastern monasticism.
anzus, that the three hypostases of Father, Son, and Holy
Little is known of the details of Gregory’s life. The child
Spirit share a single being or substance (ousia): Each is all that
of an aristocratic Christian family of Cappadocia, he had two
the others are. Furthermore, every action or operation of
bishops among his brothers, while his elder sister, Macrina,
God is one in which all three hypostases share: As there is
whose biography is numbered among his works, was a noted
one divine being, so there is one divine energeia. What differ-
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GREGORY OF SINAI
3697
entiates the “persons” is solely the relations of causation or
Otis, Brooks. “Gregory of Nyssa and the Cappadocian Concep-
origination in which they stand to one another. God appears
tion of Time.” In Studia Patristica XIV, edited by Elizabeth
in Gregory’s thought as a single being that is articulated
A. Livingstone, pp. 327–357. Oxford, 1976.
through relations of strict self-reproduction.
Völker, Walther. Gregor von Nyssa als Mystiker. Wiesbaden, 1955.
In taking this stand, Gregory repudiated the Arian hier-
RICHARD A. NORRIS (1987)
archy of divine hypostases, which established the identity of
the Son, or Word, and the Spirit by insisting that they were
things of a different (and inferior) order in relation to God,
GREGORY OF SINAI (d. 1347) was an ascetic and
mediating between God and world. The fundamental error
mystic canonized by the Eastern Orthodox church. The
in this Arian position, as Gregory saw it, lay in the belief that
Greek church commemorates his life on February 11 and the
the being of God is definable and hence limited: that Son
Slavic churches on August 8. Much of the life and writings
and Spirit can be distinguished from God because their defi-
of this great church father is known from the life composed
nitions are different from God’s. He insists, on the contrary,
by his disciple Kallistos I, patriarch of Constantinople.
that no human words or ideas grasp the ousia of God, which
is infinite and illimitable Good; and for this reason the dis-
Born in Asia Minor, Gregory took his monastic vows
tinction of Father, Son, and Spirit belongs not to the order
on Mount Sinai. After travels to Cyprus and Crete he came
of being but to that of cause or relation.
to Mount Athos. Disturbed to find the holy men of Athos
in ignorance of true silence and contemplation, he under-
This doctrine of the divine infinity is closely related to
took to instruct both monks and solitaries in the contempla-
a central anthropological theme that appears in Gregory’s
tive art. Further travels took him to Constantinople and to
treatise On the Making of Man as well as in certain of his later
Thrace, where he founded monasteries and taught the tech-
ascetic works. As might be expected in one whose thought
niques of mental prayer.
was so closely allied to Platonist and Christian-Platonist tra-
ditions, Gregory, like Origen before him, has difficulties
Gregory did not write extensively. Most of his works are
about the bodily dimension of the human being. On this
concerned with mental prayer and hesychasm, the spiritual
score he corrects Origen by insisting that soul and body come
life of inner wakefulness. He taught that through obedience,
simultaneously into being and that embodiment is no prod-
mourning, tears, and the power of pure contemplation the
uct of a previous fall. Nevertheless he makes this critical
mind is cleansed and led to a vision of the “uncreated light”
move with a caution that reveals his sympathy with Origen’s
of God. Spiritual perfection is finally achieved in deification
deprecation of the body. Where he corrects Origen most
(theo¯sis).
firmly is in the latter’s treatment of human finitude and mu-
The contemplative art practiced and taught by Gregory
tability. For Gregory, mutability, the capacity for unending
is known as “prayer of the heart.” In his Instructions to Hesy-
change, is the characteristic of the human creature that corre-
chasts he describes a method whereby the mind is forced to
sponds to divine infinity and incomprehensibility. It is envis-
descend from head to heart and is then held in repeated invo-
aged not primarily as the ever-present possibility of departure
cation of the name of Jesus Christ. Mental prayer is thus re-
from God, but even more as the condition of eternal progress
membrance of God through a pure and imageless contem-
into the infinite Good—Gregory’s definition of salvation.
plation. He urged his disciples to keep their minds “colorless,
These theological themes are developed in Gregory’s
formless, and imageless” and emphasized the use of such
later ascetic writings (especially in his Life of Moses and his
physical aids as rhythmic breathing for attainment of inner
fifteen Homilies on the Song of Songs) into the beginnings of
stillness. But, because human effort alone cannot accomplish
a mystical doctrine that is closely integrated with his under-
meditative union, he urged that “no one can hold the mind
standing of baptism and the life that it initiates. For him the
by himself, if it be not held by the Spirit.” As humans work
processes of moral purification and spiritual illumination
at prayer, the prayer works in them, and the mind rejoices
come to no final end precisely because there is no end to the
with the presence of the Holy Spirit and is strengthened in
Good that they seek. They issue, as did Moses’ pilgrimage,
its striving for perfection.
in an entrance into “the cloud” that symbolizes divine in-
comprehensibility and infinity. In Gregory’s spiritual teach-
BIBLIOGRAPHY
ing, therefore, there is an anticipation of the path that
The largest compilation of Gregory’s works is published in En-
apophatic mysticism was to take in the writings of Dionysius
glish in Eugènie Kadloubovsky’s and G. E. H. Palmer’s Writ-
the Areopagite.
ings from the Philokalia on the Prayer of the Heart (London,
1951). An excellent account of Gregory’s theology can be
SEE ALSO Basil of Caesarea; Gregory of Nazianzus.
found in Kallistos Ware’s “The Jesus Prayer in St. Gregory
of Sinai” in Eastern Churches Review 4 (1972): 3–22. It in-
BIBLIOGRAPHY
cludes a complete bibliography. An account of Gregory’s life
Balthasar, Hans Urs von. Présence et pensée: Essai sur la philosophie
can be found in John Maximovitch’s “The Life of St. Grego-
religieuse de Grégoire de Nysse. Paris, 1942.
ry of Sinai” in The Orthodox Word 5 (1969): 165–179.
Daniélou, Jean. Platonisme et théologie mystique. Paris, 1944.
GEORGE S. BEBIS (1987)
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3698
GREGORY PALAMAS
GREGORY PALAMAS (1296–1359) was the most
discussions with papal legates on the question of church
important Orthodox theologian of the fourteenth century
union during the years 1333–1334, Barlaam had refuted the
and one of the greatest theologians in the history of the Or-
filioque by invoking the unapproachability and unknowabili-
thodox church. Raised in the Byzantine imperial court, he
ty of God. The agnostic character of Barlaam’s theology dis-
later became a monk and wrote important theological works
turbed many Orthodox theologians, including Gregory. He
that refer primarily to the experience of communion with
composed his Apodictic Treatises concerning the Procession of
God. He was elected archbishop of Thessalonica and imme-
the Holy Spirit (1335) without, however, ever referring to
diately following his death was recognized as a saint of the
Barlaam by name. It was the attack of Barlaam against the
Orthodox church. Gregory’s memory is celebrated twice per
ascetic method of the hesychasts that eventually provoked an
year: on November 14, the day of his death, and on the sec-
open rift between him and Gregory. Relying on simplistic
ond Sunday of Lent. This second celebration, which serves
and incomplete information concerning the psychosomatic
in effect as an extension of the Sunday of Orthodoxy, reveals
method of prayer used by the hesychasts, Barlaam assailed
the special importance the Orthodox church attaches to his
them in the most severe terms, characterizing them as om-
person and teachings.
phalopsuchoi (“men with their souls in their navels”) and as
The works of Gregory Palamas summarize the entire
Massalians, a heretical group that claimed salvation is ob-
earlier patristic tradition, offering it in a new synthesis that
tained only through the power of prayer and not through the
has as its central theme the theo¯sis (deification) of humanity.
sacraments of the church. The defense of the hesychasts was
This theo¯sis is realized through the participation of human-
undertaken by Gregory. It was for this purpose that he wrote
kind in the uncreated energies of God. For this reason, the
his famous work Triads in Defense of the Holy Hesychasts
rejection of the uncreated energies of God, which has as a
(c. 1338). The positions taken by Gregory were approved
consequence the rejection of the possibility for humankind
from the beginning by the church. They were sanctioned as
to achieve theo¯sis, was not considered by Palamas to be mere-
well by various synodal decisions, which have a special im-
ly another typical Christian heresy but rather the summariza-
portance for Orthodoxy.
tion of all heresies, and, ultimately, the negation of the God
The first official recognition of Gregory’s teachings,
who is revealed in the scriptures and the church.
with a parallel condemnation of the views of Barlaam, came
Gregory was born in 1296 in Constantinople. When he
about through the approval of the Hagioretic Tome, which
was seven years old he lost his father, Constantine, but he
Gregory himself wrote in 1340 and which was signed by rep-
continued to reside in the imperial court in Constantinople
resentatives of the monasteries of Mount Athos. In June
under the protection of the emperor Andronicus II
1341, a council was convened in Constantinople that con-
Palaeologus. He received a rich education there, particularly
demned the positions taken by Barlaam, who confessed his
in philosophy. Even though the emperor had destined him
error and finally was compelled to return to the West.
for high public office, the young Gregory had become in-
creasingly occupied with ascetic practices and noetic prayer,
The definitive resolution of the debate was delayed,
and he eventually chose to enter the monastic life. At the age
however, by the untimely death of the emperor, Andronicus
of twenty, he left with his two younger brothers for the mo-
III Palaeologus, which occurred immediately following the
nastic center of Mount Athos. He remained there first with
conclusion of the work of the council and before he had had
a hesychast in the vicinity of Vatopediou Monastery, then
a chance to sign its decisions. The situation was complicated
as a member of the koinobion (brotherhood) of the great
by the political controversy that soon arose over the question
monastery of the Lavra, and finally in the hermitage of
of the imperial succession and that led to a civil war. Thus,
Glossia.
a new period of struggle began for Gregory, a struggle that
lasted until 1347. His new opponent was Gregory Akin-
In 1325, Turkish incursions compelled him and other
dynos. During this period, when the strong man in Constan-
monks to leave the Holy Mountain. While on a visit to Thes-
tinople was Patriarch John Calecas, Gregory was banished,
salonica, he was ordained a priest; he left soon after for Be-
imprisoned, and excommunicated from the church (1344),
roea, where he lived for five years at a hermitage outside the
while his adversary Akindynos, who had already been con-
city, under even more austere conditions of asceticism. In
demned by the church for his views (August 1341), was grad-
1331, Serbian raids became a serious threat, and he was
ually restored to prominence and even ordained a priest.
forced to abandon Beroea and return to Mount Athos. Re-
Calecas’s tactic, however, eventually undermined his posi-
suming again the hesychast life, he resided for the most part
tion. Anne of Savoy, mother of the underaged emperor John
at the hermitage of Saint Sabbas, near the great monastery
V Palaeologus, had set Gregory free. A new council, con-
of the Lavra, except for one year, during which he served as
vened at the beginning of 1347, condemned Patriarch Cale-
abbot of the monastery of Esphigmenou.
cas at the same time that the victorious John VI Cantacu-
It was at Saint Sabbas that Gregory first was exposed to
zenus was entering the city as coemperor. The patriarchal
the antihesychast opinions of Barlaam of Calabria, a monk
throne was assumed by the hesychast Isidore, and Gregory
and philosopher of Greek ancestry from southern Italy.
was elected archbishop of Thessalonica. However, the zeal-
While representing the Orthodox church during preparatory
ots, who were occupying Thessalonica and who refused 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
GREGORY PALAMAS
3699
recognize the legitimacy of Cantacuzenus, prevented the new
based their theology on the experience of the revelation of
bishop from entering his see. Thus, Gregory only formally
God within history. However, true theology is also organical-
undertook his pastoral responsibilities at the beginning of
ly combined with the vision of God; it is the fruit and expres-
1350, after Cantacuzenus had captured that city as well.
sion of this vision.
Gregory’s first act as archbishop of Thessalonica was to
The vision of God is possible because God, who is unap-
reestablish peace within his flock. In the meantime, he had
proachable and imparticipable according to his essence, be-
to contend with a new attack against the hesychasts, this time
comes accessible to human beings through his uncreated
from the Byzantine humanist Nikephoros Gregoras. A new
grace or energy. To have the vision of God, a person must
council, called in Constantinople in 1351, decided once
cleanse his or her heart from the stain of sin. Before the incar-
again in favor of Gregory and reconfirmed his teachings, es-
nation of Christ, the uncreated grace of God illumined the
pecially those having to do with the distinction between es-
just from without. After the incarnation, God is united to
sence and energy in God. In 1354, while traveling to Con-
humankind through the sacrament of the Eucharist and is
stantinople, Gregory was captured by the Turks and
manifested as light within one’s inner being—provided that
remained their prisoner for approximately one year in Turk-
the person has tried, through prayerful contemplation, to
ish-occupied areas of Asia Minor. There he had the opportu-
collect his or her Nous (intellect), which is usually distracted
nity to come into contact with local Christian communities,
by the things of this world, and to cleanse it from sin. This
as well as to converse with Muslim theologians. After the
interpretation of the theory of the uncreated light can be
payment of a ransom, he was set free by the Turks. While
found not only among the hesychast monks, but, more gen-
passing through Constantinople, he held public debates with
erally, in the teaching of the Orthodox church regarding the
Nikephoros Gregoras, against whom he also composed sever-
renewal and theo¯sis (deification) of humanity. By participat-
al new treatises. In 1355 he returned to Thessalonica, where
ing in the uncreated grace or energy of God, humankind be-
he continued his pastoral work. He died on November 14,
comes itself a god by grace. The experience of theo¯sis begins
1359.
already in this life and is fulfilled in the kingdom of God.
Christ, who is the Son of God become man and who came
Gregory left numerous writings, which are preserved in
into the world as the brother of all human beings, is at the
many manuscript codices. For the most part, these have been
same time also the father of all in the faith, who leads them
published. His dogmatic and apologetic writings include the
into the eternal and everlasting glory of the kingdom of God:
Apodictic Treatises, in which Gregory propounds his compro-
“for in the glory of the Father, Christ is come, and in the
mise with the Latin teaching on the filioque by stating that
glory of their Father Christ, the righteous shine as the sun
the Holy Spirit, who proceeds eternally from the Father, is
and will become light and see light, the pleasing and all-holy
poured out on the faithful also from the Son. In his Triads
vision which is only accessible to the purified heart” (Chris-
he discusses the value of secular studies, various aspects of
tou, ed., vol. 1, p. 599).
prayer (including the participation of the human body in
prayer and the vision of the uncreated light), and the impos-
The influence of the theology of Gregory on Eastern
sibility of participation in the imparticipable essence of God.
Orthodoxy remains historically important. His tradition of
Finally, the Hagioretic Tome presents God’s unfolding revela-
theology served as the best source of counsel for the life of
tion and the need for obedience to the saints who have had
the Orthodox during the dark period of Turkish domina-
the experience of the mystical energies of the Holy Spirit.
tion. His teaching, as well as the hesychast tradition, was
propagated not only within the bounds of the Byzantine Em-
Gregory’s writings on the spiritual life include The Life
pire but also throughout the entire Orthodox world, giving
of Peter the Athonite (1334); One Hundred and Fifty Physical,
new inspiration to ascetic and ecclesiastical life. The basic
Theological, Moral and Practical Chapters (1347), in which
principles of Palamite theology, revived in the early twenti-
basic dogmatic, anthropological, moral, and ascetic themes
eth century by the publication of more of his works as well
are presented; To Xeni (1345), which analyzes the anthropo-
as numerous studies, has become the starting point for the
logical and theological presuppositions of the spiritual life;
renewal of Orthodox theology and spiritual life, which, dur-
and Exposition of the Decalogue, a synopsis of Christian mo-
ing recent centuries, has sustained intense influence from the
rality. Most of the sixty-three homilies of Gregory that have
West.
survived were preached during his tenure as archbishop of
Thessalonica. These sermons help to reveal the multifaceted
BIBLIOGRAPHY
personality of Gregory—his lively interest in the spiritual up-
Primary Sources
lifting of his flock, as well as his concern for peace, social jus-
Christou, Panagiotis, ed. Gregoriou tou Palama suggrammata. 3
tice, and the everyday problems of the faithful. Some of these
vols. Thessaloniki, 1962–1970.
homilies, such as the sixteenth and the fifty-third, are com-
Gregorius Palamas: Opera Omnia. In Patrologia Graeca, edited by
plete theological treatises. Most of his letters have been pre-
J.-P. Migne, vol. 150, pp. 771ff., and vol. 151, pp. 1–550.
served, as well as numerous other theological treatises.
Paris, 1865.
The theology of Gregory has an empirical character.
Meyendorff, John, ed. Gregory Palamas, The Triads. New York,
The prophets, the apostles, and the fathers of the church
1983.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3700
GREGORY THE ILLUMINATOR
Oikonomos, Sophokles, ed. Gregoriou archiepiskopou Thessalonikes
The Armenian tradition ascribes to Gregory the author-
tou Palama, Homiliai KB. Athens, 1861. Contains twenty-
ship of canons, a book of homilies (the Yachakhapatum), and
two sermons.
the liturgical books that are used in the Armenian church.
Secondary Sources
Modern scholarship, however, has shown that none of these
Mantzaridis, Georgios I. Palamika. Thessaloniki, 1973.
works could have been composed before the fifth century.
Mantzaridis, Georgios I. The Deification of Man. Crestwood,
N.Y., 1984.
BIBLIOGRAPHY
Meyendorff, John. A Study of Gregory Palamas. London, 1964.
Agathangelos. History of the Armenians. Translated with commen-
tary by Robert W. Thomson. Albany, N.Y., 1976.
Meyendorff, John. Saint Gregory Palamas and Orthodox Spirituali-
ty. Crestwood, N.Y., 1974.
Ananian, Paulo. “La data e le circostanze della consecrazione di
S. Gregorio Illuminatore.” Le Muséon 74 (1961): 43–73,
Stiernon, Daniel. “Bulletin sur le palamisme.” Revue des études by-
319–360.
zantines 30 (1972): 231–341.
Garitte, Gérard. Documents pour l’étude du livre d’Agathange. Studi
GEORGIOS I. MANTZARIDIS (1987)
e Testi, vol. 127. Vatican City, 1946. Includes the Life of
Translated from Greek by Christopher H. Bender
Gregory.
Thomson, Robert W., et al., trans. The Teaching of Saint Gregory:
An Early Armenian Catechism. Cambridge, Mass., 1970.
GREGORY THE ILLUMINATOR was the chief
KRIKOR H. MAKSOUDIAN (1987)
bishop of Armenia from circa 314 to 325, one of the major
saints of the Armenian church, and author of the conversion
of the Armenian people to Christianity. Information about
him derives mainly from two fifth-century sources, Agathan-
GRIAULE, MARCEL. Marcel Griaule (1898–1956)
gelos’s History of the Armenians and the Greek Life of Gregory.
was a pioneer of French ethnographic research in Africa, an
emblematic figure of French ethnography, and a catalyst to
According to Agathangelos’s legendary account, Grego-
the emerging discipline’s professionalization. After serving in
ry was the son of the Parthian prince Anak who killed his
World War I as an air force pilot, he obtained a degree in
kinsman King Khosrov of Armenia. The Armenians retaliat-
living Oriental languages (Amharic and Gueze) before study-
ed by killing Anak’s family, Gregory being the sole survivor.
ing with sociologist Marcel Mauss. Griaule was among the
He was taken to Caesarea Mazaca (modern Kayseri, Turkey),
first ethnographers trained by the Institute of Ethnology at
where he was raised a Christian. There he married a Chris-
the Sorbonne, and his career paralleled every stage of the dis-
tian woman with whom he had two sons. He entered the ser-
cipline’s development. An energetic promoter of innovative
vice of King Tiridates III of Armenia (298–330), accompa-
technological aids, Griaule introduced the ethnographic
nying him to Greater Armenia in 298 when the Romans
film. He also founded the Société des Africanistes and its
restored the king to the throne of his ancestors. Gregory’s re-
journal. In 1942, he was named the first chair of ethnology
fusal to offer sacrifice to the idol of the goddess Anahita pro-
at the University of Paris. Like the discipline itself, Griaule’s
voked the king to torture him and condemn him to impris-
career took progressive distance from colonial interests. As
onment in the Khor Virap (“deep pit”) of Artashat. There
an advisor to the French Union and the president of France’s
Gregory miraculously survived for thirteen years until he was
Commission on Cultural Affairs, Griaule championed re-
released to cure the king of a severe ailment. Succeeding in
spect for African culture and criticized the politics of cultural
his mission, Gregory converted the king, the royal family,
assimilation.
and the army, and set out to proselytize the Armenian na-
tion. He destroyed six major shrines of the prevailing deities
In the first ten years of his career, Griaule led the princi-
of ancient Armenia, erected crosses throughout the country,
pal French ethnographic expeditions to Africa. His first expe-
and built baldachins over the graves of the forty Christian
dition was a year-long mission to Ethiopia in 1928, but his
virgins martyred by Tiridates III.
most celebrated journey was the Dakar-Djibouti mission.
About 314 Gregory received episcopal ordination in
Over twenty-one months (1931–1933), it traversed sub-
Caesarea. Returning to Armenia, he destroyed the pagan
Saharan Africa from the Atlantic to the Red Sea. Enthusiasti-
shrine at Ashtishat and founded the first church in Armenia.
cally followed by the French press, the mission also forged
Tradition reports that he baptized the entire Armenian na-
links with the literary and artistic avant-garde. Griaule gath-
tion in the waters of the Arsenias River, built several church-
ered an imposing ethnographic harvest—more than 3,600
es, founded monasteries, and ordained bishops. Finally, after
objects to enrich the holdings of the Trocadéro Museum,
handing over his episcopal duties to his younger son, Ar-
plus thousands of photographs, films, and recordings.
istakes, he retired to a solitary life. The office of the chief
During this mission Griaule encountered the Dogon at
bishop of Armenia became intermittently hereditary in his
the bend of the Niger River. Favoring intensive study of indi-
family until 439. The cult of Gregory and the veneration of
vidual societies, Griaule and his colleagues subsequently
his relics became popular in the second half of the fifth and
made regular expeditions to pursue research on Dogon cul-
especially in the sixth and seventh centuries.
ture as a team. A sense of urgency to archive and safeguard
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GRIAULE, MARCEL
3701
disappearing cultures provoked a method of collaborative in-
1960s, criticized for essentializing cultural patterns and privi-
terdisciplinary investigation. Teamwork provided multiple
leging a romanticized past over a historically conditioned
accounts of an event for analysis, and also enabled the same
present. A constant refrain of Griaule’s detractors is that he
cultural phenomenon to be considered from various frames
reified “the Dogon.”
of expertise, a factor Griaule termed “plural observation.”
British anthropologists were especially skeptical of
Splicing observations into a “synoptic account” verified by
Griaule’s reliance on translators and select informants; they
informants, the method purportedly reconstructed a “typi-
charge that he neglected case histories and details of daily ex-
cal” instance, purged of modifications that would destroy
istence in favor of metaphysics, which presents a “too per-
what Griaule called “its ideal harmony” (Jolly, 2001,
fectly ordered vision of Dogon reality” (Richards, 1967;
p. 164). Griaule progressively extended his team to include
Douglas, 1967; Goody, 1967). Dutch anthropologist Walter
“native collaborators,” whom he described as “precious auxil-
van Beek (1991) continued the polemic, attempting to de-
iary.” The project, beginning in 1935 and spanning five dec-
bunk Griaule’s fieldwork with his own contemporary data;
ades, made the Dogon one of the best-known societies on
however, van Beek’s own lack of accountability weakened his
the continent.
verdict. James Clifford explored the complex role played by
In the initial period of his career, Griaule avoided infus-
a group of influential Dogon in the evolution of Griaule’s
ing explanation into data, and he approached the ethno-
work with greater sophistication, concluding that Griaule’s
graphic object as the only reliable “witness” to a society’s
writings “express a Dogon truth, a complex, negotiated, his-
meanings. Minute documentation characterized his doctoral
torically contingent truth specific to certain relations of tex-
thesis, which produced two outstanding works, a study of
tual production” (1983, p. 125).
masks, Masques dogons (1938), and games, Jeux dogons
That the Dogon celebrated exceptional funerary rites in
(1938).
Griaule’s honor proves the degree to which they held the re-
searcher in esteem, recognizing him as one of their own.
Deprived of the opportunity for fieldwork for six years
during World War II, Griaule elaborated his theory of my-
SEE ALSO Dieterlen, Germaine.
thology as an “ordered system” reflected in social organiza-
tion. His return to Africa in 1946 reinforced this shift. At
BIBLIOGRAPHY
the behest of Dogon elders, a blind old sage, Ogotemmêli,
Champion, P. “Bibliographie de Marcel Griaule (ordre
was charged with revealing to Griaule a deeper, esoteric level
chronologique).” Journal de la société des Africanistes 26, nos.
of mythological knowledge, reserved for initiates. This post-
1–2 (1956): 279–290. A complete bibliography.
war phase of Griaule’s career was therefore governed by dia-
Clifford, James. “Power and Dialogue in Ethnography: Marcel
logue and a new conception of the ethnographic inquiry as
Griaule’s Initiation.” In Observers Observed: Essays on Ethno-
initiation. Griaule focused his research on the complex cos-
graphic Fieldwork, edited by George W. Stocking Jr.,
mogony Ogotemmêli expounded, asserting it amounted to
pp. 121–156. Madison, Wis., 1983.
“a metaphysic, a religion that puts them on the same level
Doquet, Anne. Les masques dogon: Ethnologie savante eet ethnologie
as the peoples of Antiquity.”
autochtone. Paris, 1999.
Douglas, Mary. “If the Dogon. . .” Cahiers d’études Africaines 28
Presented as a daily chronicle of the old man’s revela-
(1967): 659–672.
tions in an accessible style, Griaule’s account, Dieu d’eau
Goody, Jack. “Review of Conversations with Ogotemmêli, by
(1948), translated as Conversations with Ogotemmêli, became
M. Griaule.” American Anthropologist 69, no. 2 (1967):
a bestseller. Foreshadowing a postmodern self-consciousness,
239–241.
Griaule injected himself into the narrative as “the Europe-
Griaule, Marcel. Jeux dogons. Paris, 1938.
an,” “the Stranger,” and “the Nazarene.” This literary device
Griaule, Marcel. Masques dogons. Paris, 1938.
suggests a frank acknowledgment of roles ascribed to him in
Griaule, Marcel. Arts de l’Afrique noire. Paris, 1947. Translated as
the ethnographic situation. Nevertheless, of Griaule’s 170
Folk Art of Black Africa by Michael Heron. Paris and New
publications, it is the most contested. The book’s critics con-
York, 1950.
tend that it amounts to unrepresentative theological specula-
Griaule, Marcel. “Le savoir Dogon.” Journal de la société des Afri-
tions or mythopoeic invention (Goody, 1967).
canistes 22 (1952): 27–42.
After Griaule’s untimely death in 1956, his close asso-
Griaule, Marcel. Dieu d’eau: Entretiens avec Ogotemmêli. Paris,
ciate, Germaine Dieterlen, furthered work on Dogon myth
1948. Translated as Conversations with Ogotemmêli: An In-
and religion, publishing under both their names the monu-
troduction to Dogon Religious Ideas. London, 1965.
mental synthesis of cosmology, Le renard pâle (1965).
Griaule, Marcel, with Germaine Dieterlen. “The Dogon.” In Afri-
can Worlds: Studies in the Cosmological Ideas and Social Values
The work of Marcel Griaule and his followers is “one
of African Peoples, edited by Daryll Forde pp. 83–110. Lon-
of the classic achievements of twentieth-century ethnogra-
don, 1954.
phy,” self-conscious about method and unparalleled in its
Griaule, Marcel, with Germaine Dieterlen. Le renard pâle. Paris,
comprehensive detail (Clifford, 1983, p. 124). However,
1965. Translated as The Pale Fox by Stephen C. Infantino.
Griaule’s oeuvre has come under sharp scrutiny since the
Chino Valley, Ariz., 1986.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3702
GRIMM BROTHERS
Griaule, Marcel. Méthodes de l’ethnographie. Paris, 1957.
Jakob published Deutsche Mythologie (Germanic mythology),
Jolly, Eric. “Marcel Griaule, ethnologue: La construction d’une
which established the link between German and Scandina-
discipline (1925–1956).” Journal des Africanistes 71, no. 1
vian myth and led to a new interest in Germanic antiquity
(2001): 149–190.
throughout Europe. Many English students came to Göt-
Richards, A. I. “African Systems of Thought: An Anglo-French
tingen, among them the Anglo-Saxon scholar John Kemble.
Dialogue.” Man 2 (1967): 286–298.
However, once more the brothers had to leave when the reac-
van Beek, Walter E. A. “Dogon Restudied (A Field Evaluation of
tionary duke of Cumberland became king of Hanover.
the Work of Marcel Griaule).” Current Anthropology 32, no.
They were invited to work in Saxony on a comprehen-
2 (1991): 139–158. Responses by R. M. A. Bédaux, Suzanne
sive dictionary of the German language, and when the liberal
Preston Blier, Jacky Bouju, Peter Ian Crawford, Mary Doug-
Friedrich Wilhelm became king of Prussia in 1840 he per-
las, Paul Lane, Claude Meillassoux, and W. E. A. Van Beek
suaded them to move to Berlin, to live in financial security
appear on pages 158–167.
and lecture at the university and the academy. This meant
LAURA S. GRILLO (2005)
a great change in their lives, but a happy one, and both
brothers worked indefatigably until the end, Jakob surviving
Wilhelm by four years. By their lives of devoted scholarship
they made a major contribution to the serious study of folk
GRIMM BROTHERS. Jakob Ludwig Karl Grimm
tales and comparative mythology, and showed how language
(1785–1863) and his brother Wilhelm Karl (1786–1859)
could be studied scientifically as a means of exploring hu-
were born in Hanau, Germany, where their father was town
mankind’s early religious beliefs.
clerk and later Amtmann (local administrator). Their happy
childhood ended with his death in 1796; thereafter they had
a constant struggle against poverty, with several younger chil-
BIBLIOGRAPHY
dren to support. The brothers worked in close harmony all
Denecke, Ludwig. Jacob Grimm und sein Bruder Wilhelm. Stutt-
gart, 1971.
their lives, and their researches into early Germanic language,
literature, antiquities, and religion formed the basis for fu-
Grimm, Jakob. Deutsche Mythologie. Göttingen, 1835. Translated
ture studies in these fields.
from the fourth edition as Teutonic Mythology, 4 vols., and
edited by James Steven Stallybrass (1966; reprint, Glouces-
At the university in Marburg the brothers became inter-
ter, Mass., 1976).
ested in medieval literature. The family moved to Kassel, and
Grimm’s Fairy Tales. Translated by Francis P. Magoun, Jr., and
Jakob worked as a clerk in the War Office and later as secre-
Alexander H. Krappe. Carbondale, Ill., 1960.
tary to the legation in the war against Napoleon. Finally both
Michaelis-Jena, Ruth. The Brothers Grimm. London, 1970.
brothers were employed in the library of the elector of Hano-
ver. From about 1806 they were collecting popular tales and
New Sources
encouraging their friends to do so, believing that this materi-
Haase, Donald. The Reception of Grimms’ Fairy Tales: Responses,
al, never previously taken seriously by scholars, was essential
Reactions, Revisions. Detroit, 1993.
for the study of Germanic mythology. The first volume of
Kamenetsky, Christa. The Brothers Grimm & Their Critics: Folk-
Kinder- und Hausmärchen (Household and children’s tales)
tales and the Quest for Meaning. Athens, 1992.
appeared in 1812. The brothers worked unceasingly, reading
McGlathery, James M. The Brothers Grimm and Folktale. Urbana,
manuscripts, recording oral material, and continually explor-
1988.
ing new fields. They published poems from the Icelandic
Zipes, Jack David. The Brothers Grimm: From Enchanted Forests
Eddas, corresponded with Walter Scott (with whom they
to the Modern World. New York, 1988.
compared Scottish and Danish ballads), and worked on
HILDA R. ELLIS DAVIDSON (1987)
runic inscriptions and Slavic languages. In 1816 and 1818
Revised Bibliography
they brought out Deutsche Sagen (German legends) taken
from printed and oral sources. Jakob concentrated on philol-
ogy and early law, publishing Deutsche Grammatik (German
grammar) in 1819 and Deutsche Rechtsaltertümer (German
GROOT, J. J. M. DE (1854–1921), Dutch Sinologist
legal antiquities) in 1828. Wilhelm worked mainly on medi-
and ethnographer. Born in Schiedam, Holland, Johannes Ja-
eval German literature and the heroic epics, and brought out
cobus Maria de Groot enrolled in the polytechnic school at
Die deutschen Heldensagen (The German heroic sagas) in
Delft in 1872. He subsequently studied Chinese with
1829.
Gustave Schlegel at the University of Leiden.
At first they refused teaching posts, but unsympathetic
In 1876 de Groot went to Amoy (present-day Xiamen,
treatment by the elector forced Jakob to become professor
China) to continue his study of Chinese, and his stay in
of philology at Göttingen in 1830; Wilhelm joined him
Amoy led to the publication of his first book, Les fêtes annuel-
there and proved a brilliant lecturer. Wilhelm married Doro-
lement célébrées à Emoui (Amoy): Étude concernant la religion
thea Wild in 1825; it was a happy marriage, and Jakob con-
populaire des Chinois (translated from Dutch into French by
tinued to live with his brother and sister-in-law. In 1835
Édouard Chavannes and published in 1886). From 1878 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
GROTIUS, HUGO
3703
1883 de Groot traveled through Java and Borneo working
GROTIUS, HUGO (1583–1645), or Huigh de Groot,
as a Chinese interpreter. De Groot returned to Holland in
was a Dutch lawyer, diplomat, historian, poet, philologist,
1883, but was likely working for the government of the
and theologian. Grotius was born at Delft on April 10, 1583,
Dutch East Indian Colonies since 1878, and in their employ
into a socially and politically influential family. Following
he returned to China and lived there from 1886 to 1890, col-
three years at the University at Leiden and a brief period ac-
lecting the data later published in six volumes as The Reli-
companying a diplomatic embassy to Paris, he returned to
gious System of China: Its Ancient Forms, Evolution, History
Holland at the age of sixteen to become an advocate at the
and Present Aspect; Manners, Customs and Social Institutions
courts of the Hague. In 1607 Grotius was appointed to the
Connected Therewith (1892–1910).
office of Advocate-Fiscal (attorney general) of Holland. He
De Groot was appointed professor of ethnography at
married Maria van Reigersberch in 1608.
the University of Leiden in 1891. In 1904 he succeeded his
As a result of an assocation with the Dutch East India
mentor Schlegel as professor of Chinese, and in 1912 he as-
Company, Grotius wrote his first major legal treatise, De jure
sumed the chair of professor of Chinese at the University of
praedae (On the law of prize, 1604–1605), which presents
Berlin.
a theory of natural law based on divine will. In 1625 he pub-
De Groot was made a corresponding member of the
lished his most important book, De jure belli ac pacis (On
Netherlands Royal Academy of Sciences in 1887 and a full
the law of war and peace), in which he again pursued the
member in 1891. His election to membership in the Dutch
topic of natural law and its role in international relations.
Society of Literature came in 1893. In 1894 de Groot shared
Here Grotius reveals his concern for the lack of restraint in
the prestigious Stanislas Julien Prize with Édouard Cha-
waging war in the Christian world. He examines the theoret-
vannes. He was named correspondant de l’institut by the
ical justification for war and the rules that govern the actual
French Académie des Inscriptions et Belles-Lettres in 1908.
waging of war. He then distinguishes natural law (identical
In 1910–1911 de Groot came to the United States to deliver
with the law of God but knowable apart from divine revela-
the American Lectures on the History of Religions, a travel-
tion) from the voluntary laws of nations that exist between
ing lecture series, and at that time was awarded an honorary
civil communities. Both these types of law he finds binding
doctorate by Princeton University. In 1918 the kaiser pres-
in relations between states. In the case of a conflict between
ented him with the Service Cross for his help during World
natural and voluntary law, the law of nature should prevail,
War I.
although the application of this principle is qualified. In ad-
De Groot’s two most important works are The Religious
dition to delineating the conditions of waging a just war,
System of China and Religion in China: Universism, a Key to
Grotius also advocates temperamenta, or mitigations, in the
the Study of Taoism and Confucianism (1912; a revised and
conduct of war. To avoid unnecessary suffering, he counsels
enlarged edition appeared in German in 1918), which is the
communities to circumscribe their tactics in keeping with
published form of the lectures delivered in the United States
the perfect law of Christ, which, though itself not a basis of
in 1910–1911. The former is a detailed description of the
law, provides an ideal.
funeral customs of the Chinese and of their ideas concerning
Grotius was also involved in the religious affairs of his
the soul. It remains an important source of information on
day and strongly committed to the cause of Protestant unity.
funeral rites, ancestor worship, geomancy (feng-shui), exor-
In his 1612 correspondence with Isaac Casaubon at the court
cism, and possession. In Religion in China: Universism, de
of James I of England, he advocated a synod of Protestant
Groot argues that worship of the universe and its ways, its
churches in order to establish a common confession of faith
fluctuations between yin and yang, constitutes the root reli-
that would protect against the development of heresy in the
gion of the Chinese, from which Confucianism, Daoism,
individual churches, help them present a united front against
and Buddhism developed as three branches from a common
any papal aggressions, and yet allow moderate Roman Cath-
stem. When Confucianism assumed the dominant position
olics to see their integrity. Grotius’s hopes for such a meeting
during the Han dynasty, it failed to develop as a religion and
were, however, disappointed, in part because he was already
prevented religious growth of Daoism and Buddhism as well.
involved in a heated religious and political controversy. He
B
represented the States of Holland in a conflict that began
IBLIOGRAPHY
Besides those mentioned in the text, other works by de Groot in-
with the appointment of a professor of theology and esca-
clude Le code du Mahâyâna en Chine: Son influence sur la vie
lated into a major battle between church and state and be-
monacale et sur la monde laïque (Amsterdam, 1893); Sectari-
tween the local and the central governments within the Re-
anism and Religious Persecution in China: A Page in the Histo-
public of the United Netherlands.
ry of Religions, 2 vols. (Amsterdam, 1903–1904); and The Re-
ligion of the Chinese (New York, 1910). Le code du Mahâyâna
After Prince Maurits came to power Grotius was sen-
includes a translation of Fo-shuo fan-wang ching (The su¯tra
tenced to life imprisonment (May 18, 1619). While in pris-
of Brahma’s net preached by the Buddha). In Sectarianism
on he wrote Introduction to the Jurisprudence of Holland, An-
and Religious Persecution, de Groot draws attention to the
notations of the Gospels, and On the Truth of the Christian
genuinely religious nature of rebel sects in the Qing.
Religion, an apologetic work in which he attempts to prove
ROBERT G. HENRICKS (1987)
the truth of the Christian faith based on reason and the testi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3704
GRUNDTVIG, NIKOLAI FREDERIK SEVERIN
mony of works outside the Christian tradition. On March
to be an assistant pastor in Udby. But in 1813 he went back
22, 1621, his wife Maria contrived to smuggle Grotius out
to Copenhagen, where he lived from 1816 to 1821 exlusively
of prison in a chest used to transport books, and he fled to
as a writer. From 1821 onwards he worked as a priest and
Paris. Grotius subsequently held various diplomatic and legal
discovered his own theological foundation, expressed as a
positions including the office of Swedish ambassador to
“peerless discovery.” He realized that the foundation of the
France. In March of 1645, he was permitted to visit Rotter-
church is not the Bible but the living Christ himself, present
dam and Amsterdam on his way from Paris to Stockholm.
in a living, historical tradition, with baptism and the Eucha-
On August 28 of that same year Grotius died while traveling
rist as sacramental signs of his presence. His pamphlet
from Stockholm to Lübeck.
Kirkens gienmæle (The church’s retort), directed against Hen-
rik Nikolai Clausen, a theologian at the University of Copen-
BIBLIOGRAPHY
hagen, gives strong expression to this fundamental approach.
Printed editions of Grotius’s works are listed in Jacob ter Meulen
But he was censured for this work and had to become a free-
and P. J. J. Diermanse’s Bibliographie des écrits imprimés de
lance writer.
Hugo Grotius (The Hague, 1950). No complete critical edi-
tion of Grotius’s works exists. For commentary on the state
Grundtvig made four trips to England (three between
of Grotius scholarship, see Christian Gellinek’s Pax optima
1829 and 1831). English literature (Beowulf, Exeter Book,
rerum: Friedensessais zu Grotius und Goethe (New York,
etc.) and the nation’s mentality made a considerable impres-
1984), pp. 93–101.
sion on him. After 1832 his censure was lifted, and in 1839
For introductions to Grotius’s thought and influence, see Charles
he agreed to become a pastor at the Spital Church at Vartov
S. Edwards’s Hugo Grotius: The Miracle of Holland, A Study
in Copenhagen. From 1848 to 1858 he was also a member
in Political and Legal Thought (Chicago, 1981), Peter Hag-
of Parliament. Grundtvig had a close relationship to Nor-
genmacher’s Grotius et la doctrine de la guerre juste (Paris,
way, and for some time he considered emigrating there.
1983), and Hamilton Vreeland, Jr.’s Hugo Grotius: The Fa-
Norway had been a part of Denmark during large parts of
ther of the Modern Science of International Law (New York,
its history, but in 1814 Norway separated from Denmark,
1917).
a political development that Grundtvig deeply regretted.
ANNE CLARKE (1987)
Grundtvig was married three times and the father of five
children. Until his death in 1872 he went on writing. One
of his last poems, Gammel nok jeg nu er blevet (Long enough
GRUNDTVIG, NIKOLAI FREDERIK SEV-
now has my life run, 1872), stands as a permanent sign of
ERIN. Nikolai Frederik Severin Grundtvig (1783–1872)
his way of living through writing and of writing his whole
was an influential Danish theologian, philosopher, historian,
life into his work.
educationist, and writer. Each of his writings expresses one
GRUNDTVIG’S THEOLOGY OF THE HEART’S DIFFERENT
of his numerous professional voices, centered in his own
VOICES. With extraordinary symbolic power, Grundtvig re-
heart. His childhood, the often turbulent course of his life,
created in his writings a traditional concept of heart-rhetoric,
and his relationships with women, men, children, and di-
closely connected with the dynamic theological concept of
verse contemporary groups are all reflected in his authorial
the Christian idea of “the Living Word.” “Heart” refers to
voices. His life was inseparably linked with the natural land-
all thinkable levels and subjects within his wide-ranging en-
scape, geography, and cultural milieu of Denmark-Norway,
gagements, where diverse voices express themselves and de-
which he viewed from the perspective of a distinctive histori-
mand new expressions, mediated through his texts.
cal and universal consciousness. Grundtvig was founder of
much that in the spheres of church, “folk,” and politics is
Grundtvig belongs inseparably within the nineteenth-
today perceived as characteristically Danish.
century Romantic period, yet he also stands in contrast to
romanticism, pointing both backwards and forwards in time.
BIOGRAPHY. Born into a clerical family in Udby in eastern
This is apparent not least in his anthropology. For him, the
Denmark, Grundtvig was influenced by his upbringing in an
human being is a divine experiment. His religious philoso-
orthodox Lutheran, pietistic parsonage. However, his theo-
phy is characterized by a poetic micro/macro pattern of
logical studies (1800–1803) led him eventually to a rational-
thinking, with humankind at the center, created in God’s
istic theistic faith. When working as a private tutor on the
image, in a heart-relationship with God, created and creative.
Egelo⁄kke estate on the island of Langeland, he fell in love
Human existence is therefore a graced condition, and life
with a married woman, and this experience of the challeng-
amid God’s material creation is a time not of religious pen-
ing power of love created a new crisis, leading to a romantic
ance as the way to Christ but of creative fulfillment of God-
awakening. Through this experience his interest in Nordic
granted human potential: Menneske fo⁄rst, kristen sa˚, “first a
mythology and romanticism was created and confirmed.
human being, then a Christian.”
From 1808 to 1811 he worked as a secondary school teacher
in Copenhagen, where he went through another crisis of
In his philosophy of history, as expressed, for example,
faith. This led him back to his roots, both theologically and
in Christenhedens Syvstjerne (The seven stars [or pleiades] of
physically, insofar as he accepted in 1811 his father’s wish
Christendom) (1860) and Sang-Værk til den Danske Kirke
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GRUNDTVIG, NIKOLAI FREDERIK SEVERIN
3705
(Song-work [or carillon] for the Danish church) (1836–
beyond, notably in Norway, where they are reckoned as the
1837), we find in coded form those historical-cultural voices
country’s own cultural treasure, together with the legacy of
out of which he constructs his narratives concerning the past.
two other great Danish hymn writers, Thomas Kingo
He speaks of a cultural and religious community of tongues
(1634–1703, orthodoxy) and Hans Adolf Brorson (1694–
in interactive entities (Sangskoler, “song-schools”), which be-
1764, pietism). In the Danish Hymnal, Grundtvig is repre-
tween them chart the historical progress of Christendom.
sented by over 250 original and reworked hymns; in the
They proceed like a chorus of voices: the Hebrew “song-
Norwegian Hymnal, by more than 40. The Danish hymn
school,” the Greek, the Roman, the Anglo-Saxon, the Ger-
tradition stands in direct descent from Martin Luther’s musi-
man, the Nordic, and—the seventh and last—the future, or
cal-poetical hymn project used as a medium of reformation
the “unknown,” which Grundtvig may have expected to be
in the 1500s. The vital, musical, and ecstatic word, in glorifi-
the Indian voice from Asia. A chief warranty of each of these
cation of the life force and in protection against the power
voices is that they articulate themselves in the true language
of death, is the primary impulse in Grundtvig’s contribution
of the heart, the local mother tongue.
to this Protestant and popular aesthetic.
Grundtvig’s concept of love gathers all his thinking into
LASTING INFLUENCE AND SIGNIFICANCE. Through his
one domain. He perceived love as the center of all life that
countless textual voices and his cultural, political, education-
is lived, its wellspring, way, meaning, and goal. In some fif-
al, and church activities, Grundtvig wrote himself into Dan-
teen hundred hymns he interpreted and renewed the Nordic-
ish history with a distinctive Nordic, European, and univer-
European ecumenical hymn rhetoric in order to mediate his
sal rhetoric. He has exercised an enormous influence on
existentialist-nuanced philosophy of love. He developed in
Scandinavian liturgical practice, theology, and education. In
new directions the metaphorical, gendered mode of express-
the present time, his influence on educational matters has
ing the divine, with special focus upon the relationship with
also increased outside Scandinavia through the so-called
God, in a comprehensive relationship discourse. The human
Grundtvig Initiative, which is part of the European Union’s
being in the world is a loving and loved microcosm. Lan-
adult educational initiative and represents a concept that, in
guage, gender, body, continuity, process, and metamorpho-
the modern search for popular models of social participation
sis—all have a central place in the hymn rhetoric, in which
in a global context, has gained a substantial international
he gave fresh currency to the spiritualized erotic and to erotic
foothold.
spirituality without ignoring the hazard of sexism. As one of
the most frequently used words in his hymns, heart embodies
SEE ALSO Christianity, article on Christianity in Western
both the center and wellspring of the human body and of
Europe; Music, article on Music and Religion.
the written texts.
In his liturgy-shaping hymn texts, Grundtvig’s gendered
BIBLIOGRAPHY
language of the human relationship with God comes fully
Primary Sources
into its own. He envisages the relationship with God in three
Grundtvig’s works are available in English in Selected Writings,
main models of a dialogue modulated by the heart: the rela-
translated by J. Knudsen (Philadelphia, 1976). In Danish,
tionships between parent and child, between friends, and be-
the standard text is N. F. S. Grundtvigs Udvalgte Skrifter, 10
tween lovers. This entails his construing the Trinity in differ-
vols., edited by H. Begtrup (Copenhagen, 1904–1909).
Among Grundtvig’s overwhelmingly abundant output, the
ent ways, to mirror human life as truly and flexibly as
following represent the rich diversity of his textual voices. In
possible, characterized not only by multiple relational mod-
1812–1814 the philosopher-historian was active with his re-
els but by androgynous conceptual models and by reciprocity
vised edition of Kort Begreb af Verdens Kro⁄nike, betragtet i
as an ideal.
Sammenhæng (Concise view of world-chronicle, considered
With the creative principle as his primary category, he
in context). Between 1833 and 1843 his historical universal
voice was again heard through his three-volume Haandbog
re-created and renewed the European hymn tradition in a
i Verdens-Historien (Handbook on world history). In 1816–
comprehensive gift rhetoric. The individual praising God in
1819 we see the philosopher of religion, literary critic, and
psalmody is, in Grundtvig’s linguistic-philosophical and in-
antiquarian in his periodical Danne-Virke. In 1824 he wrote
tertextual hymn rhetoric, a representative microcosm that
Nyaars-Morgen (New-year’s morning), which displays and
mirrors the macrocosm. We also meet representations of
gives promise of the poet and self-symbolist. In Kirkens
“The Daughter of God” equivalent to “The Son of God”
Gienmæle (The church’s retort; 1825), following his “peerless
within his experimental concept of the Trinity. In an 1870
discovery,” he identifies himself as fierce defender of the
sermon he argued—with the help of his evolved classical,
unity, antiquity, and authority of the church. Nordens
gendered rhetoric of “the heart”—for women priests. A cru-
Mythologi eller Sind-billed Sprog (Mythology of the north, or
cial point in his argument is that the absence of thoughts and
the language of myth), displaying Grundtvig the mytholo-
feelings, germane to women and springing from the heart,
gist, came out in 1832. The shaper of liturgy reveals himself
in the first volume of Sang-Værk til den Danske Kirke (Song-
harms the church at the core of its own heart.
work [or carillon] for the Danish church; 1837). The educa-
THE CONTRIBUTION OF HIS HYMNS. Grundtvig’s hymns
tionist is represented in the text Skolen for Livet og Akademiet
have exercised a wide, profound influence in Denmark and
i Soer (School for life and the academy at Soro⁄; 1838). In Den
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3706
GUÉNON, RENÉ
christelige Bo⁄rnelærdom (Christian instruction for children;
Islam, receiving through Abdul-Hadi, a Swedish initiate, ini-
1868), the mature theologian declares himself. The church-
tiation and the blessing of the Egyptian S:u¯f¯ı master Shaykh
historical visionary poet reveals himself most clearly in Chris-
EAbd al-Rah:ma¯n EIllaysh al-Kab¯ır. Guénon continued, how-
tenhedens Syvstjerne (The seven stars [or pleiades] of Chris-
ever, to be deeply involved in the intellectual life of Paris, en-
tendom; 1860). The philosophy of history that permeates
countering such well-known figures as Jacques Maritain,
this work is the same as that forming the foundation of the
René Grousset, and others; in 1921 he published his first
structure and strategy of Sang-Værk til den Danske Kirke. Fi-
book, Introduction générale à l’étude des doctrines hindoues, a
nally, the confessional Grundtvig speaks through many ser-
mons, for example in the three-volume collection Christelige
work originally prepared as a doctoral thesis at the Sorbonne,
Prædikener eller So
a work that marked a major turning point in the study of
⁄ ndags-Bog (Christian sermons, or the Sun-
day book; 1827–1830).
Eastern doctrines in the West.
Secondary Sources
In 1930 after the death of his French wife, Guénon set
Since 1963 Grundtvig scholarship has been dominated by the
out for Egypt. He spent the rest of his days in Cairo living
work of Kaj Thaning, principally his three-volume Menneske
as a Muslim and was known as Shaykh EAbd al-Wa¯h:id
fo⁄rst—Grundtvigs opgo⁄r med sig selv (First a human—
Yah:ya¯. There he was to take an Egyptian wife, by whom he
Grundtvig’s battle with himself; Copenhagen, 1963), but
had two daughters and two sons. He associated closely with
current scholarship increasingly dissents from Thaning’s in-
certain eminent Muslim authorities of Egypt, such as Shaykh
terpretation. Leading works on Grundtvig’s educational
EAbd al-H:alim Mah:mu¯d, later to become Shaykh al-Azhar.
ideas and on Grundtvig as poet in the early nineteenth-
century context are, respectively, K. E. Bugge’s Skolen for
Guénon also carried out extensive correspondence with
Livet. Studier over N. F. S. Grundtvigs pædagogiske tanker
scholars and traditional authorities throughout the world, in-
(School for life: studies in N. F. S. Grundtvig’s pedagogic
cluding Ananda K. Coomaraswamy, Marco Pallis, Leopold
thinking; Copenhagen, 1965), and Flemming Lundgreen-
Ziegler, Giulio Evola, and Titus Burckhardt. He was also vis-
Nielsen’s Det handlende ord. N. F. S. Grundtvigs digtning, lit-
ited by many Westerners in search of traditional teachings
teratur-kritik og poetik, 1798–1819 (The operative word:
and by some of those in the West who, like him, were seeking
N. F. S. Grundtvig’s authorship, literary criticism and poet-
to revive tradition. Foremost among the latter group was
ics, 1798–1819; Copenhagen, 1980).
Frithjof Schuon, who visited Guénon twice in Cairo and
Studies in English include Christian Thodberg et al., eds.,
who corresponded with him until the end of Guénon’s life.
N. F. S. Grundtvig: Tradition and Renewal (Copenhagen,
During the night of January 7, 1951, Guénon died after a
1983); Steven M. Borish, The Land of the Living: The Danish
period of illness and was buried according to Islamic rites in
Folk High Schools and Denmark’s Non-violent Path to Mod-
a cemetery outside of Cairo.
ernization (Nevada City, Calif., 1991); A. M. Allchin et al.,
eds., Heritage and Prophecy: Grundtvig and the English-
While in Cairo, Guénon continued the incredibly fruit-
Speaking World (Aarhus, 1993); A. M. Allchin, N. F. S.
ful intellectual life that he had begun in France, and numer-
Grundtvig: An Introduction to His Life and Work (Aarhus,
ous books, articles, and reviews continued to flow from his
1997); and A. M. Allchin et al., eds., Grundtvig in Interna-
pen. The articles appeared mostly in the journal Le Voile
tional Perspective: Studies in the Creativity of Interaction (Aar-
d’Isis, which changed its name to Les études traditionelles. The
hus, 2000).
writings of Guénon include some twenty-nine books and
SYNNO⁄VE HEGGEM (2005)
some five hundred articles and reviews ranging over the do-
mains of religion, metaphysics, the traditional sciences, sa-
cred art and symbolism, occultism and esotericism, and the
GUÉNON, RENÉ
criticism of the modern world.
(1886–1951), French traditionalist,
metaphysician, and scholar of religions. René Guénon was
The monumental corpus of the writings of Guénon can
born in Blois, the son of an architect. He carried out his early
be classified into several categories, though because of the tra-
studies in his place of birth and went to Paris in 1904 where
ditional nature of his thought there is an interrelation among
he pursued the field of mathematics and then philosophy,
his various books. The Introduction générale à l’étude des doc-
which he was later to teach. During his youth, Guénon was
trines hindoues was not simply his first work to be published;
attracted to various occultist circles and to Freemasonry; he
it also serves as a general introduction to all the major themes
entered several of these orders, including the Hermetic Ordre
of his writings including his exposition of tradition, his criti-
Martiniste and the Église Gnostique. As a member of this
cism of the modern world, and his discussion of Eastern doc-
“gnostic church” he adopted the name of Palingenius (under
trines based upon the purely metaphysical aspects of their
which he wrote several articles in the review La gnose) and
teachings.
encountered Léon Champrenaud (who had been initiated
A number of books by Guénon are devoted more specif-
into Sufism under the name of Abdul-Haqq) and Albert de
ically to the criticism of the modern world and to the discus-
Pounourville (who had received Daoist initiation and was
sion of the significance of Eastern traditions in the process
known as Matgioi).
of rediscovery of tradition in the West. They include Orient
Guénon left Parisian occultist circles as he became more
et occident (1924), La crise du monde moderne (1927), and La
and more aware of Eastern doctrines. In 1912 he embraced
regne de la quantité et les signes des temps (1945). A group 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
GUÉNON, RENÉ
3707
his books turn to the study of initiation and esotericism as
world, and to the ramifications, applications, and historical
well as the criticism of occultism and “spiritualism” as distor-
unfolding of these truths, which are made available to human
tions and caricatures of authentic esoterism. These include
beings through the revelation that lies at the heart of all reli-
Aperçus sur l’initiation (1946), Le théosophisme: Histoire d’une
gions. Guénon distinguishes between the esoteric and exoter-
pseudo-religion (1921), L’erreure spirite (1923), and Initiation
ic dimensions of tradition and asserts the necessity of the ex-
et réalisation spirituelle (1952). The works of Guénon dealing
istence of both dimensions. He also distinguishes between
with metaphysics and Eastern doctrines include L’homme et
reason and intellect and insists upon the centrality of pure
son devenir selon le Vêdânta (1925), La métaphysique orientale
intellectuality, which for him is practically synonymous with
(1939), Le symbolisme de la croix (1931), Les états multiple de
spirituality.
l’Être (1932), and posthumous collections of articles such as
Guénon, moreover, insists upon the universal nature of
Études sur l’hindouisme (1968) and Aperçus sur l’ésotérisme is-
traditional truth, which lies at the heart of diverse religious
lamique et le taoisme (1973). Guénon also wrote a number
forms. He refers repeatedly to the inner unity of truth and
of major works on the traditional and modern sciences from
of traditional forms, standing united in opposition to the
the traditional point of view, such as La grande triade (1946),
modern world, which is based upon the forgetting of the
Les principes du calcul infinitésimal (1946), and the posthu-
principles of tradition.
mous collections of essays, Symboles fondamenteux de la sci-
Guénon also emphasizes the importance of orthodoxy,
ence sacré (1962) and Formes traditionelles et cycles cosmiques
which he does not limit to the exoteric realm. For him tradi-
(1970). Furthermore, Guénon dealt with the social and po-
tion and orthodoxy are inseparable. To understand tradition
litical dimensions of tradition, devoting many essays as well
means to grasp the significance of orthodoxy and the necessi-
as his books Autorité spirituelle et pouvoir temporel (1929) and
ty of remaining within its fold. Guénon’s whole message is
Le roi du monde (1927) to this subject. The latter work, deal-
in fact based upon not only the theoretical grasp of tradition
ing with the supreme center of tradition in this world, has
but the necessity of living within an orthodox, traditional
remained Guénon’s most enigmatic and controversial book
way, without which no metaphysical truth can possess effica-
for later traditionalist thinkers.
cy even if it is understood theoretically. There is for him no
spiritual realization possible outside tradition and orthodoxy.
In treating various traditions Guénon concentrated
most of all upon the East, dealing especially with Hinduism,
Guénon was also concerned with the essence of doc-
Daoism, and Islam (though hardly at all with Buddhism,
trines, ideas, forms, images, and symbols. His writings shed
whose traditional character he did not confirm until later in
a penetrating light upon doctrines and symbols that have be-
his life). But Guénon did also concern himself with the
come opaque and meaningless in the West as a result of the
Christian tradition although not orthodoxy, devoting such
loss of metaphysical knowledge. He bestowed once again
works as Aperçus sur l’ésotérisme chrétien (1954), L’ésotérisme
upon traditional concepts and symbols their essential mean-
de Dante (1925), and Saint Bernard (1929) to specifically
ing lost for the most part in the West since the Renaissance.
Christian themes. Guénon, however, identified Christian es-
He also presented to the West for the first time the essential
oterism mostly with the hermetic and other esoteric currents
teachings of the Eastern traditions in an authentic manner,
that became integrated into the Christian tradition rather
and his presentation was accepted by the living authorities
than with the Christ-given initiation at the heart of Christian
of those traditions. Moreover, Guénon sought to revive tra-
rites.
dition in the West in the light of essential, metaphysical truth
and to provide the weapons necessary to combat the errors
Guénon’s influence continues to expand as the decades
of the modern world.
go by. His works are marked by emphasis upon tradition,
Guénon must be considered as the first expositor in the
universality, orthodoxy, and essentiality. Guénon appeared
West of the traditionalist school in its fullness, a school that
suddenly on the intellectual stage of Europe and sought to
is also identified with “perennial philosophy.” He was fol-
sweep aside with an unprecedented intellectual rigor and an
lowed in his task of reviving traditional teachings in the West
iconoclastic zeal all the “isms” prevalent in modern thought
by many others, chief among them Coomaraswamy and
ranging from rationalism to existentialism. To present the
Schuon, whose writings perfected the exposition of the so-
truth of tradition, he believed, he had to clear away com-
phia perennis and of traditional doctrines. The influence of
pletely all those conceptual schemes that have cluttered the
Guénon has, furthermore, gone beyond the traditionalist
mind of Western scholars the end of the Middle Ages and
school to touch numerous scholars of religion, theologians,
that have prevented them from understanding the perennial
and philosophers who often without acknowledgment have
truths of tradition. Against the relativism of the day, Guénon
adopted some of his doctrines and teachings.
understood these truths as principles of a divine and sacred
nature from which have issued the great civilizations of East
BIBLIOGRAPHY
and West, including the Far Eastern, Hindu, Islamic, and
Accart, Xavier. L’Ermite de Duqui. Milan, 2001.
traditional Christian civilizations. For Guénon the central
Chacornac, Paul. La Vie simple de René Guénon. Paris, 1982.
concept of tradition does not refer to custom or habit but
James, Marie-France. Esotérisme et christianisme autour de René
rather to truths rooted in ultimate reality and the spiritual
Guénon. 2 vols. Paris, 1981.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3708
GUHYASAMA¯JA
Laurant, Jean-Pierre. Le Sens caché selon René Guénon. Lausanne,
teaching that human sexuality could be an important or even
1975. Pages 262–276 contain an exhaustive bibliography of
essential component of the spiritual path. This teaching was
Guénon’s articles.
highly controversial, as the text itself admits in chapter one,
Mah:mu¯d, EAbd al-H:al¯ım. Al-Faylasu¯f al-muslim René Guénon aw
when it states that it “is a cause of doubt even for all
EAbd al-Wa¯h:id Yah:ya¯. Cairo, 1954.
Tatha¯gatas.” Because the literal interpretation of these textual
Nasr, Seyyed Hossein. Knowledge and the Sacred. New York,
passages was considered problematic in the Maha¯ya¯na Bud-
1981.
dhist monastic settings in which the Tantra has long been
Old Meadow, Kenneth. Traditionalism-Religion in the Light of the
studied and put into practice, Indian Buddhists developed
Perennial Philosophy. Columbo, 2000.
a complex hermeneutical system for the interpretation of this
Science Sacrée—Numéro spécial René Guénon. Paris, 2003.
and other related Tantric texts. These systems were based
Sigaud, Pierre-Marie. René Guénon. Lausanne, 1984. Pages 305–
upon the premise that the true import of the text is often not
313 contain a list of Guénon’s books and of translations of
the literal meaning, but rather the secret or symbolic mean-
Guénon’s works into various languages.
ings accessible via systems of interpretation handed down in
Valsân, Michel. L’Islam et la fonction de René Guénon. Paris, 1984.
lineage instructions by masters of the traditions.
Waterfield, Robin. René Guénon and the Future of the West. Lon-
don, 1987.
There were two traditions of exegesis and practice cen-
tering upon the Guhyasama¯ja Tantra that developed in
SEYYED HOSSEIN NASR (1987 AND 2005)
India. The first is called the Jña¯napa¯da school, named after
its founder, Buddhajña¯napa¯da, who lived in India during the
eighth century. While not an important tradition from the
GUHYASAMA¯JA. The term Guhyasama¯ja (“Secret As-
perspective of contemporary Tibetan Buddhist practice, it is
sembly”) applies to the Tantra so-named, the assembly of de-
an important tradition historically because the writings of
ities in the man:d:ala described in this text, and sometimes to
Buddhajña¯napa¯da and his students contain numerous quota-
the man:d:ala’s central deity. The Guhyasama¯ja Tantra was
tions from the root scripture, demonstrating that it was es-
composed in India by the early eighth century. The earliest
tablished by the late eighth century. The man:d:ala of this tra-
datable reference to the Tantra is in a text written by
dition is a relatively simple one, centering around the
Amoghavajra, a Sogdian monk active in China, namely his
Buddha Mañjuvajra, who is in turn surrounded by four other
Index of the Vajra´sekhara Su¯tra Yoga in Eighteen Sections (Jin-
buddhas: Vairocana (east), Ratnaketu (south), Amita¯bha
gang-ding yu-qie shi-ba-hui zhi-gui, T. 869), which he com-
(west), and Amoghasiddhi (north)—together with their con-
posed during the mid-eighth century. In it, Amoghavajra
sorts, Locana¯, Ma¯mak¯ı, Pa¯n:d:ara¯, and Ta¯ra¯. This inner circle
lists a text called the Guhyasama¯ja Yoga (mi-mi-hui yu-qie),
is in turn surrounded by the ten “Fierce Kings,” krodhara¯jas,
his description of which is clearly identifiable with portions
for a total of nineteen deities.
of the Tantra. Most likely the text at this period was some-
what shorter than the ultimate version, which was estab-
The second school, which developed somewhat later, is
lished by the late tenth century when it was translated into
known as the “Noble” (a¯rya) school, since its primary texts
Chinese and Tibetan.
are attributed to Na¯ga¯rjuna (second century CE), A¯ryadeva
The Guhyasama¯ja Tantra consists of eighteen chapters,
(c. 170–270 CE), and Candrak¯ırti (c. 600–650 E). It super-
the last of which is clearly a late addition and is often treated
ceded the former school, and also advocated an expanded
as a separate text titled the Uttara Tantra. It is notable for
man:d:ala with thirty-two deities. Its central deity is Aks:obhya
its erotic language and its avocation of transgressive practices,
Buddha, in sexual union with his consort, Spar´savajra¯. In ad-
including the sacramental consumption of sexual fluids, as
dition to the four buddha couples and ten Fierce Kings, it
well as the consumption of other substances deemed impure
also added eight bodhisattvas and four additional goddesses.
by contemporary Indian society, such as feces. The
It was this school that was primarily responsible for the so-
Guhyasama¯ja is also one of the first Buddhist Tantras to de-
phisticated system of hermeneutics that became greatly influ-
pict its central buddhas in sexual union with consorts. The
ential in Tibetan Buddhist circles.
Guhyasama¯ja man:d:ala is built upon the foundation estab-
While the Guhyasama¯ja tradition, like all other Bud-
lished by the Sarvatathaga¯ta-Tattvasamgraha, taking the core
dhist traditions, disappeared in India during the late medi-
of that man:d:ala, a central buddha surrounded by four other
eval period, its texts and practice was preserved in Nepal. In
buddhas in the cardinal directions, and giving each a consort.
addition, the tradition was also disseminated to Tibet and
The man:d:ala is thus centered upon five deity couples in sex-
East Asia. The Guhyasama¯ja Tantra was translated into Chi-
ual union. Matching this imagery, the text is replete with
nese by Da¯napa¯la around 1002 CE. The ritual and practice
erotic language, most notably in its infamous opening verse:
tradition associated with it, however, did not take root in
“Thus have I heard: At one time the Blessed Lord resided in
East Asia. The tradition was successfully transmitted to
the vulvas of the Adamantine Ladies [vajrayos:idbhages:u], the
Tibet. The standard Tibetan version was translated by the
essence of the Body, Speech, and Mind of all Tatha¯gatas.”
Tibetan scholar Rin chen bzang po (Rinchen Zangpo, 958–
The Guhyasama¯ja Tantra was revolutionary in being
1055 CE) and the Ka´smiri scholar S´raddha¯karavarman
one of the earliest Buddhist Tantras to openly proclaim the
around the same time, circa 1000 CE. From Tibet it was 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
GUN:AS
3709
transmitted to Mongolia, where it remained an important
of the word is found in medical parlance but is not confined
and popular tradition up until the decimation of Buddhism
to that context. It is also found in Mimamsa exegesis of the
there under the Communists. In Tibet it remained an impor-
merits of action, including mental and verbal activities.
tant element of contemporary Buddhist practice. It is studied
and practiced by all Tibetan Buddhist schools, although it
Perhaps related to the foregoing, Sa¯m:khya metaphysics
is particularly emphasized by the Dge lugs (Geluk) school.
postulates three gun:as as the constituents of pr:akrti, or mate-
While Buddhism in Tibet has suffered under Communist
rial nature. These three qualities are known as sattva, rajas,
Chinese rule, the tradition remains in practice among Tibet-
and tamas, terms that are somewhat difficult to translate into
an communities in diaspora, as well as among the Buddhist
simple English. Sattva connotes the bright, light, buoyant,
groups founded by Tibetan lamas in exile around the world.
wise, good, transparent aspects of nature and all creations.
Tamas connotes their opposites, hence what is dark, heavy,
SEE ALSO Tantrism.
dull, bad, opaque. Rajas is viewed in Sa¯m:khya as the catalytic
or dynamic principle in things that accounts for all spiritual
BIBLIOGRAPHY
and material change and activity. According to Sa¯m:khya, all
Davidson, Ronald. Indian Esoteric Buddhism: A Social History of
substance, whether mental or physical, consists of a mixture
the Tantric Movement. New York, 2002. An excellent over-
of these three gun:as in certain proportions. During pralaya,
view of the history of esoteric Buddhism in India, with a crit-
the period when the material universe is reabsorbed into its
ical discussion of the history of the Guhyasama¯ja Tantra and
its exegesis.
unmanifest state, the three gun:as are in equilibrium. At the
time of creation, that is, at the onset of another cycle of man-
Fremantle, Francesca, ed. and trans. “A Critical Study of the
Guhyasama¯ja Tantra.” Ph.D. diss., University of London,
ifestation of the universe, an imbalance among the gun:as oc-
1971.
curs, and thus differentiation takes place.
Giebel, Rolf W. “The Chin-kang-ting ching yü-ch’ieh shih-pa-hui
In the Vai´ses:ika system of classification, gun:a is the
chih-kuei: An Annotated Translation.” Journal of Naritasan
name of the second of seven categories of being. A gun:a in
Institute for Buddhist Studies 18 (1995): 107–201. A detailed
study of Amoghavajra’s text that contains the earliest refer-
this system is a particular characteristic of an individual sub-
ence to the Guhyasama¯ja.
stance, for example, the specific patch of color that is dis-
Matsunaga, Yukei, ed. The Guhyasama¯ja Tantra. Osaka, 1978. A
played in a certain piece of cloth at a given instant. A gun:a
superior critical edition of the text.
for Vaisesika is a fleeting quality related for only a few mo-
Thurman, Robert. “Vajra Hermeneutics.” In Buddhist Hermeneu-
ments to its possessor, which must be a substance (dravya).
tics, edited by Donald Lopez Jr., pp. 119–148. Honolulu,
Particular colors, tastes, sounds, smells, and textures are
1988. An introduction to the A¯rya school of exegesis.
gun:as; so too are numbers, contacts and disjunctions, desires
Wedemeyer, Christian. “Tropes, Typologies, and Turnarounds:
and aversions, effort and awareness, as well as karmic and
A Brief Genealogy of the Historiography of Tantric Bud-
memory traces.
dhism.” History of Religions 40, no. 3 (2001): 223–259. A
general critique of Tantric historiography with a specific dis-
In Jainism, gun:a is one of three inherent qualities of
cussion of the dating of the A¯rya school of exegesis.
every material thing (pudgala). Each bit of matter is a dravya
Yangchen Gawai Lodoe. Paths and Grounds of Guhyasamaja ac-
possessing certain kinds of features (gun:as) that are presented
cording to Arya Nagarjuna. Dharamsala, 1995. A good intro-
in various modes (parya¯yas). Thus a gun:a in Jainism is not
duction to the traditional Tibetan understanding of the text
substantial, as Sa¯m:khya gun:as are, but neither is it adventi-
and its associated practices.
tious or evanescent, as are Vaisesika gun:as. A Jain gun:a is a
DAVID B. GRAY (2005)
generic feature of the kind of substance comprising an indi-
vidual object—earthy, hot, and so forth. The quantitative
and qualitative variations of these features are their modes.
GUIDE, SPIRITUAL SEE SPIRITUAL GUIDE
SEE ALSO Prakr:ti; Sa¯m:khya; Vai´ses:ika.
GUILT SEE SIN AND GUILT
BIBLIOGRAPHY
Sa¯m:khya interpretations of gun:as are reviewed in Gerald James
Larson’s Classical Sa¯m:khya: An Interpretation of Its History
GUN:AS. Gun:a is a Sanskrit word etymologically suggest-
and Meaning, 2d ed. (Santa Barbara, Calif., 1979). For the
ing a “strand” or “thread,” several of which when intertwined
views of the Vai´ses:ikas, see Indian Metaphysics and Epistemol-
make up a rope. The term is defined and applied in numer-
ogy: The Tradition of the Nya¯ya-Vai´ses:ka up to Gan˙ge´sa, vol-
ous ways, depending on the governing systematic assump-
ume 2 of the Encyclopedia of Indian Philosophies, edited by
tions and/or philosophical contexts. Four of the most com-
Karl H. Potter (Princeton, N. J., 1977). Jain views are dis-
mon usages are described below.
cussed in Padmanabh S. Jaini’s The Jaina Path of Purification
(Berkeley, Calif., 1979).
The gun:as or “virtues” of an animate or inanimate ob-
ject can be contrasted with its dos:as, or “faults.” This sense
KARL H. POTTER (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
3710
GUO XIANG
GUO XIANG (d. 312 CE), Chinese thinker associated
the unutterable reality. In avowing that names were an in-
with the xuanxue (“dark learning” or “school of mystery”)
complete expression of the hidden source of existence, Guo
movement. A rationalist mystic and naturalist pantheist,
Xiang was writing against the Confucian perspective as it de-
Guo Xiang is the author of a commentary on the Zhuangzi,
veloped in the “school of names” (mingjiao). The “determin-
the only text of his still extant and the best known and oldest
ism” Guo Xiang showed was nothing more than common
of all the Zhuangzi commentaries still in existence. Guo
sense: we must cope with what is unavoidable. Yet the partic-
Xiang also edited the text of the Zhuangzi itself. In establish-
ipation in the world he advocated was a mystical one, very
ing the version we have today he reduced the size of the text,
near the Daoist ideal. Kuo rejected everything supernatural
chose what seemed to him to be “the best and most complete
and by so doing he came close to the Chinese “rationalists”
parts” to make a coherent whole, rejected some parts, and
such as Wang Chong, but because he allotted a large place
arranged the whole in thirty-three chapters. All the complete
to xuan, the Mystery, the undefinable, he is associated with
versions of the Zhuangzi known at present are derived
xuanxue. Nevertheless, in denying the central role of the con-
from his.
cept of wu (nonbeing)—Guo Xiang maintains wu is a mere
negation, that it simply serves to negate the existence of any-
Guo Xiang’s commentary both develops a personal phi-
thing that gives birth to beings outside themselves, and that
losophy and makes a radical reinterpretation of the Zhuang-
wu implies a total absence of a source other than an imma-
zi. That the universe produces itself and is not produced by
nent one—he is at odds with Wang Bi, the movement’s most
another is the starting point and the central concept of Guo
prominent exponent. By his treatment of some of Zhuangzi’s
Xiang’s system. The universe contains all the attributes of the
terms, Guo Xiang prepared the way for the diffusion of the
Absolute: it exists eternally and necessarily and is self-
Zhuangzi among Buddhist thinkers.
sufficient. Beings come into existence of themselves; their
true nature is their self-beingness. They are defined as identi-
SEE ALSO Wang Bi; Zhuangzi.
cal to themselves, and this identity is identical in each of
them: thus Guo Xiang understands Zhuangzi’s “identity of
BIBLIOGRAPHY
beings” as a type of monism. The Great One (tai) or, some-
Fukunaga Mitsuji. “Kaku Sho¯ no So¯shi kaishaku.” Tetsugaku
times, the Ether (qi) is the universal force that is the source
kenkyu¯ 37 (1954): 108–124, 166–177.
of the self-production of beings; every phenomenon repre-
Fung Yu-lan. Chuang-tzu: A New Selected Translation with an Ex-
sents a varying state of dispersion or condensation of the
position of the Philosophy of Kuo Hsiang (1933). 2d ed. New
Ether. But Guo Xiang escapes complete monism by admit-
York, 1964.
ting the notion of fen, “allotment” or “limit.” Beings are dif-
Nakajima R. “Kaku Sho¯ no shiso¯ ni tsuite.” Shu¯kan to¯yo¯gaku 24
ferentiated by the congenital limitations of their existential
(1970): 43–60.
and social possibilities (their span of life, their natural en-
Robinet, Isabelle. “Kouo Siang ou le monde comme absolu.”
dowment, their place in society). These limitations assign the
T’oung-pao 69 (1983): 73–107.
place they must take in society and the universe, which place
Togawa Yoshio. “Kaku Sho¯ no seiji shiso¯ to sono So¯shi chu¯.” Nip-
in turn actualizes and manifests their being. The relation that
pon chu¯goku gakkaiho¯ 18 (1966): 142–160.
obtains between these limitations of beings (fen) follows a
natural pattern (li), an immanent principle of order that is
ISABELLE ROBINET (1987)
established spontaneously (ziran) without any external agent.
In order to achieve their own totality, individuals must ac-
cept the elements that compose their being: spontaneity (a
GURDJIEFF, G. I. Georgii Ivanovich Gurdzhiv
universal, natural, and nonpersonal force that lies within
(1866–1949) was a spiritual teacher of esoteric knowledge
each of us and is distinct from the ego), limitations in time
who claimed to have discovered specific methods for devel-
and society (fen), and, finally, “daily renewal” (an incessant
oping the human consciousness toward a more awakened
state of change characteristic of all beings). In this way, indi-
state. Gurdjieff was born of a Greek father and Armenian
viduals enter into a “marvelous coincidence” with themselves
mother in Alexandropol in the Cappadocian Greek quarter
and with the oneness of the world, into that mystic fusion
on the Russian side of the Russian-Finnish border. The date
with the immanent force that produces everything and has
of his birth is disputed to be as much as eleven years later,
no beginning or end.
due perhaps to a mistake on his passport. Gurdjieff himself
Guo Xiang was not a Confucian. He valued Confucian
maintained that he was born in 1866, a date that is corrobo-
virtues after the fashion of Daoists; he did not believe in a
rated by a number of sources.
life after death, a denial incompatible with the ancestor cult.
The gifted boy, who came to use the Russian name
He also advocated governing by wuwei (noninterference), a
Gurdjieff, was carefully schooled for a career in either the Or-
Daoist emphasis. If he acknowledged a social life, it was be-
thodox priesthood or in medicine. However, even as a teen-
cause society was an inescapable fact, but he held that
ager he was convinced of the existence of perennial wisdom
“names” (titles and official functions) in society were external
and secret knowledge that held the answers to life’s ultimate
aspects that must be “forgotten” in order to gain union with
questions. For this reason, Gurdjieff left the academic world
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GURDJIEFF, G. I.
3711
and engaged in a quest that took him to Central Asia, includ-
unconventional life, and to take great risks in travel and spiri-
ing upper Tibet, and the Middle East. Some of the signifi-
tual practice.
cant events of this journey are recorded in Meetings with Re-
The central idea in Gurdjieff’s thought is that human
markable Men (begun in 1927 and revised over the years; first
consciousness can be awakened to a much greater degree
published in 1963), which British director Peter Brook made
than most people experience. In fact, there is a “Real I” inside
into a movie in 1979.
all people, which can be uncovered, but only by those who
In 1912 Gurdjieff took up residence in Moscow and at-
are devoted to finding this divine essence in themselves. His
tracted a circle of students there and in Saint Petersburg.
monumental work, Beelzebub’s Tales to His Grandson (1949),
Having previously read the Tertium Organum published in
is an allegory of a being in a spaceship who observes the
Russian in 1911 (1920 in English) by P. D. Ouspensky
“hell” of life on earth and the misery of the “three-brained
(1878–1947), Gurdjieff accepted Ouspensky as a pupil in
beings” who inhabit the planet. Humans are composed of
1915. The musician and composer Thomas de Hartmann
ordinary waking consciousness, which is fictitious; the sub-
(1885–1956) and his wife Olga also joined the circle. To
conscious, which is closer to reality; and the state of transfor-
avoid the difficulties of life during the Bolshevik Revolution,
mation or higher consciousness, which religions might call
Gurdjieff led his followers to the Caucasus and stayed in Tbi-
“spirit” (pneuma, buddhi, or a¯tman). Beings who live only by
lisi, Georgia. There in 1919, he accepted the artist Alexandre
the perceptions of waking consciousness are disrespectfully
de Salzmann (1874–1934) and his wife Jeanne as disciples.
called “slugs” by Beelzebub’s grandson, a truth seeker.
In collaboration with de Hartmann, Gurdjieff composed
Methods for attaining the Real I included meditation
music based on an inversion of the Greek diatonic Dorian
at dawn and dusk, meditation on sacred music, and intense
mode (EDCBAGFE) found in Plato’s Timaeus. Working
self-observation to assess one’s automatic, as opposed to truly
with his gifted pupils, Gurdjieff also choreographed 250 en-
conscious, actions. The teachers Gurdjieff encountered in
semble movements of Sacred Dances, which illustrated his
Russia and in the Middle and Far East were described as
spiritual teachings and were performed in public. He then
being on the verge of attaining or having attained this higher
traveled to Constantinople and to London, where the promi-
consciousness. At the end of Meetings with Remarkable Men,
nent editor A. R. Orage (1873–1934) joined his group.
having discovered a sacred place, Gurdjieff wrote that
Finally settling in France, Gurdjieff opened the Institute
“among the adepts of this monastery were former Christians,
for the Harmonious Development of Man at Prieuré des
Mohammadens, Buddhists, Lamaists, and even one Shaman-
Basses Loges at Fontainebleau-Avon in 1922. There he at-
ist. All were united by God the Truth” (p. 239).
tracted international pupils, including the dying author
In spite of his emphasis on experience, Gurdjieff’s con-
Katherine Mansfield (1888–1923) from New Zealand. In
tribution was concerned with cosmology, metaphysics, and
1924 he toured with a group of dancer-disciples that per-
evolution. For example, Beelzebub teaches his grandson that
formed Sacred Dances in New York, Chicago, Boston, and
all beings were “Rays of Creation” from the “Common Fa-
Philadelphia. While in the United States he attracted other
ther Endlessness Himself” (one of the many names for the
prominent students, including the editor and writer Jane
Absolute [God]). According to Gurdjieff, Charles Darwin
Heap (1887–1964).
(1809–1882) had explained little about human evolution be-
After surviving a near fatal auto accident in 1924 and
cause he did not account for the human inner nature as di-
the trauma of his wife’s death in 1926, Gurdjieff continued
vine emanations. Human beings on the “minor planet earth”
to teach in Prieuré until financial problems forced its closure
have lost touch with their origins and reasons for existence
in 1933. After another visit to the United States, he settled
due to mindlessly following conventional religions and polit-
permanently in Paris. There he constituted an exclusively les-
ical leaders. Humans are actually governed by cosmic laws,
bian group, including the author of The Nun’s Story (1956),
which are a part of their psychic makeup. Tragically, humans
Kathryn Hulme (1900–1981). In 1930 René Daumal
are caught up in materialism, external success, and the unat-
(1908–1944) and his wife Vera joined Gurdjieff’s other Pari-
tainable goal of happiness. They are hopelessly lost unless
sian circle. Gurdjieff remained in Paris during the Nazi occu-
they can return to the Real I. The final part of the All and
pation. His followers helped hide Jewish members of their
Everything series, Life Is Real Only Then, When “I Am” (1950)
group. He continued to teach, and died in 1949 in Neuilly,
deals with aspects of this teaching that are accessible only to
France.
his most devoted students. Ouspensky, in his record of
Gurdjieff’s talks, In Search of the Miraculous (1949), explains
Gurdjieff remains a mysterious and controversial figure
these ideas further. In 1924 Gurdjieff and Ouspensky broke
even into the twenty-first century. He has been called every-
off their association in spite of their similar teachings.
thing from a charlatan to a master of wisdom. Those who
knew him well considered him to be a profound seeker after
Gurdjieff’s work was carried on by his pupil, Jeanne de
truth, which included the meaning in life, the origins and
Salzmann (1889–1990), who organized the Gurdjieff Foun-
reasons for human existence, and the potentiality for humans
dation in 1953 in New York. The foundation dispenses the
to expand their consciousness. In order to achieve these ends,
teachings of Gurdjieff and Ouspensky in London, Paris, San
Gurdjieff was willing to break the rules of custom, to live an
Francisco, and centers all over the world. The quarterly
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GURU
¯
3712
Gurdjieff International Review publishes essays and commen-
York, and Fontainebleau. Includes interesting paintings by
tary about Gurdjieff and his teachings.
Felix Labisse and George Rahner Ferro.
S
Pentland, John. Exchanges Within: Questions from Everyday Life.
EE ALSO Ouspensky, P. D.
New York, 1997. Gurdjieff’s teaching about life’s basic ques-
tions and his interaction with his students.
BIBLIOGRAPHY
Works by Gurdjieff
Peters, Fritz. Boyhood with Gurdjieff. New York, 1964. A boy who
Gurdjieff, G. I. All and Everything. New York, 1950. Original
grew up in Gurdjieff’s circle shows him to be “all too
publication that includes Beelzebub’s Tales to His Grandson,
human” while retaining a deep reverence for him.
Meetings with Remarkable Men, and Life Is Real Only Then,
Peters, Fritz. Gurdjieff Remembered. New York, 1965. An intimate
When “I Am.”
of the Gurdjieff circle discusses teachings, arguments, and
Gurdjieff, G. I. Herald of the Coming Good. Paris, 1933; reprint,
problems that led to the split between Gurdjieff and Ous-
New York, 1970. Gurdjieff discusses the great future for the
pensky.
human race during the dark days prior to World War II.
Speeth, Kathleen Riordan. The Gurdjieff Work. New York, 1989.
Gurdjieff. G. I. Meetings with Remarkable Men. New York, 1974.
A clearly written book on Gurdjieff’s fundamental ideas and
An autobiographical account of Gurdjieff’s travels and en-
how his “Fourth Way” teachings were diffused in the West,
counters with people who attained spiritual realizations on
influencing such individuals as the physiologist Moshé Fel-
the path.
denkreis, the painter Georgia O’Keeffe, and many writers.
Gurdjieff, G. I. Views from the Real World: Early Talks in Moscow,
Walker, Kenneth. The Making of Man. London, 1963. A short,
Essentuki, Tifli, Berlin, London, Paris, New York, and Chicago
readable book on the teachings of Gurdjieff and Ouspensky
as Recollected by His Pupils. New York, 1975. A discussion
on cosmic consciousness and cosmic laws.
by Gurdjieff regarding what it would be like to view things
as they really are from an objective enlightened state.
Webb, James. The Harmonious Circle: The Lives and Work of
G. I. Gurdjieff, P. D. Ouspensky, and Their Followers. New
Gurdjieff, G. I. Life Is Real Only Then, When “I Am.” New York,
York, 1980. A discussion of Gurdjieff’s experiments to im-
1982. Gurdjieff’s friendly advice for getting in contact with
plement harmony and personal development in his inner cir-
the real “other being” beyond the instinctive, emotional, and
cle.
thinking person.
Gurdjieff, G. I. Beelzebub’s Tales to His Grandson: An Objectively
Critical Perspectives
Impartial Criticism of the Life of Man. New York, 1999. A
Needleman, Jacob, George Baker, and Bruno de Panaflieu, eds.
allegory of the problems and potential of the human race as
Gurdjieff: Essays and Reflections on the Man and His Teaching.
seen by a great being from outer space.
New York, 1996. A collection of essays that attempt to objec-
tively evaluate the life and work of Gurdjieff.
Works from Sources Close to Gurdjieff
Anderson, Margaret. The Unknowable Gurdjieff. New York, 1962.
Woodson, Jon. To Make a New Race: Gurdjieff, Toomer, and the
A clearly written work by an intimate of his circle, which in-
Harlem Renaissance. Jackson, Miss., 1999. A critical look at
cluded Jane Heap and Kathryn Hulme, discussing the diffi-
Gurdjieff’s ideas and an interesting view of his influence on
culties of understanding Gurdjieff and his doctrines.
the poet Jean Toomer.
Bennett, J. G. Gurdjieff: Making a New World. New York, 1973.
Internet Sources
A discussion of Gurdjieff’s life and teaching and a portrait
Gurdjieff International Review. “Selected Excerpts from the Talks
of him as a man by one of his associates.
and Writings of G. I. Gurdjieff.” Available from http://
Driscoll, J. Walter, and the Gurdjieff Foundation. Gurdjieff: An
www.gurdjieff.org/gurdjieff2.htm.
Annotated Bibliography. New York, 1985. Compiled by
Moore, James. “Gurdjieff Chronology.” Available from http://
Jeanne de Salzmann and others.
www.gurdjieff.org/chronology.htm.
Moore, James. Gurdjieff and Mansfield. London, 1980. A portrait
Needleman, Jacob. “G. I. Gurdjieff and His School.” Avail-
of the relationship between Gurdjieff and Katherine Mans-
able from http://www.bmrc.berkeley.edu/people/misc/
field.
School.html.
Moore, James. Gurdjieff, the Anatomy of a Myth: A Biography.
Dorsett, U.K., 1991. An attempt to reveal and differentiate
JUDY D. SALTZMAN (2005)
truths, with good stories about Gurdjieff and his doctrines.
Nicoll, Maurice. Psychological Commentaries on the Teaching of
Gurdjieff and Ouspensky. London, 1952–1956; reprint, Bos-
ton, 1984. A difficult work setting forth the major ideas that
GURU
¯ . The word guru¯ refers to a spiritual master or teach-
Gurdjieff and Ouspensky held in common on psychology
er whose gift or skill bears an esoteric dimension. Though
and the spiritual evolution of the human race.
derived from the Hindu tradition, the term guru¯ has also
Ouspensky, P. D. In Search of the Miraculous: Fragments of an Un-
come to be applied to spiritual masters of other religious tra-
known Teaching. New York, 1949. Ouspensky’s notes and
ditions, and to masters in other areas of expertise, such as
records of Gurdjieff’s most important teachings and discus-
music, dance, and even business. The Sanskrit term guru¯ was
sions with his pupils.
originally used in its Vedic context as an adjective meaning
Pauwels, Louis. Gurdjieff. New York, 1972. A portrait of Gurd-
“heavy” or “weighty.” In the Upanis:ads, it came to refer to
jieff’s personal interaction with his groups in Paris, New
a person who had reached the highest state of spiritual real-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GURU
¯
3713
ization (moks:a) and who was able to lead others to the same.
have been told to a high-minded man, who feels the highest
The guru¯ may be distinguished from a Hindu sadhu, in that
devotion for God, and for his Guru as for God, then they
the role of the guru¯ consists mainly in teaching disciples (sh-
will shine forth,—then they will shine forth indeed”
ishyas), and from an a¯ca¯rya or pan:d:it in that the teaching of
(S´veta¯´svatara Upanis:ad 6:23). Disciples generally recognize
the guru¯ is based primarily on personal spiritual experiences
the teachings of a guru¯ as the ultimate truth. While Hindu
rather than on traditional religious knowledge. As such, the
guru¯s acknowledge the authority of the Hindu scriptures,
guru¯-disciple relationship represents the Hindu form of the
they are autonomous in interpreting these scriptures. This
phenomenon of spiritual direction that may be found in
explains the rich diversity of teaching traditions within
most religious traditions. The guru¯ may be regarded as the
Hinduism.
Hindu equivalent to the figure of the kalya¯na mitra in
Therava¯da Buddhism, the roshi in Zen Buddhism, or the
While a guru¯ may be regarded as God in the Hindu tra-
lama in Tibetan Buddhism. Parallels to the guru¯ may also be
dition, the authority of the guru¯ is still constituted solely by
found in the figures of the tsaddiq within the Hasidic tradi-
a disciple’s recognition of this divinity. It is often said in
tion of Judaism, the shaykh or pir in Sufism, the starets within
Hinduism that it is the disciple who makes the guru¯. In the
the Eastern Orthodox tradition of Christianity, or the novice
Upanis:ads, a disciple approached the guru¯ with fuel in the
master and spiritual director in Catholic monasticism. In
hand, expressing a desire to serve the guru¯ (by tending to his
each case, the spiritual master is believed to represent the
sacrificial fire). Upon acceptance, the disciple underwent a
highest spiritual realization within that particular tradition,
formal initiation (d¯ıksha¯) symbolizing a new birth from the
and is expected to lead others to that state both by example
guru¯ and incorporation within the guru¯’s household
and by teaching. All spiritual traditions emphasize the im-
(guru¯kula). Disciples often remained with the guru¯ for more
portance of the complete surrender of the disciple to the spir-
than a decade, practicing various forms of asceticism and self-
itual master as a condition for spiritual growth. While most
abnegation under the guidance of the guru¯. In later times,
traditions regard the master-disciple relationship as only one
the religious community surrounding a guru¯ came to be
form of religious observance, often reserved for a spiritual
called an a¯´srama (ashram). A¯´sramas usually consist of a
elite, within the Hindu religious tradition the figure of the
group of core members who are totally devoted to the guru¯
guru¯ has come to play a central role.
and have often taken vows of celibacy and renunciation
(sannya¯sa), and of a larger group of followers who may come
TRADITIONAL UNDERSTANDINGS OF THE GURU¯. The im-
and stay with the guru¯ for various lengths of time without
portance of the guru¯ within the Hindu tradition is directly
renouncing the world. However, some guru¯s may instead
related to the pursuit of moks:a (liberation) as the highest and
adopt a more itinerant lifestyle and visit disciples in their
ultimate religious goal. In the Upanis:ads, this state of moks:a
own villages and homes.
is expressed in terms of the realization of the nonduality of
a¯tman (deepest Self) and brahman (ultimate reality). The
From the outset, each relationship between guru¯ and
guru¯ came to be regarded as the embodiment of this state,
disciple has been regarded as unique or irreplaceable. The
and as the only means through which it could be attained.
guru¯ generally adapts the teaching to the spiritual needs and
Since the experience of moks:a is considered to be unfathom-
level of spiritual development of the disciple. This has at
able in words, it could only be exemplified and pursued
times generated an image of the guru¯ as being unpredictable.
through one who had already reached that state.
Guru¯s often act and relate to disciples in ways that defy com-
mon sense. Disciples are expected to uncritically accept the
Thus, the Mun:d:aka Upanis:ad states, “nothing that is
particular teaching and discipline imparted upon them by
eternal (not made) can be gained by what is not eternal
the guru¯ and to maintain faith in the guru¯’s capacities of dis-
(made). Let him, in order to understand this, take fuel in his
cernment. Since the ultimate goal of the guru¯-disciple rela-
hand and approach a Guru who is learned and dwells entirely
tionship is not the acquisition of objective knowledge but re-
in Brahman” (1:2:12). In the Maitr¯ı Upanis:ad the disciple
alization of the deepest Self (a¯tman), not only the path, but
addresses the guru¯ with the following words: “In this world
also the goal of every guru¯-disciple relationship is considered
I am like a frog in a dry well. O Saint, thou art my way, thou
to be unique. It is only the guru¯ who is able to acknowledge
art my way” (1:4). Thus, the figure of the guru¯ effectively be-
the attainment of self-realization in the disciple, since, as it
came, as David Miller put it, the “centre of sacredness” in
is said, the one who attains it “does not know, yet he is know-
Hinduism.
ing, though he does not know” (Br:hada¯ran:yaka Upanis:ad
4:3:30). While the attainment of the state of realization
As the embodiment of the ultimate state of realization,
marks the end of the guru¯-disciple relationship, Hindus gen-
the guru¯ came to be endowed with divine attributes. In the
erally maintain a reverence for their guru¯ throughout their
Mun:d:aka Upanis:ad it is said that “he who knows that highest
lives.
Brahman, becomes even Brahman” (3:2:9). There is no
higher authority in Hinduism than the one who has attained
The guru¯-disciple relationship has formed the basis for
the knowledge of brahman. The guru¯ thus came to be regard-
the development of various teaching traditions (samprada¯yas)
ed as God, and recognition of the divinity of the guru¯ was
within Hinduism. Each samprada¯ya is based on a lineage of
seen as a condition for reaching liberation: “If these truths
teachers (guru¯parampara¯) in which the authority of a guru¯
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GURU
¯
3714
is legitimated by the previous guru¯s. In the end, however, it
the Tantric tradition, states, “There is nothing greater than
is the capacity of a guru¯ to generate and maintain a religious
the guru¯.”
commitment from disciples that sustains a tradition. Teach-
All three functions of the guru¯—teaching, initiation,
ing traditions may disappear and new ones may emerge at
and imparting love and grace—may be found to various de-
any given time.
grees in any particular guru¯. While some guru¯s may be clearly
DIFFERENT ROLES AND FUNCTIONS OF THE GURU¯. The sta-
situated within one or the other tradition of Hinduism, most
tus and role of the guru¯ may be variously defined and legiti-
combine elements from the different Hindu traditions and
mated within any particular teaching tradition. Certain gen-
even from other religious traditions within their teachings
eral characteristics distinguish the conception of the guru¯
and practices.
within the traditions of Advaita Veda¯nta, Bhakti, and Tan-
Because of the absolute authority of the guru¯, the Hindu
trism. Within Advaita Veda¯nta, the guru¯ is predominantly
tradition has always been conscious of the possibility of abuse
regarded as a teacher who imparts spiritual wisdom to the
of this authority by false guru¯s or pseudo-guru¯s who exploit
disciple. S´an˙kara (788–820), the founder of this tradition,
disciples for their own purposes. In the Mun:d:aka Upanis:ad,
framed the relationship between guru¯ and disciple in terms
one is warned of “fools dwelling in darkness, wise in their
of ´sravan:a (listening), manana (contemplation), and
own conceit, and puffed up with vain knowledge, [who] go
nididhya¯sana (meditation). High demands are put upon a
round and round staggering to and fro, like blind men led
disciple who must be “a seeker after final release whose mind
by the blind” (1:2:8). This is why many Hindu texts enumer-
has been calmed, whose senses have been controlled, whose
ate in great detail the various qualities that characterize a real
faults have been abandoned, who is acting as prescribed [in
guru¯. Among these, complete freedom from desire and from
the scriptures], who is endowed with virtues, and who is al-
conceit plays a central role.
ways obedient” (Upade´sasa¯hasr¯ı 1:16:72). The guru¯, on the
other hand, must be endowed with tranquility, self-control,
The guru¯ is of central importance in Sikhism, which is
lack of attachment to enjoyments “visible and invisible,” and
based on a lineage of ten human guru¯s, from Sikhism’s
freedom from faults such as “deceit, pride, trickery, wicked-
founder Guru¯ Na¯nak (1469–1539) to its tenth leader, Guru¯
ness, fraud, jealousy, falsehood, egotism, [and] self-interest”
Gobind Singh (1666–1708), after whom guru¯ship became
(Upade´sasa¯hasr¯ı 2:1:6). The guru¯ must not only be liberated
enshrined in the collection of hymns known as the Guru¯
(j¯ıvanmukti) but also filled with compassion and a willing-
Granth Sa¯hib, or Sikh scriptures. God is considered as the
ness to share spiritual knowledge with others. S´an˙kara insti-
“Guru¯ of Guru¯s,” and some Sikhs also believe in a living
tutionalized the guru¯-disciple relationship through the estab-
guru¯.
lishment of five monasteries (mat:has) in Sringeri, Kanchi,
Dwaraka, Puri, and Badrinath. The heads of these monaste-
MODERN DEVELOPMENTS. Since the beginning of the twen-
ries are called jagadguru¯s, or “world teachers.” These teachers
tieth century, the concept of the guru¯ has undergone a num-
differ from other guru¯s in that their responsibilities also in-
ber of changes. While the function of the guru¯ was tradition-
clude administration and their authority generally extends
ally limited to the spiritual sphere, guru¯s have become
beyond their own immediate group of disciples.
increasingly more active in the political and social realm,
contributing to Indian nationalist movements and causes.
Within the devotional (bhakti) traditions of Hinduism,
Figures such as Swami Dayananda Saraswati, founder of
the relationship between guru¯ and disciple is generally of a
A¯rya Sama¯j, formulated an ideology in which spirituality was
more affective nature. It is the love and grace of the guru¯ that
inseparable from national identity. The combination of spiri-
is here regarded as the principal means of salvation. The guru¯
tual and political authority was also evident in a figure like
may be regarded as a divine incarnation or avata¯ra, who has
Mohandas Gandhi. Many Hindu guru¯s are actively involved
the capacity to remove spiritual obstacles in the disciple.
in the Vishwa Hindu Parishad (VHP), the religious or ideo-
Much of the spiritual practice consists of expressions of lov-
logical branch of the political Bharatiya Janatha Party (BJP).
ing devotion to the guru¯, who is worshiped as a God. In the
While guru¯s traditionally focused on individual and purely
absence of the guru¯, it is customary to worship the slippers,
spiritual relationships with disciples, these guru¯s have devel-
seat, statue, or picture of the guru¯.
oped more public roles as advisors to political leaders and ad-
vocates of political agendas.
In the Tantric tradition, the role of the guru¯ is concen-
trated in the imparting of d¯ıksha¯, or initiation. It is here that
A second development has been the internationalization
the idea of the indispensability of the guru¯ reaches its highest
of the mission and following of Hindu guru¯s. The popularity
expression. A disciple cannot conceive of the possibility of
of a number of Hindu guru¯s (Ra¯makrishna Paramahamsa,
liberation without receiving a mantra and the transmission
Aurobindo Ghose, Ramana Maharshi, Paramahamsa
of power (shaktipa¯t) from the guru¯. In the tradition of Kash-
Yoga¯nanda, Maharishi Mahesh Yogi, Swami Mukta¯nanda,
mir S´aivism, this power is believed to awaken the spiritual
Krishnamurti, Bhagavan Shree Rajneesh, Sathya Sai Baba,
energy (kun:d:alin¯ı) in the disciple, transforming him or her
etc.) has led to the development of a¯´sramas and centers in
from within. Here, the guru¯ is often regarded as superior to
many countries outside India and to new challenges of tend-
God. The refrain of the Guru¯ G¯ıta¯, a text widely used within
ing to the spiritual needs of disciples from very different 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
GURU
¯ GRANTH SA¯HIB
3715
tural and religious backgrounds, including many who live a
BIBLIOGRAPHY
great distance from the guru¯. While most of the more famous
The first systematic treatments of the figure of the guru¯ in Western
guru¯s have come to spend much of their time traveling
languages may be found in Louis Renou’s introduction to
throughout the world visiting disciples who gather in large
Hinduism (New York, 1962) and in Jan Gonda’s Change and
Continuity in Indian Religion (The Hague, 1965). The theme
numbers to receive their dar´san (vision), others remain in
of the absolute centrality of the guru¯ in Indian religion is de-
India and have disciples from all over the world visit them
veloped by David Miller in “The Guru as Centre of Sacred-
there. The international outreach of some guru¯s and the in-
ness,” Studies in Religion 6, no. 5 (1976–1977): 527–533.
crease in funds and material support has also led to new styles
More specialized studies of the role of guru¯ in particular
of teaching through high-tech means of communication.
schools or traditions of Hinduism may be found in William
This has led to shifts in the traditional concept of the
Cenkner’s A Tradition of Teachers: S´an˙kara and the
guru¯-disciple relationship. Whereas a personal relationship
Jagadguru¯s Today (Delhi, 1983), which discusses the guru¯ in
with the guru¯ was traditionally regarded as an essential di-
the tradition of Advaita Vedanta, and in Daniel Gold’s books
The Lord as Guru: Hindi Saints in the North Indian Tradition
mension of spiritual growth, such intimacy and personal
(New York, 1987) and Comprehending the Guru: Toward a
guidance has come to be replaced by very brief moments of
Grammar of Religious Perception (Atlanta, 1988), which focus
nonverbal exchange. In most cases, however, the belief that
predominantly on the Hindu Saint tradition. The dynamics
the guru¯ knows each disciple personally and attends from a
of the guru¯-disciple relationship has been approached from
distance to his or her spiritual needs has been preserved. An-
a psychoanalytical perspective in Richard Lannoy’s book The
other result of the internationalization of Hindu guru¯s is the
Speaking Tree: A Study of Indian Culture and Society (Lon-
rise of non-Indian disciples to the status of guru¯. This may
don, 1974) and in Anthony Storr’s Feet of Clay: A Study of
occur through appointment and succession within an estab-
Gurus (London, 1996.) For a brief discussion of the role of
lished lineage of guru¯s, or through independent forms of imi-
the guru¯ in Sikhism, see W. Owen Cole’s The Guru in Sikh-
ism (London, 1982).
tation of the Indian guru¯-disciple relationship. Such develop-
ments have raised questions regarding the traditional
Cross-cultural comparisons of the figure of the spiritual master
and the religious appropriation of the category of the guru¯
understanding of Hindu identity.
within a Christian context may be found in Catherine
One of the most remarkable developments of the twen-
Cornille’s The Guru in Indian Catholicism: Ambiguity or Op-
tieth century was the emergence of female guru¯s. While
portunity of Inculturation? (Louvain, Belgium, 1991) and in
M. Thomas Thangaraj’s The Crucified Guru: An Experiment
women were never explicitly excluded from the possibility
in Cross-Cultural Christology (Nashville, 1994). Numerous
of assuming spiritual authority in Hindu texts, and while a
books offer devotional and/or historical accounts of particu-
number of women have been recognized as important Hindu
lar guru¯s. Among these, works of scholarly interest are: Law-
saints in the course of history, women did not assumed roles
rence Babb’s Redemptive Encounters: Three Modern Styles in
of spiritual leadership until the beginning of the twentieth
the Hindu Tradition (Berkeley, Calif., 1986), focusing on the
century. One of the first renowned female guru¯s was
Radhasoami Faith, the Brahma Kumaris, and Sathya Sai
A¯nandamay¯ı Ma¯ (1896–1982). Though a wandering ascetic,
Baba; and Lisa Lassell Hallstrom’s Mother of Bliss:
she came to be widely sought out for spiritual direction and
A¯nandamay¯ı Ma¯ (Oxford, 1999).
advice. Numerous other female guru¯s have since gained pop-
On the topic of female guru¯s, a volume edited by Karen Pechilis,
ularity and fame, including outside India. Some of these fe-
The Graceful Guru: Hindu Female Gurus in India and the
male guru¯s were appointed as successor to their own male
United States (New York, 2004), offers a collection of studies
of the figures of Gauri ma, Sita Devi, Ananadamayi ma,
guru¯. But some became recognized purely on the basis of
Jayashri Ma, Meera Ma, Ma Jaya Sati Bhagavati, Karuna-
their own spiritual power and authority. Though female
mayi Ma, Shree Maa, Mata Amritanandamayi, and
guru¯s are generally considered to be beyond gender, they are
Gurumayi.
more often identified with the goddesses of India, and their
C
affection for disciples is often expressed in explicitly nurtur-
ATHERINE CORNILLE (2005)
ing gestures (such as touching or hugging). Female guru¯s may
be found in all strands of Hinduism, from the contemplative
and nondualist traditions and the Tantric schools to the
GURU
¯ GOBIND SINGH SEE SINGH, GOBIND
more devotional traditions. They continue the long Hindu
tradition of the importance of personal spiritual experience
and realization, and enrich that tradition with a distinctive
form and flavor. The figure of the guru¯ thus remains at the
GURU
¯ GRANTH SA¯HIB. The Sikhs’ full title for
heart of Hinduism, even as this religion and its concept of
their scripture, the A¯di Granth, is A¯di Sr¯ı Guru¯ Granth
the guru¯ continue to change over time.
Sa¯hibj¯ı. More generally they refer to it as Guru¯ Granth Sa¯hib.
Sr¯ı, Sa¯hib, and j¯ı are all honorifics, conveying the Sikhs’ rev-
SEE ALSO Ashram; Avata¯ra; Bhakti; Brahman; Guru¯ Granth
erence for this volume of scripture. This entry complements
Sa¯hib; Kun:d:alin¯ı; Mantra; Moks:a; Na¯nak; Sam:nya¯sa; Sikh-
the encyclopedia’s A¯di Granth entry by focusing upon the
ism; Tantrism, overview article.
text as Guru¯ and the practical implications of this status,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3716
GURU
¯ GRANTH SA¯HIB
rather than upon its content, structure, and message. Sikhs
readers take turns to read in shifts, and the family who orga-
regard the A¯di Granth as their living Guru¯ in succession, at
nize the akhand pa¯th provides food for all who read or attend.
his command, to Guru¯ Gobind Singh and his nine human
The Guru¯ Granth Sa¯hib plays a part at significant life
predecessors, starting with Guru¯ Na¯nak. According to his
cycle rites, commencing with the naming of infants. When
follower, Bha¯¯ı Nand La¯l, Guru¯ Gobind Singh’s last words
parents bring their baby to the gurdwa¯ra¯, the granth¯ı opens
before his death in 1708 were: “Whoever wishes to hear the
the volume at random, as for a va¯k, and reads out the initial
Guru¯’s word should wholeheartedly read the Granth or listen
for the child’s forename. This is the first letter of the stanza
to the Granth being read.” Whereas the word guru¯ in Hindu
with which the left hand page starts.
usage refers to teachers generally, and in contemporary par-
lance more widely it is applied to any expert, Sikhs reserve
A Sikh couple is deemed to be married when they have
the word for their ten Guru¯s, for the Guru¯ Granth Sa¯hib, and
completed the central marriage rite of circumambulating the
for God—hence the need for a capital G in the Roman
volume four times. In this way the Guru¯ Granth Sa¯hib is at
alphabet.
the heart of the ceremony, as its witness. Moreover, it pro-
vides the La¯va¯n hymns that are read and then sung as the
The Sikhs’ place of worship, the gurdwa¯ra¯ (i.e., “door-
couple proceeds round. The La¯va¯n, composed by the fourth
way of the Guru¯”), is such only by virtue of the presence of
Guru¯, Ra¯m Da¯s, celebrate the soul’s movement towards full
the Guru¯ in the form of the Guru¯ Granth Sa¯hib. Conversely,
union with God.
any room in which the Guru¯ Granth Sa¯hib is appropriately
installed is a gurdwa¯ra¯. Those who enter do so only after tak-
Although the Guru¯ Granth Sa¯hib is not present at a cre-
ing off their footwear and covering their heads (if they are
mation, it is the Sohila¯, the hymns from the Guru¯ Granth
not already wearing a turban).
Sa¯hib that mark the close of the day, that will be sung at this
time. It is also customary for a complete reading of the scrip-
USE OF TEXT IN WORSHIP. The text of the scripture plays
tures to take place following a death. The reading may be an
several roles in Sikh worship. Each day the pages are opened
akhand pa¯th or may be an intermittent reading over seven
at random for a va¯k (utterance) or hukam (order) that is re-
or ten days.
garded as guidance for the day. The passage that is read is
the first stanza on the left hand page, which will be read from
Like the life cycle, daily life too is punctuated by the
the beginning even if this is on the previous page. The va¯k
reading or hearing of select passages of scripture. Devout
from Sikhs’ holiest shrine, the Harmandir Sa¯hib (the Golden
Sikhs begin each day by bathing (between 3:00 and 6:00 AM)
Temple) in Amritsar (Punjab, India) is now disseminated
and singing or chanting Guru¯ Na¯nak’s Japj¯ı. A selection of
worldwide by the internet, as the daily hukam-na¯ma¯ (com-
hymns, known as Sodar Rahira¯s, is recited in the early eve-
mand, edict). Some of the va¯ks from the Harmandir Sa¯hib
ning and the day ends with the selection of hymns entitled
have attained historic status because of their pertinence to a
Sohila¯.
particular situation. In 1920, for example, a va¯k resolved (in
Sikhs’ annual festivals are preceded by an akhand pa¯th,
the affirmative) the question of whether converts from the
which concludes on the morning of the festival day, and the
lowest caste should be allowed to offer prasa¯d (blessed food)
largest-scale celebrations involve bearing the Guru¯ Granth
that is distributed to the congregation.
Sa¯hib in a procession, known as a nagar k¯ırtan, through the
streets. Often the volume is carried in a vehicle serving as a
The scriptures are read aloud in worship and also sung.
temporary mobile gurdwa¯ra¯.
Almost the entire text is arranged according to musical
modes (ra¯gs, i.e., ra¯gas). The shabads (hymns) are sung by
GURU¯ GRANTH SA¯HIB AS THE GURU¯’S EMBODIMENT. The
ra¯g¯ıs (musicians) to the accompaniment of instruments.
litany at the conclusion of Sikhs’ principal congregational
These usually include the tabla¯ (pair of hand drums) and at
prayer, the Arda¯s, affirms that the scriptures are “paragat
least one harmonium, and often a saurang¯ı (similar to a vio-
gura¯n k¯ı deh,” “the Guru¯’s body made manifest.” This dic-
lin) and a chimta¯ (literally “fire tongs”) that is inset with disks
tates the physical treatment of the volume in ways appropri-
like those in a tambourine. By singing and listening one is
ate for a revered Indian spiritual teacher. Account is taken
steeped in the gurba¯n¯ı (the Guru¯’s utterance) and so this is
of whether it is day or night, and other details such as season-
a form of na¯m simaran (i.e., remembrance of the Name, in
al temperature may also be considered in deciding where the
the sense of divine reality encapsulated). Musical rendering
volume is placed at night or how warmly it is covered. The
of the scripture is known as k¯ırtan and in this way Sikhs ex-
Guru¯ Granth Sa¯hib spends the day reposing on a cushioned,
press their devotion.
canopied stand, the pa¯lk¯ı (literally palanquin). When not
being read it is covered by ruma¯la¯s, brightly colored covers
Pa¯th (pronounced like English part) is the word for a
which devotees make from velvety or satiny fabric. When
reading of the scripture. Akhand pa¯th means unbroken read-
open the volume is fanned by an attendant who waves a
ing and so denotes a forty-eight-hour reading of the entire
chaur (chaur¯ı or chanwar) above it. The chaur usually consists
Guru¯ Granth Sa¯hib. Such readings are held to mark both
of a switch of silvery hair from a horse or yak’s tail that is
happy and sad occasions. Most people gather for the com-
mounted in a wooden or metal handle. Like the pa¯lk¯ı and
mencement and the culmination of the reading. Individual
chanan¯ı (canopy) this has come to symbolize sovereign 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
GURU
¯ GRANTH SA¯HIB
3717
thority, because in the heat of India in the days before elec-
extensive study) is that the Banno group, who held to a less
tricity dignitaries would be kept cool by being fanned in this
militant style of Sikhism than was emerging after the fifth
way by a servant.
Guru¯’s violent death, supported the Banno b¯ır which omit-
ted dhun¯ıs (heroic tunes) and included, inter alia, a verse by
In the late evening the Guru¯ Granth Sa¯hib is carried cer-
M¯ıra¯ Ba¯¯ı, a woman devotee of Kr:s:n:a, and a poem mention-
emonially (on a Sikh’s head) to its place of rest. This is often
ing a Hindu head-shaving rite.
a room in which the volume is literally put to bed. For this
bedroom the name is sach-khand, the realm of truth, a name
Translation of the text also began contentiously as Ernst
which it shares with the last stage of the spiritual journey as
Trumpp, the first translator, was conspicuously insensitive
mapped out by Guru¯ Na¯nak.
to Sikh sentiment. Subsequently, and thanks in no small part
to the devoted labors of the next translator, Arthur Max Ma-
Because the Guru¯ Granth Sa¯hib is treated as a living
cauliffe, translation has been less controversial than textual
Guru¯ relatively few Sikhs have a copy at home, unless they
criticism. English translations of the entire text have been ap-
can set aside a room for its use. Instead Sikhs usually keep
pearing since Trumpp’s 1877 version but not for liturgical
a gutka¯ (handbook) containing the nitnem—that is, those
use. The Guru¯ Granth Sa¯hib that is installed in gurdwa¯ra¯s is
passages from the A¯di Granth and from the Dasam Granth
always the 1,430-page Gurmukh¯ı text, in fact a copy of the
(the scripture traditionally attributed to Guru¯ Gobind
Damdama¯ b¯ır. (Gurmukh¯ı, literally “from the mouth of the
Singh) that are used liturgically. If a family holds an akhand
Guru¯,” is the name for the script used both by the Sikh scrip-
pa¯th at home, a room will be cleared of furniture, the Guru¯
ture and for the modern Punjabi language.)
Granth Sa¯hib is brought from the gurdwa¯ra¯ and installed
under a canopy. While the Guru¯ is in the house no nonvege-
Some attempts to translate the Guru¯ Granth Sa¯hib’s me-
tarian food is cooked, and before coming into the Guru¯’s
dieval mystical verse into a contemporary non-Indic lan-
room people remove footwear and cover their heads.
guage have produced stilted English and/or a skewing of un-
derlying concepts. The fact that the opening formula “ik oan
The sanctity of the A¯di Granth as the Guru¯’s physical
ka¯r” can—arguably less tendentiously—be translated as
embodiment means that the scripture is printed, bound, and
“One reality is” (Nikky-Guninder Kaur Singh) as well as the
transported with special care. Employees of the press in
popularly accepted “There is one God,” epitomizes the diffi-
Gurdwa¯ra¯ Ra¯msar, Amritsar, undertake to abstain from to-
culty for translators. The gendering of language about the di-
bacco and alcohol. Any “waste paper” is cremated in accor-
vine reality by successive translators has conveyed the impres-
dance with Sikh tradition. The bound copies are individually
sion of a male God, which Nikky-Guninder Kaur Singh and
wrapped in a ruma¯la¯ and transported to gurdwa¯ra¯s in special-
other contemporary scholars have challenged. For example,
ly appointed luxury buses.
the original text contains no equivalent to the English words
T
he and his, which are introduced by most translators in the
EXTUAL SCHOLARSHIP AND TRANSLATION. Sikhs’ rever-
ence for the scripture as the living Guru¯ has discouraged
interests of a fluent English rendering of many verses about
scholarly analysis of the text. During the latter half of the
the divine principle.
twentieth century, however, some scholars, including
S
Gurinder Singh Mann, sought to understand the complexi-
EE ALSO A
¯ di Granth; Dasam Granth; Gender and Reli-
gion, article on Gender and Sikhism; Guru¯; Na¯nak.
ties of the A¯di Granth’s compilation. Textual study by Hew
McLeod from New Zealand and the Sikh scholars Piar Singh
and Pashaura Singh resulted in hostile outbursts from some
BIBLIOGRAPHY
Macauliffe, Max Arthur. The Sikh Religion: Its Gurus, Sacred Writ-
Sikhs and the boycotting of the scholars concerned. The
ings, and Authors. Oxford, 1909; reprint, Delhi, 1985. Lives
sense of outrage has to be understood in the context not only
of the ten Guru¯s and of the bhagats represented in the Guru¯
of Sikhs’ veneration of the Guru¯ Granth Sa¯hib as the Guru¯’s
Granth Sa¯hib plus extensive translation; reflects Singh Sabha
living embodiment, but also of their insecurity as a religious
influence; still highly influential.
minority during a period (the 1980s and 1990s) of violent
Mann, Gurinder Singh. The Making of Sikh Scripture. Oxford and
political instability in Punjab.
New York, 2001. A work of rigorous textual analysis.
One controversial textual issue is why there are discrep-
Singh, Nikky-Guninder Kaur, trans. and ed. The Name of My Be-
ancies between different recensions (b¯ırs) of the A¯di
loved: Verses of the Sikh Gurus. San Francisco, 1995. Contem-
Granth—that is, between the early-seventeenth-century
porary English rendering of selected passages of the Guru¯
Karta¯rpur b¯ır and the early-eighteenth-century Damdama¯
Granth Sa¯hib and Dasam Granth, using non-gendered lan-
b¯ır, on the one hand, and on the other hand another seven-
guage.
teenth-century recension known as the Banno b¯ır, which
Singh, Pashaura. The Guru Granth Sahib: Canon, Meaning, and
came to be widely respected by eighteenth-century Sikhs. Ac-
Authority. New Delhi and New York, 2001. Authoritative
cording to a long-accepted view, while the Karta¯rpur b¯ır was
analysis of the compilation and status of Sikh scripture.
being taken for binding to Lahore, another was prepared by
Singh, Pashaura. The Bhagats of the Guru Granth Sahib: Sikh Self-
Bha¯¯ı Banno, but his additions were not approved by Guru¯
Definition and the Bhagat Bani. New Delhi, 2003. Definitive
Arjan Dev. Another theory (Pashaura Singh’s on the basis of
study of a major element of the Guru¯ Granth Sa¯hib.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3718
GURU
¯ NA¯NAK
Internet Resources
land dispute. To avert further harassment, Gu moved north
English renderings are of the Guru¯ Granth Sa¯hib are available on
and spent the remainder of his life separated from family and
the internet at www.sikhnet.com/sggs/translation/0005.html
regional friends. In earlier years, he had turned in times of
and www.sikhs.org/english/frame.html.
trouble to ancestral veneration, both to honor the heritage
ELEANOR NESBITT (2005)
of his ancestors and to seek their guidance. In the North, he
worshiped regularly at the tombs of the Ming imperial fami-
ly, ritually renewing his commitment never to serve the
GURU
¯ NA¯NAK SEE NA¯NAK
Manchus, and hence honoring the memory of his mother.
The values and ritual practices of Confucianism gave
meaning and structure to the life of Gu Yanwu. His scholar-
GU YANWU (tzu, Ningren; hao, Tinglin; 1613–1682),
ship was inspired and informed by his deep personal com-
a founder of the “school of evidential research” (kaozheng).
mitment to the Confucian Way.
Gu Yanwu was born to the scholarly life. He was from Kun-
Gu Yanwu charged that Confucian scholarship of the
shan, Jiangsu province, in Southeast China, a region re-
Song (960–1279) and Ming was so speculative and tainted
nowned for its historians and philosophers. His forebears
by Buddhism that it lost sight of the core of the tradition.
were distinguished intellectuals, passionate readers and col-
He echoed the scholars of the late Ming in their call for prac-
lectors of books. From the age of eleven, Gu was taught to
tical learning (shixue). Confucian scholarship could be effec-
read the encyclopedic originals of historical works rather
tive only if it were solidly grounded in the authentic Way
than the standard abridgments. His upbringing instilled in
of the sages, which was expounded in the Confucian classics.
him the highest standards of Confucian moral conduct.
For many centuries, however, Confucians, while venerating
At an early age, Gu’s parents sent him to be adopted as
the classics as a kind of sacred canon, had distorted their true
the heir of his father’s cousin, who had died in his teens. He
meaning by citing passages out of context or fabricating base-
was raised by his adoptive grandfather and by the fiancée of
less interpretations. Inspired by Han dynasty (206 BCE–220
the deceased cousin, who insisted on living as his widow.
CE) commentaries, Gu advocated a close reexamination of
This woman’s extraordinary devotion to her fiancé’s family
the classics, seeking to reconstruct the actual pronunciations
won her public recognition and an imperial title, “Chaste
and meanings of the original texts. He built on late Ming
and Filial.” Gu Yanwu later expressed his admiration for his
scholarship in phonology and philology, broadening the
foster mother in a laudatory biography.
method by bringing to bear an enormous range of evidence.
His work became the benchmark of evidential research.
In 1644 the Manchus conquered North China, bring-
ing an end to the Ming dynasty (1368–1644). The next year
Gu extended the methodology of kaozheng beyond clas-
they drove south and conquered Jiangsu. During the siege,
sical studies. The broad-ranging collection of evidence and
in which several of his relatives were killed or wounded, Gu
meticulous cross-checking of data were applied to such areas
fled with his foster mother to a remote village. When the
as water management, geography, and epigraphy. Gu did not
Manchu victory was imminent, his mother starved herself to
limit his research to written materials; he made use of arti-
death as an act of loyalty to the Ming, exacting from her son
facts, interviews, and trips to the field. His energetic scholar-
a vow never to serve the Manchus.
ship inspired several generations of intellectuals, many of
whom did not appreciate the commitment to the Confucian
In the early years of Manchu rule, Gu Yanwu, like many
Way that motivated his work.
in the Southeast, resented the Manchus and clung to the
hope that the Ming might be restored. Gu may even have
Scholars have compared the legacy of kaozheng to the
covertly aided the resistance government headed by an exiled
European Renaissance (Liang, 1959, p. 11, and Yü, 1975,
Ming prince. As time passed, many accepted the finality of
p. 128) or to the Reformation (Hou, 1962–1963, p. 250).
the Ming defeat and made their peace with the new regime.
A more appropriate comparison might be made to the histor-
The Manchus, for their part, courted the holdouts by means
ical-critical movement in biblical scholarship, which arose
of the boxue hongci, a special examination in 1679 to select
alongside the European Enlightenment. Both movements
candidates for a lavish imperial project on Ming history. The
claimed that misinterpretations of the canon had obscured
court invited the support of leading intellectuals to dissipate
the true teachings and exposed their traditions to dangers
the last vestiges of resistance in the Southeast; the “invita-
and heresies. Both sought to recover the true core of the
tion” was in fact a command performance. Gu Yanwu was
teachings by means of the most rigorous historical and criti-
one of the few who did not take this examination; he escaped
cal tools available. Both were occasionally misconstrued as
by working behind the scenes to have friends remove his
secularizations of their traditions. Gu Yanwu devoted him-
name from the invitation list. Even after he had personally
self to rigorous scholarship in order to recover the solid foun-
accepted the finality of the Ming defeat, he felt bound to
dations of the Way of the sages.
honor his vow to his mother.
BIBLIOGRAPHY
In 1657, Gu Yanwu narrowly escaped assassination by
Gu Yanwu’s Yinxue wushu in 38 juan (1667), 8 vols. (Taibei,
a personal enemy with whom he had been embroiled in a
1957), established a model for the method of evidential re-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GYNOCENTRISM
3719
search. His broader scholarly approach is best embodied in
THEORIES OF GYNOCENTRISM. The literary scholar Elaine
his Rizhi lu in 32 juan, “Guoxue jiben congshu,” vol. 14, ed-
Showalter was one of the first feminists to develop a system-
ited by Wang Yunwu (Taibei, 1968), a collection of erudite
atic program that was critical of the androcentrism of main-
notes on a wide range of subjects that were revised through-
stream literary studies and that sought instead to illuminate
out his life whenever he found a new bit of relevant informa-
the “subculture” of women writers and readers. She coined
tion. The Gu Tinglin shi wenji, “Guoxue jiben congshu,” vol.
the term gynocritics to refer to this project, suggesting in her
317, edited by Wang Yunwu (Taibei, 1968), contains im-
article “Towards a Feminist Poetics” (1986) that:
portant letters and prefaces that articulate in succinct form
the principles behind his scholarly approach.
The program of gynocritics is to construct a female
There are two standard sources for Gu Yanwu’s life. Fang Chao-
framework for the analysis of women’s literature, to de-
ying’s biography in Eminent Chinese of the Ch’ing Period,
velop new models based on the study of female experi-
1644–1912, 2 vols., edited by Arthur W. Hummel (Wash-
ence, rather than to adapt male models and theories.
ington, D.C., 1943–1944), includes a valuable overview of
Gynocritics begins at the point when we free ourselves
Gu’s scholarly contributions, pp. 421–426. Willard J. Peter-
from the linear absolutes of male literary history, stop
son’s “The Life of Ku Yen-wu, 1613–1682,” Harvard Jour-
trying to fit women between the lines of male tradition,
nal of Asiatic Studies 28 (1968): 114–156 and 29 (1969):
and focus instead on the new visible world of female
201–247, offers a thoughtful analysis of the historical and fa-
culture. (p. 131)
milial forces that shaped Gu’s career.
Showalter thus argued for the realignment of the conceptual
On Gu’s thought and scholarship, the best works are Hou Wailu’s
standpoints of literary studies by seeing women’s writing as
Zhongguo sixiang tongshi, vol. 5 (Beijing, 1962–1963),
primary, rather than as marginal. For her, it was a matter of
pp. 204–250, and Qian Mu’s Zhongguo jin saibainian xueshu
identifying the difference in women’s writing and of demon-
shi, 2 vols. (1937; reprint, Taibei, 1957), pp. 121–153.
strating how the psychodynamics of female creativity shaped
There is as yet little in Western languages. Liang Qichao’s
Intellectual Trends in the Ch’ing Period, translated by Imman-
women’s literary productions and readings differently from
uel C. Y. Hsü (Cambridge, Mass., 1959), offers a brief intro-
those of men. In order to identify female difference, the
duction in English. Yü Ying-shih’s article “Some Preliminary
gynocritical approach sought to study the history, styles,
Observations on the Rise of Ch’ing Confucian Intellectual-
themes, genres, and structures of writing by women, as well
ism,” Tsing-hua Journal of Chinese Studies, n.s. 11 (1975):
as the constraints on, and impact of, female literary tradi-
105–146, is the most helpful source on the origins and sig-
tions. The aim of gynocritics was the transformation and re-
nificance of the kaozheng movement.
definition of the androcentric parameters of the study of
New Sources
literature.
Ku, Wei-ying. “Gu Yanwu’s Ideal of the Emperor: A Cultural
Showalter’s gynocritical approach coincided with, and
Giant and Political Dwarf.” In Imperial Rulership and Cul-
reflected, a shift in second wave feminism away from the pro-
tural Change in Traditional China, edited by Frederick P.
Brandauer and Chun-chieh Huang, pp. 230–247. Seattle,
motion of the humanist ideal of gender-neutral equality, to-
1994.
wards a model of liberation that affirmed female experience.
Vergnaud, Jean-François. La pensée de Gu Yanwu, 1613–1682:
Iris Marion Young, in her essay “Humanism, Gynocentrism,
essai de synthèse. Paris, 1990.
and Feminist Politics” (1990), outlines the benefits of this
Vermeer, Eduard B. “Notions of Time and Space in the Early
change in emphasis, arguing that:
Ch’ing: The Writers of Gu Yanwu, Hsu Hsia-k’o, Ku Tsu-
[G]ynocentric feminism finds in women’s bodies and
yu and Chang Hsueh-ch’eng.” In Time and Space in Chinese
traditional feminine activity the source of more positive
Culture, edited by Chun-chieh Huang and Erik Zürcher,
values. Women’s reproductive processes keep us linked
pp. 201–236. Leiden, 1995.
with nature and the promotion of life to a greater de-
JUDITH A. BERLING (1987)
gree than men’s. Female eroticism is more fluid, diffuse,
Revised Bibliography
and loving than violence-prone male sexuality. Our
feminine socialization and traditional roles as mothers
give to us a capacity to nurture and a sense of social co-
operation that may be the only salvation of the planet.
GYNOCENTRISM (derived from the Greek gyno,
(p. 79)
meaning “woman,” and kentron, meaning “center”) is a radi-
cal feminist discourse that champions woman-centered be-
Gynocentric feminism thus promoted a vision of femininity
liefs, identities, and social organization. It also challenges the
at odds with traditional androcentric and misogynist formu-
androcentric promotion of masculine standards as norma-
lations, neatly reversing the values that had been traditionally
tive, and the presentation of those standards as neutral rather
assigned to women. In doing so, it simultaneously rehabili-
than gendered. Consequently, from a gynocentric perspec-
tated those aspects of femininity that were historically belit-
tive, the assumption of masculine-neutral norms has meant
tled or maligned, and articulated a theory of female differ-
that femininity has traditionally been presented as deficient,
ence in contrast to, and against, a masculine logic of
secondary, and lacking. Gynocentric feminism is concerned,
neutrality.
therefore, to revalue sexual difference and femininity
For Showalter, writers like Adrienne Rich and Susan
positively.
Griffin have exemplified gynocritical writing, as has Hélène
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3720
GYNOCENTRISM
Cixous’s theorization of l’écriture féminine (feminine writing
Daly, Mary. Gyn/Ecology: The Metaethics of Radical Feminism.
and language). Within religious studies, the gynocentric ap-
Boston, 1978. Gyn/Ecology (a deliberate pun on gynecology)
proach has been epitomized by the feminist theologian Mary
is a lively, iconoclastic, and provocative book that maps male
Daly, and by Goddess feminists who have argued that patri-
domination of women in a wide range of contexts, from Chi-
archal religions have promoted detrimental and erroneous
nese footbinding to American gynecology and the European
witch craze. In drawing sweeping parallels between such a di-
models of femininity, which can only be corrected by devel-
versity of practices, and insisting on their connection, Daly
oping an inspirational, woman-centered ontology rooted in
is able to sketch a universal pattern of misogyny that exem-
female experience.
plifies the gynocentric approach.
CRITIQUES OF GYNOCENTRISM. However important the res-
Griffin, Susan. Woman and Nature: The Roaring inside Her. New
toration of dignity to women may have been for many femi-
York, 1978. Griffin writes in her preface to this book that,
nists, the viability of the gynocentric approach has been sub-
“I found that I could best discover my insights about the
logic of civilized man by going underneath logic, that is by
ject to sustained criticism for some time. The most common
writing associatively, and thus enlisting my intuition, or un-
critique has been the suggestion that reliance on a theory of
civilized self” (p. xv). What follows in the book is a poetic
sexual difference—where femininity is promoted as the
and fluid, gynocentric exploration of the connections be-
source of values by which to criticize androcentrism and to
tween the female body and nature as a challenge to the histo-
realize a better society—is problematic in that it depends on
ry of man’s domination over woman and nature.
ahistorical, essentialist, and universalist ideas about gender
Moi, Toril. “Feminist, Female, Feminine.” In The Feminist Read-
attributes. Moreover, it is contradictory for feminists to ad-
er: Essays in Gender and the Politics of Literary Criticism, ed-
vocate binary thought (in this case male/female, with the
ited by Catherine Belsey and Jane Moore, pp. 117–132. Bas-
qualities that accrue to each member of the pair simply re-
ingstoke and London, 1989. The title of this essay alludes to
versed). The idea of an essentialized femininity confronting
the three categories of writing identified by Elaine Showalter
an equally essentialized masculinity is not a coherent feminist
in A Literature of Their Own. Moi critiques the belief that
strategy for the defeat of misogyny; on the contrary, it reifies
female experience is the basis of feminism, and argues that
the gynocentric approach fails to avoid the dangers of biolog-
the very system it seeks to undo by invoking the dichoto-
ical essentialism in its depictions of men and women.
mous logic that many feminists have argued is the mecha-
Moi, Toril. Sexual/Textual Politics: Feminist Literary Theory. 2d
nism by which male-dominant hierarchies are sustained (see
ed. London and New York, 2002. Moi examines the
Moi, 1989, pp. 125–126; and Young, 1990, pp. 87–90, for
strengths and limitations of the two main strands in feminist
a more detailed critique of gynocentric feminism). Gynocen-
criticism, the Anglo-American and the French, and argues
trism is perhaps best seen as a transitional phase in feminist
against the essentialism of gynocentric approaches to litera-
theory, one that was probably necessary for addressing the
ture, paying particular attention to the works of Cixous, Iri-
wholesale marginalization of women’s voices, but which has
garay, and Kristeva.
been critically adjusted as gender theory has emerged as a
Rich, Adrienne. Of Woman Born: Motherhood as Experience and
preferable mode for understanding sexual identity and for
Institution. New York, 1977. Rich’s influential and landmark
challenging notions of gender neutrality.
investigation links the experiences of women with the insti-
tutions (like motherhood) that are imposed on them and that
SEE ALSO Androcentrism; Feminism, article on Feminism,
determine their sense of self. It is also a celebration of moth-
Gender Studies, and Religion.
erhood that seeks to revalorize women’s identity in gynocen-
tric terms.
Showalter, Elaine. A Literature of Their Own: British Women Nov-
BIBLIOGRAPHY
elists from Brontë to Lessing. Princeton, 1977. This work has
Belsey, Catherine, and Jane Moore, eds. The Feminist Reader: Es-
become a classic of feminist literary criticism and, through
says in Gender and the Politics of Literary Criticism. Basings-
a close study of female novelists, presents a detailed argument
toke and London, 1989; 2d ed., 1998. This anthology sur-
for gynocritics.
veys the range of feminist critical theory on writing and
Showalter, Elaine, ed. The New Feminist Criticism: Essays on
language that followed early feminist interventions in literary
Women, Literature, and Theory. London, 1986. A useful col-
studies, and includes some of the main criticisms of gynocri-
lection that brings together some of the most influential and
tics. Contributors include Hélène Cixous, Julia Kristeva,
controversial essays on the feminist approach to literature
Toril Moi, Gayatri Chakravorty Spivak, and Dale Spender.
that followed from Showalter’s development of gynocritics.
Cixous, Hélène. “The Laugh of the Medusa.” In French Feminism
Particularly relevant are the two articles by Showalter in the
Reader, edited by Kelly Oliver, pp. 257–275. New York and
volume: “Towards a Feminist Poetics” (pp. 125–143), which
Oxford, 2000. In this essay Cixous begins to develop her the-
is a good summary of gynocritics, and “Feminist Criticism
ory of l’écriture féminine, and calls for women to return to
in the Wilderness” (pp. 243–270), which reiterates some of
their bodies in writing the feminine as a way of subverting
her earlier descriptions of the gynocritical approach and seeks
phallocentric reason. Cixous characterizes this kind of writ-
to outline future directions for the feminist study of litera-
ing as tactile, bodily, and interior, and one that embodies a
ture. Other authors in the volume include Rosalind Coward,
giving without taking back and without expectation of re-
Sandra Gilbert, Susan Gubar, and Carolyn Heilbrun.
turn, drawing on metaphors of a mother’s milk and menstru-
Showalter, Elaine, ed. Speaking of Gender. New York and London,
al blood.
1989. This volume brings together influential essays by male
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
GYO
¯ GI
3721
and female critics dealing with a broad range of topics in lit-
vented a new kind of earthenware and is credited with the
erary studies where gender theory has been applied to the
introduction of the potter’s wheel. Also active in welfare
production, reception, and interpretation of texts. Show-
work, he built free clinics and lodging houses. In the prov-
alter’s introduction shows a subtle shift in her earlier com-
ince of Kii he built forty-nine Buddhist temples. In all these
mitment to gynocritics, so that it has become possible to start
activities he was convinced that his engagement in manual
asking questions about the construction of masculinity and
labor was an “expedient means” (upa¯ya) to nirva¯n:a. Hence
its relationship to literature.
his testimony: “That I have attained [understanding of] the
Young, Iris Marion. Throwing Like a Girl and Other Essays in Fem-
Lotus Su¯tra was possible only through making firewood,
inist Philosophy and Social Theory. Bloomington and India-
gathering herbs, drawing water, and laboring thus.” In his
napolis, Ind., 1990. See especially chapter 5, “Humanism,
sermons he stressed that there was no antagonism between
Gynocentrism, and Feminist Politics” (pp. 73–91), which as-
sesses the benefits and pitfalls of gynocentric feminism.
Shinto¯ and Buddhism, and he tried to reconcile Shinto¯ gods
and buddhas. It is not accurate, however, to trace to Gyo¯gi
SÎAN HAWTHORNE (2005)
the origin of Ryo¯bu Shinto¯, or Shinto¯-Buddhist syncretism.
Gyo¯gi’s activities and sermons earned the high esteem
of Emperor Sho¯mu (r. 724–749). In 745 he appointed
GYO
¯ GI (670–749), born Koshi no Obito, was a Buddhist
Gyo¯gi to the office of daiso¯jo¯, the highest office in the Bud-
monk who popularized Japanese Buddhism during the Nara
dhist hierarchy. At that time, Gyo¯gi was also sent by the em-
period (710–784). According to the Genko¯ shakusho, a col-
peror to the sun goddess Amaterasu’s shrine at Ise, bearing
lection of biographies of priests, Koshi no Obito was born
a Buddhist relic as a present to the deity. By that gift he
in the Kubiki district of Echigo (present-day Niigata prefec-
hoped to receive her approval for the construction of a huge
ture) to a family that claimed to be descended from Korean
statue of Buddha Vairocana (the Daibutsu) to be erected in
royalty. In his youth, because he was so often in the company
the To¯daiji in Nara, a large temple that had been completed
of birds and cows, he was called Ushitori (“cowbird”), but
a few years earlier. In a dream Sho¯mu received the answer
he soon began to concern himself instead with the needs of
of the sun goddess, who said: “This land is the country of
his fellow people. His ministrations on behalf of common
the gods. [The people] should worship them. But the wheel
people attracted hundreds of followers. At the age of fifteen,
of the sun is Dainichi Nyorai [Skt., Maha¯vairocana].” With
he “left the world” (i.e., took mendicant orders) and entered
these words Amaterasu identified herself with Buddha Vairo-
Yakushiji, one of the seven great Nara temples. Under the
cana. Thereupon, Gyo¯gi traveled about the country to collect
guidance of the monks Eki, Do¯sho¯, and Gien he became ac-
money and gold for the construction of the Daibutsu. Al-
quainted with the doctrines of the Hosso¯ (Skt., Yoga¯ca¯ra)
though in his lifetime Gyo¯gi was already considered a bodhi-
school of Buddhism.
sattva, he was not granted this title by the emperor until the
year of his death. He is considered to be the manifestation
In 694 Gyo¯gi was ordained a monk by Tokuei, who ad-
of Mañju´sr¯ı, the bodhisattva of divine wisdom. Gyo¯gi died
ministered the 250 full monastic precepts (gusokukai; Skt.,
in To¯nanin Hall of Sugiwara Temple in 749.
upasampada¯). He later retired with his mother to Mount
Ikona in order to practice austerities. In this action Gyo¯gi,
SEE ALSO En no Gyo¯ja.
whose religious name means “foundation of ascetics,” fol-
lowed the example of the mountain ascetic (hijiri) En no
Gyo¯ja, who had done the same a few decades earliers.
BIBLIOGRAPHY
Traditional accounts of Gyo¯gi’s life can be found in many sources,
Gyo¯gi did not persist in this life of retreat, however.
including the Shoku nihongi, the Nihon ryo¯iki, and the Genko¯
Soon he started to travel extensively and to propagate Bud-
shakusho. For modern secondary sources, see especially Hori
dhism, not only in its religious, but also in its magical as-
Ichiro¯’s Folk Religion in Japan, edited and translated by Jo-
pects. At the same time he undertook numerous projects that
seph M. Kitagawa and Alan L. Miller (Chicago, 1968), and
demanded strenuous physical labor: He constructed roads,
H. H. Coates and Ishizuka Ryu¯gaku’s Ho¯nen, the Buddhist
built bridges and dikes, and planned and dug out irrigation
Saint, 5 vols. (Kyoto, 1949).
canals. Gyo¯gi was a remarkable sculptor and artisan; he in-
J. H. KAMSTRA (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


H
HAAVIO, MARTTI (1899–1973) was a Finnish poet, folklorist, and scholar of
comparative mythology and phenomenology of religion whose multifaceted career and
comprehensive scholarship stemmed from a deep knowledge of Finnish history. After a
childhood spent in Lutheran vicarages in Ostrobothnia, Tavastia, and southwestern Fin-
land, which gave him a taste of the diversity of Finnish folklife, he became one of its lead-
ing scholars, analyzing Finnish language, literature, folklore, religion, and culture. As a
poet who published under the pseudonym P. Mustapää, Haavio also introduced modern-
ism into Finnish poetry while emphasizing its roots in the past.
Haavio began his scholarly work as a student of Kaarle Krohn, who was the Universi-
ty of Helsinki’s first professor of Finnish and comparative folklore, in 1908. Haavio’s doc-
toral dissertation Kettenmärchenstudien was based on the principles set forth in Krohn’s
Der finnische Arbeitsmethode (The Finnish work method). The dissertation was published
in Folklore Fellows Communications (FFC) in 1929, a long-standing folklore series that
was later edited by Haavio himself.
In the 1930s field experience and work as director of the Folklore Archives of the
Finnish Literature Society made Haavio an expert on various folklore genres, both prose
narrative and oral poetry as well as folk beliefs. The genre of Karelian saints legends was
introduced as a result of his fieldwork with Nastja Rantsi, a narrator and singer of saints’
legends in Onega. Haavio’s archive-oriented research produced numerous titles, including
Suomalaisen muinaisrunouden maailma (The world of Finnish old poetry, 1935); Suo-
malaiset kodinhaltiat (Finnish guardian spirits, 1942), a geographical and psychological
study of Finnish folk belief; and Viimeiset runonlaulajat (The last rune singers, 1943).
Haavio’s rich scholarly output deserves a more thorough presentation than this brief
article can undertake. Unfortunately the bulk of his work remains untranslated, despite
its many valuable insights into the study of comparative religions. The few samples trans-
lated include Väinämöinen, Eternal Sage (FFC 144, 1952), a study on the roles of the main
hero of the Kalevala (the Finnish national epic) as Orpheus, creator god, and shaman and
the oral tradition behind them; Essais folkloriques (Studia Fennica 8, 1959), a comparison
C LOCKWISE FROM TOP LEFT CORNER. Vitruvian Man by Leonardo da Vinci, c. 1490. [©Bettmann/
Corbis]; Thirteenth-century relief of the wheel of the sun chariot from Su¯rya Temple in
Konarak, India. [The Art Archive/Dagli Orti]; Wooden figures of gods at Marae, a temple site
near Honaunau, Hawai’i. [©Werner Forman/Art Resource, N.Y.]; The ancient Egyptian god
Horus, at Edfu, Egypt. [©Christine Osborne/Corbis]; Eighth-century Chinese horse. [©Royal
Ontario Museum/Corbis] .
3723
3724
HABOUS
of Finnish sacred vocabulary with Homer, the Edda, and
HADAD SEE ADAD
other mythological traditions; Heilige Haine in Ingermanland
(FFC 189, 1963), which compares regional phenomenology
of religion on Ingrian sacred groves to Greek temenos and
Egyptian Osiris.
HADES is the Greek name for the underworld and its
ruler. The spelling of the name sometimes varies (Aides,
Haavio’s contributions to the disciplines of comparative
Hades, Aïdoneus), but the etymology seems now reasonably
religion, mythology, and phenomenology of religion in par-
clear. Appropriately, it is linked to the root *a-wid- (invisible,
ticular could be better appreciated if more of his research
unseen): Hades’ wolf’s cap is worn by the goddess Athena
were translated. His ability to analyze and write is compara-
in the Iliad and makes her invisible (5.844–845). Most like-
ble to that of the well-known religious historian Mircea
ly, Hades first denoted a place name and was personified
Eliade. What unites these two scholars is their shared ability
only later.
to build an intuitive bridge from a single mythical symbol
or sacred space to universal spheres of meaning and compre-
Hades is a shadowy god in Greece. He has few myths,
hension.
fewer cults, and is not even represented with certainty on ar-
In his fieldwork Haavio was a master of qualitative
chaic Greek vases. Homer (Iliad 15.187–193) mentions that
methods. He rejected the quantification typical of Krohn
Hades acquired the underworld through a lottery with his
and the Finnish Folklore School as well as the sociological
brothers Zeus and Poseidon. The passage is one more exam-
approach that emerged after Word War II. His emphasis on
ple of the increasingly recognized Oriental influence on early
field observations as purely individual experiences that could
Greek literature, since it ultimately derives from the Akkadi-
not be replicated by any other observer stem from his train-
an epic Atrahasis. There is an obscure allusion in the Iliad
ing in Finnish ethnography but are also related to his per-
(5.395–397) that Hades was wounded by Heracles “at Pylos
spective as a mainstream scholar and poet.
among the dead.” This myth is probably part of Heracles’
function as Master of Animals and suggests that the personi-
Haavio’s first memoir Nuoruusvuodet (Years of youth)
fication of Hades dates back to the Bronze Age.
is a chronicle of the years 1906 to 1924, but it was not pub-
lished until 1972. After his death in 1973, his notes and cor-
However, the most famous myth of Hades is his abduc-
respondence were compiled by his wife, Aale Tynni, an In-
tion of Persephone, which was localized at various spots in
grian-born poet, and his daughter Katariina Eskola
the Greek world. The oldest version is related by the Homeric
completed their publication through 2003 as a series of
Hymn to Demeter, which probably dates from the first half
books of his correspondence with Autius lehtipuissa, a unique
of the sixth century BCE. When Persephone was frolicking
narrative history of Finland, filtered through the life and
with her friends, “the deep-bosomed daughters of Ocean,”
times of a multitalented man.
on a meadow, picking flowers, Hades carried her off on his
golden chariot. Her mother, Demeter, went everywhere to
SEE ALSO Finno-Ugric Religions.
search for her daughter, but eventually it was Hermes who
persuaded Hades to release Persephone. However, before
BIBLIOGRAPHY
doing so, he tricked her into eating seeds of the pomegranate.
Haavio, Martti. Über orientalische Legenden und Mythen un Grenz-
This meant that she had to spend part of the year with Hades
Karelien und Aunus. Studia Fennica 2. Helsinki, 1936.
in the underworld and part of the year with her mother in
Haavio, Martti. Die Vögel des Schöpfers und andere kerelische Legen-
the upper world. The couple became worshiped as Plouton
den. Aus dem Finnischen übertragen von Barbara Frank-
and Kore or, as in Eleusis, Theos and Thea. Understandably,
furth. Berlin, 1967.
the Greeks could not imagine them to be with children, as
Haavio, Martti. Der Oberste Gott der skandinavischen Lappen. Te-
the underworld was imagined to be an infertile place. As Per-
menos 5. Turku, Finland, 1969.
sephone was also associated with love and marriage and an
abduction was part of Spartan wedding rites, the myth would
Haavio, Martti. Mitologia finska. Warsaw, 1979.
originally have been a narrative representation of prenuptial
Honko, Lauri. Martti Haavio 1899–1973. Temenos 9. Helsinki,
girls’ rites, although at some point it had become connected
1973.
with the Eleusinian mysteries.
Pentikäinen, Juha. “Auf der Suche nach universellen Strukturen:
Eine erneute Untersuchung von Eliades ‘ewiger Wiedeerke-
A god like Hades could hardly receive a cult, and Elis
hr’ anhand finnischer Volksquellen.” In Die Sehnsucht nach
seems to have been the only place that worshiped him in a
der Ursprung zu Mircea Eliade, edited by Hans Peter Duer.
temple, which could be opened only once a year, with only
Frankfurt am Main, 1983.
the priest having access to the temple. Hades was indifferent
JUHA PENTIKÄINEN (2005)
to offerings and not moved by prayer. His connection with
the underworld made him “horrible” (Iliad 8.368) and even
an eater of corpses (Sophocles, Electra 542–543). Fear made
people euphemistically refer to him as, for example, “Zeus
HABOUS SEE WAQF
of the Underworld” (Iliad 9.457), “the chthonian god” (Aes-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HADES
3725
chylus, Persians 629), or even “the god below” (Sophocles,
originally different god, Plouton, “wealth” personified, who
Ajax 571).
was related to the Eleusinian cult figure Ploutos, and in this
Evidently, there was not an authoritative tradition about
capacity even received a priestess. Hades now became the god
Hades’ appearance. In his Alcestis (259–262) Euripides lets
who sent up “good things” to the mortals from below. The
the homonymous heroine exclaim: “He stares at me from
connection between the underworld and material wealth also
under his dark-eyed brow. He has wings: it’s Hades,” but
reflected itself in new terms to denote the dead. Whereas in
normally Hades was wingless in Greek art. In representations
Homer the dead were preferably called the “feeble heads of
of the kidnapping of Persephone, Hades is sometimes depict-
the dead,” they now become the “blessed” in a materialistic
ed as a young man, but he can equally be mature or even old.
sense: the dead were people blessed with material goods and
His positive side comes to the fore in later representations
better off than the living. In the later fifth century these ideas
through his holding the cornucopia. Typically, he is some-
about the “good life” in the underworld were even exploited
times looking away from the other gods—even they did not
by Athenian comedy, which portrayed the world of Hades
like him.
as a Land of Cockaigne with beautiful maidens and boister-
ous banquets.
In the Iliad a soul of the dead goes straight to the under-
world, whose gates are guarded by the canine Kerberos (Iliad
Yet on the whole the Athenian public did not firmly be-
5.646). The underworld is situated under the earth, but also
lieve in rewards or punishments after death. In fact, they do
in the west—perhaps a sign of a conflation of different ideas
not seem to have expected very much at all. “After death
about the underworld; its deepest part is called the Tartaros.
every man is earth and shadow: nothing goes to nothing,”
The soul can reach this “mirthless place” (Odyssey 11.94)
states a character in Euripides’ Meleagros (frag. 532, Nauck,
only by crossing a river, the Styx. The picture of the under-
2d ed.). In Plato’s Phaedo Simmias even claims that it is the
world is bleak and somber, as dead Achilles says: “do not try
fear of the majority that their soul is scattered at death “and
to make light of death to me; I would sooner be bound to
this is their end” (77b). Most Athenians may therefore have
the soil in the hire of another man, a man without lot and
agreed with the statement in Euripides’ Hypsipyle that: “One
without much to live on, than be ruler over all the perished
buries children, one gains new children, one dies oneself.
dead” (Odyssey 11.489–491). It is only somewhat later that
Mortals do take this heavily, carrying earth to earth. But it
we hear of the old (youth is out of place in the gloomy under-
is necessary to harvest life like a fruitbearing ear of corn, and
world) ferryman of the dead, Charon, and of Hermes as the
that the one be, the other not” (vv. 234–238, in the edition
guide of the dead.
by J. Diggle).
Death was considered to be “common to all men” (Iliad
The early Greek ideas about the afterlife remarkably re-
3.236–238). In contemporary mythology, personified death
semble those of Rome and ancient Israel. In ancient Rome
(Thanatos) is the brother of personified sleep (Hypnos). This
people seem hardly to have believed in a life after death at
appears to be another way to express the feeling that death
all, even if they worshiped their ancestors at certain festivals;
is something natural. Yet these rather bleak pictures could
the Etruscans certainly took over Hades from the Greeks in
not satisfy everybody, and in Book 4 of the Odyssey we al-
the shape of their Aita, but lack of texts (albeit plenty of illus-
ready hear of an abode for select dead, “the Elysian Plain at
trations) does not allow us to reconstruct their “infernal”
the ends of the earth” (563–567). The somewhat later Hesi-
ideas. It was perhaps not that different in ancient Israel. In
odic Works and Days (167–173) mentions the Islands of the
historical times the hereafter was called SheDol, which in the
Blessed, the destination of many heroes at the end of their
Greek translation of the Hebrew Bible, the Septuagint, nor-
lives on earth. This changing conception of the underworld
mally is translated as Hades. Yet in the oldest Israelite ideas
went concomitant with a growing interest in the afterlife that
the grave must have played an important role, since “to go
reflected itself in accounts of a descent into the underworld,
down into the grave” (Ps. 16:10, 28:1, etc.) is equivalent to
as in the myths of Heracles, Theseus, and Orpheus.
“to go down into SheDol” (Gn. 37:35, 42:38, etc.). SheDol was
In the same process the underworld also gradually be-
located beneath the earth (Ps. 63:10), filled with worms and
came “upgraded.” At the Eleusinian mysteries there had long
dust (Is. 14:11, 26:19), and impossible to escape from (Jb.
been a promise of a better life in the hereafter, as is illustrated
7:9ff). Its shadowlike (Is. 14:9) inhabitants no longer
by Sophocles’ words: “Thrice blessed are those mortals who
thought of the living (Jb. 21:21), or even of God himself (Ps.
have seen these rites and thus enter Hades: for them alone
88:13). It is only in a relatively late prophet like Ezekiel (Ez.
there is life, for the others all is misery” (frag. 837, Radt).
32:19–28) that we hear about different areas of SheDol for
In Pythagorean and Orphic circles, however, the idea arose
different orders of dead. However, it would still be quite a
of a “symposium of the pure” (Plato, Republic 2.363c). At
while before radical new ideas about the resurrection from
the same time, the Orphics developed the idea of a kind of
the dead would take shape.
hell, where sinners had to wallow in the mud. Hades only
The dominant idea of the underworld in the ancient
now developed into a judge of the dead.
Mediterranean, then, seems to have been a relatively dim un-
This revaluation of the afterlife reflected itself also in the
derworld with people focusing on life on this earth. This atti-
early fifth century when Hades became identified with an
tude proved to be highly tenacious, and, even if minority
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3726
H:AD¯ITH
views existed about a happier hereafter, it lasted well into By-
ions referred to both the sayings and the deeds of the Proph-
zantine times before the more joyful ideas about the Chris-
et. Hence the difference between sunnah and h:ad¯ıth gradual-
tian heaven started to prevail over the traditional, grimmer
ly faded and they became synonymous. This was further
views of the ancient Hades.
confirmed by Ima¯m Muh:ammad ibn Idr¯ıs al-Sha¯fiE¯ı
(d. 820), who maintained that no sunnah could be proven
SEE ALSO Afterlife, overview article, article on Greek and
without a valid h:ad¯ıth, and the view thus prevailed that
Roman Concepts; Death; Demeter and Persephone.
h:ad¯ıth signifies not only the speech but also the acts and con-
duct of the Prophet. A technical difference that still remains,
BIBLIOGRAPHY
however, is that sunnah refers to the law or value that is con-
For the older literature, see the excellent bibliography of Marlene
tained in a h:ad¯ıth; hence, a h:ad¯ıth does not necessarily con-
Herfort-Koch, Tod, Totenfürsorge, und Jenseitsvorstellungen in
tain a sunnah. Sunnah (or h:ad¯ıth) is the most authoritative
der griechischen Antike (Munich, 1992); as well as Christiane
source of Islam next to the QurDa¯n; it is both explanatory in
Sourvinou-Inwood, “Reading” Greek Death: To the End of the
relation to the QurDa¯n and a source in its own right. The
Classical Period (Oxford, 1995); and, with a new synthesis,
QurDa¯n provides the affirmation that “he (the Prophet)
Jan N. Bremmer, The Rise and Fall of the Afterlife (London
speaks not of his desire and what he says is based on revela-
and New York, 2002).
tion And whatever the Messenger brings to you, take it, and
For Hades, see Ruth Lindner et al., Lexicon iconographicum
whatever he forbids you, abstain from it” (53:3). Elsewhere
mythologiae classicae (LIMC) 4, vol. 1 (1988) s.v. Hades; for
the QurDa¯n also makes it a religious obligation of every Mus-
Aita, Ingrid Krauskopf, LIMC 4, vol. 1 (1988) s.v.; Kevin
lim to obey the Prophet (4:59; 59:7). To this al-Sha¯fiE¯ı
Clinton, LIMC 7 vol. 1 (1994) s.v. Ploutos. See also Albert
(d.820) added the argument, which seems to have been cur-
Henrichs, “Hades,” in Simon Hornblower and Anthony S.
Spawforth, eds., The Oxford Classical Dictionary, 3d ed. (Ox-
rent before this time, that when the QurDa¯n spoke of “the
ford, 1996), pp. 661–662 (a rich collection of passages from
Book and the Wisdom (al-kitab wa Dl -hikah),” which it does
classical literature). For the geography of Hades, see David
on seven occasions in this order, it meant QurDa¯n and Sun-
M. Johnson, “Hesiod’s Descriptions of Tartarus (Theogony
nah. The h:ad¯ıth thus represented divine guidance, and the
721–819),” Phoenix 53 (1999): 8–28. For the Styx, see Al-
conclusion was drawn that all authentic h:ad¯ıths must be un-
bert Henrichs, “Zur Perhorreszierung des Wassers der Styx
questioningly accepted and obeyed.
bei Aischylos und Vergil,” Zeitschrift für Papyrologie und Epi-
graphik 78 (1989): 1–29.
Khabar (lit., “news”; pl. akhba¯r) is also synonymous
For Israel and the ancient Near East, see Nicholas J. Tromp, Prim-
with h:ad¯ıth, especially among the Sh¯ıE¯ı writers, as they in-
itive Conceptions of Death and the Netherworld in the Old Tes-
clude not only h:ad¯ıths but also the sayings of their recog-
tament (Rome, 1969); Klaas Spronk, Beatific Afterlife in An-
nized ima¯ms within the meaning of khabar. The Sh¯ıE¯ı ima¯m,
cient Israel and in the Ancient Near East (Neukirchen-Vluyn,
being a member of the Prophet’s family (i.e., the ahl al-bayt)
Germany, 1986); and Richard E. Friedman and Shawna Do-
is deemed to have inherent knowledge(al- Eilm al-ladunni) of
lansky Overton, “Death and Afterlife: The Biblical Silence,”
the Sunnah of the Prophet, transmitted from father to son
in Judaism in Late Antiquity, Vol. 4: Death, Life-After-Death,
down the line of descent. There is, however, a tendency
Resurrection, and the World-to-Come in the Judaisms of Antiq-
among Sh¯ıE¯ı writers, too, to reserve Sunnah for the Sunnah
uity, edited by Alan J. Avery-Peck and Jacob Neusner, (Lei-
of the Prophet alone, whereas khabar, and h:ad¯ıth can include
den, 2000), pp. 35–59.
both the h:ad¯ıth proper as well as the sayings of the ima¯m.
JAN N. BREMMER (2005)
Lastly, a¯tha¯r (lit., “vestige”) refers to the sayings, opin-
ion (fatwa), and precedent of the companions. The phrase
Eilm al-h:ad¯ıth (“science of h:ad¯ıth”) refers to h:ad¯ıth literature
H:AD¯ITH. The Arabic word h:ad¯ıth literally means speech
as well as to the methodology and critical standards used to
and also new: because speech is created as it is uttered, it is
authenticate the h:ad¯ıth.
always new. Following Prophet Muh:ammad’s death (632
H:ad¯ıth quds¯ı (“sacred h:ad¯ıth”) is the name given to a
CE), people engaged in speech about him so much that the
unique variety of h:ad¯ıth wherein the Prophet attributes what
word h:ad¯ıth was eventually reserved for speech related to the
he says directly to God. In the eleventh century CE, the ques-
Prophet, including his own speech; it then came to refer to
tion arose whether the h:ad¯ıth quds¯ı was to be regarded as
the sayings of the Prophet and his companions, and finally
part of the QurDa¯n, which by definition consisted of the re-
only to the sayings of the Prophet himself.
vealed speech of God, or was to be attributed to the Prophet.
Sunnah (lit., a beaten track) is a parallel word to h:ad¯ıth,
H:ad¯ıth scholars concluded that while the message of the
as both refer to the speech and conduct of the Prophet, yet
h:ad¯ıth quds¯ı comes from God, it is in the words of the
the two usages initially signified different shades of meaning.
Prophet—and thus cannot be considered part of the QurDa¯n.
H:ad¯ıth denoted speech or word whereas sunnah signified ac-
For this reason only the QurDa¯n, and not the h:ad¯ıth quds¯ı,
tual conduct, or the way of doing something. It was, howev-
may be recited during ritual prayer (s:ala¯h:). Even so, h:ad¯ıth
er, difficult to draw a clear line between words and deeds,
scholars generally treat the h:ad¯ıth quds¯ı as a superior class
especially in light of the fact that the narrations of compan-
of h:ad¯ıth. A total of about one hundred h:ad¯ıth quds¯ı have
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
H:AD¯ITH
3727
been recorded, and their authenticity is measured by the
isna¯d is the conveyor of the teachings of the Prophet, it is
same criteria and standard as are applied to h:ad¯ıths generally.
a part of the religion. Hence a diligent and conscientious ren-
Muhy¯ı al-D¯ın ibn al-EArab¯ı (d. 1240) compiled a collection
dering of isna¯d is believed to be an act of merit that gains
of 101 qudsi h:ad¯ıths bearing the title Mishkat al-Anwar.
the pleasure of God.
Later Mulla EAli al-Qari (d.1605) selected forty such h:ad¯ıths,
and this collection has become widely adopted by many sub-
The Prophet is reported to have discouraged documen-
sequent authors.
tation of his own sayings in order to prevent confusion be-
tween the QurDa¯n and h:ad¯ıth. Many of his leading compan-
RECEPTION AND DOCUMENTATION. As a general rule, every
ions were consequently against documentation of h:ad¯ıth; at
h:ad¯ıth must be supported by a reliable isna¯d (chain of trans-
the same time, however, many others among them consid-
mission) consisting of the names and identity of its transmit-
ered it permissible and actually wrote h:ad¯ıths for their own
ters. The number of transmitters in the isna¯d tends to in-
collections. There are also reports that during the latter part
crease with every successive generation. Sometimes a h:ad¯ıth
of his ministry, that is, when much of the QurDa¯n had already
that is transmitted by one companion is then transmitted by
been documented, the Prophet permitted some of his com-
a number of persons in the next generation who may happen
to be residing in different localities. This raises the question
panions to write h:ad¯ıths, and even instructed them “to pre-
of how the particular transmitter obtained the information
serve knowledge through writing.” It seems, then, that after
from his immediate source. Was it through direct hearing
an initial period of hesitation, the basic permissibility of writ-
(sama¯ E) and personal contact, or through other means of
ing and documenting h:ad¯ıths was accepted and this activity
communication? Various methods of reception (tahammul)
became, in due course, a major preoccupation of the Eulama¯D
have thus been identified, which include, in addition to
during the second and third centuries of Islam. But even in
sama¯ E, such methods as submission ( Eard) and recitation
the early stages, renowned companions such as EAl¯ı ibn
(qira¯ Dat) of a h:ad¯ıth to the master for his approval, permis-
Ab¯ı-T:a¯lib (d. 661), EAbd Alla¯h ibn EUmar (d. 690), SaDd ibn
E
sion (ijaza) to transmit h:ad¯ıth, handing over (munawala) of
Ubada (d. 671), and Samura ibn Jundub (d. 681) are known
the master’s materials to the student, correspondence
to have documented h:ad¯ıths in small booklets, or sah¯ıfas.
(mukataba), declaration (i Elam) by the master of his own
Ja¯bir ibn EAbd Alla¯h (d. 699) compiled a larger sah¯ıfa, and
E
source, bequest (wasiyya), and finding (wijada) by the stu-
Abd Alla¯h ibn EAmr ibn al-EA¯s: (d. 681) compiled one that
dent of h:ad¯ıth in the master’s handwriting. Following the
became known as al-sah¯ıfa al-sa¯diqa (“the true collection”).
large-scale documentation of h:ad¯ıths in the ninth century,
One of the earliest documented h:ad¯ıths of that period to
most h:ad¯ıth scholars began to employ special terms in the
have survived in its original form is the renowned Constitu-
isna¯d literature that indicate the method by which the h:ad¯ıth
tion of Madina (Dustu¯r al-Madina, c. 622).
had been transmitted; this has remained the most common
Recent research by Muslim scholars concerning the
method to this day. Most people nowadays find h:ad¯ıths in
early documentation of h:ad¯ıths has suggested the need for
one of the standard collections and when quoting them make
a revision of some of the negative conclusions Western Isla-
reference to the latter.
mologists have drawn regarding the time frame and authen-
Isna¯ds can consist of one or two links, or of as many as
ticity of the early collections. Twentieth-century scholars in-
half a dozen or more; the smaller the number of links, the
cluding Muh:ammad Ham¯ıdulla¯h, Subh¯ı al-Sa¯lih, Abul
shorter the time lag between the demise of the Prophet and
H:asan al-Nadw¯ı, and Muh:ammad Mus:t:afa¯ AEzam¯ı have
the transmission of the h:ad¯ıth. Thus isna¯ds are divided into
questioned the conclusions of Ignác Goldziher, Joseph
two types, namely elevated (al-isna¯d al- Eal¯ı), which consist
Schacht, G. H. A. Juynboll, and others who cast doubt on
of fewer links and transmitters, and descended (al-isna¯d
the authenticity of the bulk of h:ad¯ıths. The most extreme po-
al-na¯zil), which may involve a large number of transmitters.
sition on the authenticity of the h:ad¯ıths is that of Joseph
Most h:ad¯ıths were compiled long after the time of the
Schacht, who took Goldziher’s observations a step further to
Prophet, but some were compiled relatively early. H:amma¯m
conclude that “every legal tradition from the Prophet, until
ibn al-Manabbih (d. 722), for instance, recorded his collec-
the contrary is proved, must be taken, not as an authentic
tion (sah¯ıfa) around 672. His h:ad¯ıths consisted mainly of
. . . statement . . . but as a fictitious expression of a legal
one link, namely a companion. Ima¯m Ma¯lik (d. 796) related
doctrine formulated at a later stage” (The Origins of Muham-
h:ad¯ıths in his Muwatta (Straightened path) that had been
madan Jurisprudence, 1950, p. 149). For their part, Muslim
told to him by Na¯fiE, who had heard them from EAbd Alla¯h
commentators have maintained that documentation of
ibn EUmar, who had heard them from the Prophet, thus
h:ad¯ıths took place much earlier than suggested by Schacht
making for two intervening links. Elevated isna¯ds of this kind
and others. Two decades after the publication of The Origins
are also frequent in the collection of h:ad¯ıths compiled by the
of Muhammadan Jurisprudence, Nabia Abbott tried to bal-
renowned Muh:ammad ibn Muslim ibn Shiha¯b al-Zuhr¯ı
ance Schacht’s somewhat sweeping conclusions. Based on a
(d. 742). Shorter isna¯ds are naturally preferable, which is why
group of papyri dealing with h:ad¯ıths, she concluded that sev-
some of them have been variously labeled silsilat al-dhahab
eral thousand authentic h:ad¯ıths had been documented dur-
(“golden chain”), or asahh al-asa¯nid (“soundest of isna¯ds”)
ing the first century of Islam. Her study also emphasized the
and so forth. H:ad¯ıth scholars are of the view that because
attentiveness and care of important h:ad¯ıth scholars, such 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
3728
H:AD¯ITH
al-Zuhr¯ı and others after him. A more direct rebuttal of
narrated by one companion, regardless of subject matter,
Schacht’s position can be found in Muh:ammad Mus:t:afa¯
were put under his or her name, the main purpose being to
AEzam¯ı’s On Schacht’s Origins of Muhammadan Jurisprudence
preserve the largest possible number of h:ad¯ıths. Famous in
(1985), which argues that many of Schacht’s conclusions on
this category was the Musnad of Ima¯m Ah:mad ibn H:anbal
the authenticity and documentation of h:ad¯ıths are exaggerat-
(d. 855), which contains about 40,000 h:ad¯ıths, including
ed and unreliable.
10,000 repetitions, reported by about seven hundred com-
panions. Other works in this category include the Musnad
TYPES OF H:AD¯ITH. The pious Umayyad Caliph EUmar II
of Abu¯ Da¯wu¯d Sulayma¯n al T:aya¯lis¯ı (d. 819), and the Mus-
(d. 711) asked the leading scholars of Ma¯dina, Abu¯ Bakr
nad of ibn Najja¯r (d. 876), among many others. Some of the
Muh:ammad ibn H:azm (d. 715), al-Qasim Muh:ammad ibn
musnad works are arranged alphabetically and some accord-
Abu¯ Bakr (d. 728), and al-Zuhr¯ı to collect and document
ing to region and tribe. Although considered to be richest of
h:ad¯ıths, while taking care to “accept nothing other than the
all in scope and content, the musnad collections are not easy
h:ad¯ıth of the Prophet.” But the caliph died soon afterwards
to use because they are not classified by subject.
and it was al-Zuhr¯ı, the teacher of Ima¯m Ma¯lik, who persist-
ed and attempted what proved to be the first major docu-
The sah¯ıh (“sound,” “reliable”) collections marked the
mented collection of h:ad¯ıths. Al-Zuhr¯ı’s work marked the
fourth and basically the last stage in the development of
beginning of a movement that was to be continued by many
h:ad¯ıth literature. The six standard Sunn¯ı collections of
others in the eighth and ninth centuries. Yet al-Zuhr¯ı’s own
h:ad¯ıths, known as al-siha¯h al-sitta, were all compiled around
collection was subject-oriented and consisted of separate
the mid-ninth century and have remained the most authori-
booklets for individual subjects that were neither well consol-
tative to this day. Sah¯ıh al-Bukha¯r¯ı and Sah¯ıh Muslim are
idated nor classified. He documented all the information
often referred to collectively as sah¯ıhayn (“the two sound col-
that he had received from the companions and followers
lections”), but even so, they do not include all the sah¯ıh
(ta¯bi Eu¯n) concerning h:ad¯ıths, and often integrated the com-
h:ad¯ıths on record, as some have appeared in other collec-
panion’s own statement into the prophetic h:ad¯ıths. This
tions. Because their compilers, Muh:ammad ibn Isma¯E¯ıl
manner of treatment can also be seen in Ima¯m Ma¯lik’s Mu-
al-Bukha¯r¯ı (d. 870) and Muslim ibn al-Hajja¯j (d. 875), did
watta, one of the earliest collections of h:ad¯ıths after
not set out to include every sah¯ıh h:ad¯ıth in their collections,
al-Zuhr¯ı’s, which would probably have been the most au-
it follows that a h:ad¯ıth may not be labeled unsound or unre-
thoritative, even among the standard collections, had it not
liable simply because it did not appear in either of these two
been for its tendency to confound the h:ad¯ıth with the a¯tha¯r
collections.
of companions. To distinguish these two and separate them
Before discussing the six standard h:ad¯ıth collections in
from one another became one of the principal preoccupa-
some detail, it is necessary to introduce the three-fold classifi-
tions of collections from later periods. The major ninth-
cation of h:ad¯ıths into the sah¯ıh, h:asan, and da Eif categories.
century collections, discussed below, employed new method-
ology and critical standards. They attempted to more careful-
The sah¯ıh h:ad¯ıth is defined as one with an unbroken
ly verify the reliability of the isna¯ds and began to classify and
chain of transmission, consisting of upright persons who also
distinguish the sah¯ıh (“sound,” “reliable”) h:ad¯ıth from the
possessed retentive memory, going all the way back to the
da Eif (“weak”) h:ad¯ıth.
Prophet or a companion; its content is not outlandish
(sha¯dh)—in the sense that it does not contradict another reli-
H:ad¯ıth literature has developed in several stages, each
able h:ad¯ıth—and it is free of both obvious and subtle defects.
marking some new development in the writing methods and
It is, in other words, a h:ad¯ıth that is free of defects in respect
classification of h:ad¯ıths. The sah¯ıfa collections, to which ref-
both to its isna¯d and its content (matn). Sah¯ıh h:ad¯ıth are also
erence has already been made, contained the earliest docu-
subdivided into those on which there is general agreement,
mented h:ad¯ıths on record, but were not classified; they con-
and those on which the Eulama¯D have disagreed. Furthermore
sisted simply of written records of h:ad¯ıths on a variety of
a h:ad¯ıth may be sah¯ıh in its own right (sah¯ıh li-dha¯tih), in
subjects, and were mainly written for the personal use of
that it fulfills all the requirements of sah¯ıh, or it may be sah¯ıh
their authors. Many companions recorded h:ad¯ıths in this
due to an extraneous factor (sah¯ıh li-ghayrih), as in cases
form, which naturally come first in order of reliability and
where doubts about the memory of a h:ad¯ıth’s narrator have
closeness to the source. Next came the musannaf
been removed due to confirmation from another source.
(“classified”) collections, which collated h:ad¯ıths on separate
themes, organizing them under headings and into chapters.
H:ad¯ıth transmitters have been classified into a number
Famous in the musannaf category were the Muwatta of
of categories, with respect to their uprightness, reliability,
Ima¯m Ma¯lik, the Musannaf of MaEmar ibn Ra¯shid (d. 770),
and retentiveness. Without entering into technical details, it
and the Musannaf of EAbd al-Razza¯q ibn Humam al-SanEani
can be said that a sah¯ıh h:ad¯ıth is one for which the transmit-
(d. 827).
ters belong to the first three most reliable classes of narrators:
the companions, the renowned ima¯ms, and scholars of
Then followed the musnad (lit., “supported”) collec-
h:ad¯ıths. As opposed to this, a h:asan (“fair”) h:ad¯ıth is one for
tions, which favored isna¯ds that linked a h:ad¯ıth to the Proph-
which the transmitters belong to the next three categories,
et through the reports of companions. All h:ad¯ıths that were
consisting of those who are not among the most prominent
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
H:AD¯ITH
3729
and about whom some doubt persists concerning the reten-
Al-Bukha¯r¯ı himself entitled his work al-Jam¯ı Eal-Sah¯ıh
tiveness of their memory and the accuracy (dabt) of their re-
al-Musnad al-Mukhtasr min H:ad¯ıth Rasu¯l Alla¯h wa Sunanih
ports. A da Eif (weak) h:ad¯ıth is defined as one that fails to
wa Ayyamih. This name is indicative of al-Bukha¯r¯ı’s method-
meet the requirements of the sah¯ıh and h:asan classifications,
ology and approach: the word al-Jam¯ı E (lit., “comprehen-
and its transmitters include one or more persons of question-
sive”) signifies that the work’s coverage extends to eight
able reliability. The weakness in a da Eif h:ad¯ıth may be in the
areas. These are dogmatics ( Eaqa¯Did), legal rules (ahka¯m),
isna¯d or in the text. There are many subvarieties of the da Eif
moral teachings (al-riqaq), the etiquette of eating and drink-
category. The term mursal (lit., “sent free”), for example, re-
ing (adab al-ta Eam waDl -shara¯b), QurDanic commentary, the
fers to a h:ad¯ıth with an isna¯d that is missing a link at the level
history and biography of the Prophet (al-tafs¯ır, wa Dl -ta¯r¯ıkh
of a companion—in other words, a follower (ta¯bi E¯ı) has di-
wa Dl -siyar), travel and movement (al-s:afar waDl -qiya¯m waDl
rectly relayed it from the Prophet. But even the mursal is
-qu Eud), turmoil and tumults (al-fitan), and the virtues of the
sometimes accepted if it is reported by a highly reliable per-
Prophet and his companions (al-mana¯qib). The word
son, such as the ima¯ms al-Sha¯fiE¯ı or Ma¯lik.
al-Sah¯ıh in al-Bukha¯r¯ı’s title signifies that he did not know-
ingly include a weak (da Eif) h:ad¯ıth in his collection, whereas
H:ad¯ıths have also been classified into three types based
the word al-Musnad implies that all the h:ad¯ıths he compiled
on the number of their narrators. The first of these is the
were supported by verified isna¯ds going all the way back to
mutawatir (“continuously recurrent”) type, those that have
the Prophet. Al-Bukha¯r¯ı was the first to compile a compre-
been reported by a large enough number of people to pre-
hensive collection of this kind, and his methodology was
clude the possibility of collusion or fabrication. A h:ad¯ıth that
generally followed by Muslim ibn al-Hajja¯j.
is reported by only a small group of individuals is known as
an ah:ad, or solitary h:ad¯ıth, and, finally, a h:ad¯ıth that is called
Muslim ibn al-Hajja¯j’s Sah¯ıh Muslim is the next most
mashhu¯r (“well-known”) is one that became widespread dur-
authoritative of the six collections of h:ad¯ıths that are current-
ing the first three generations following the demise of the
ly in use, except in North Africa and the Maghreb, where
Prophet.
Sah¯ıh Muslim is ranked first. This reverse order of ranking
THE SIX STANDARD COLLECTIONS. The compiler of the
is basically due to Sah¯ıh Muslim’s superior classification sys-
Sah¯ıh al-Bukha¯r¯ı, al-Bukha¯r¯ı, came from Bukhara in Asia
tem, which makes it easier to use than al-Bukha¯r¯ı. Sah¯ıh
Minor. He traveled widely and devoted some sixteen years
Muslim consists of 10,000 h:ad¯ıths that can be reduced to just
to the compilation of his Sah¯ıh. He interviewed over a thou-
over 3,000 without the repetitions. Muslim ibn al-Hajja¯j also
sand h:ad¯ıth transmitters in the H:ija¯z, Egypt, Iraq, and Persia
traveled extensively in search of h:ad¯ıths and interviewed a
and collected as vast number of about 600,000 h:ad¯ıths, from
large number of transmitters over a period of fifteen years.
which he selected 9,082 h:ad¯ıths. Discounting all the repeti-
Muslim ibn al-Hajja¯j went on record to say, in the introduc-
tions, Sah¯ıh al-Bukha¯r¯ı contains 2,602 h:ad¯ıths, divided into
tion to his Sah¯ıh Muslim, that he showed his work to Abu¯
106 chapters and under numerous subheadings. The repeti-
ZaurEa al-Ra¯z¯ı, the renowned scholar and teacher of h:ad¯ıth
tions here, as in other collections of h:ad¯ıths, occur on ac-
of his time and that Al-Ra¯z¯ı had criticized some h:ad¯ıth trans-
count of the presence of more than one chain of isna¯d for
mitters that Muslim had included in his chains of isnad as
one and the same h:ad¯ıth. They are all listed on the assump-
being unreliable and that al-Ra¯z¯ı had found a hidden defect
tion that multiple isna¯ds add to the reliability of a h:ad¯ıth.
( Eillah) in others. Muslim then added that he removed what
It was al-Bukha¯r¯ı’s declared purpose to include in his collec-
al-Ra¯z¯ı had criticized and doubted and included everything
tion only sah¯ıh h:ad¯ıths narrated by upright and retentive in-
he had approved as sah¯ıh (sound) h:ad¯ıths. He also wrote that
dividuals who had met with one another within the same
he intended to purify the h:ad¯ıths of the accretions of story-
generation or within two adjoining generations. Al-Bukha¯r¯ı
tellers, the input of those who were moved by ignorance and
followed al-Zuhr¯ı’s methodology and criteria in the selection
prejudice, and the influence of heretics.
of h:ad¯ıths. The first link in al-Bukha¯r¯ı’s isna¯d is usually a ver-
A point of difference between al-Bukha¯r¯ı and Muslim
ified companion. This is followed, in turn, by two upright
ibn al-Hajja¯j can be noted with regard to their respective
followers, or by one follower who is verified by at least two
treatment of the isna¯d. Al-Bukha¯r¯ı not only verified that
other narrators. The third link in al-Bukha¯r¯ı’s chain of isna¯d
contiguous links in the isna¯d were contemporaries, he also
usually consists of an upright and retentive successor (ta¯bi’
made sure that they had actually met. For Muslim ibn
ta¯bi’i) from whom other narrators have also reported. The
al-Hajja¯j it was sufficient if the two were contemporaries,
fifth link in al-Bukha¯r¯ı’s isna¯d is likely to be his own teacher,
even if he could not prove they had not actually met. Muslim
or shaykh. It was important for al-Bukha¯r¯ı to ensure that at
ibn al-Hajja¯j was content, in other words, with the possibility
any stage of the isna¯d a h:ad¯ıth had been narrated by at least
of an actual encounter between teacher and disciple.
two people, be it a companion, follower, or successor. This
is only a general characterization of al-Bukha¯r¯ı’s isna¯d, as ex-
Commentators have noted that more of al-Bukha¯r¯ı’s
ceptions are found—for example, in the case of a compan-
narrators meet the requirements of just character ( Eadala)
ion, Midras al-Aslam¯ı, whose h:ad¯ıths al-Bukha¯r¯ı included,
and retentiveness (dabt) than do those of Muslim ibn
even though only one person, Qays ibn Hazim, has reported
al-Hajja¯j. Of the total of 430 or so of al-Bukha¯r¯ı’s narrators,
h:ad¯ıths from him.
the critics have identified 80 as being of questionable stand-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3730
H:AD¯ITH
ing or weak, whereas 160 of the total of 620 of Muslim ibn
The last of the sunan among the six standard collections
al-Hajja¯j’s narrators are said to be weak. About 89 of
is Sunan Ibn Ma¯jah, by Muh:ammad ibn Yaz¯ıd al-Qazw¯ın¯ı,
al-Bukha¯r¯ı’s h:ad¯ıths have been identified as having some de-
better known as ibn Ma¯jah (d. 886). The book contains
fect, whereas for Muslim ibn al-Hajja¯j the figure stands at
4,341 h:ad¯ıths, of which 3,002 had been recorded by previous
one hundred.
authors, leaving 1,339 h:ad¯ıths recorded by ibn Ma¯jah alone.
Sunan Ibn Ma¯jah contains h:ad¯ıths in all three categories of
The Sunan (pl. of sunnah, lit., “beaten track”) collec-
Sound, Fair, and Weak, which is why it was not included
tions specialize in legal h:ad¯ıths, known as ah:ad¯ıth al-ahka¯m.
among the six standard collections until the early twelfth
The various chapters of sunan works are thus devoted to top-
century, when Muh:ammad ibn T:a¯hir al-Maqisi (d. 1227)
ics such as rules pertaining to cleanliness, prayers, fasting,
included it among a list of reliable works—after which other
and the h:ajj pilgrimage, as well as marriage, divorce, child
writers followed suit. Until that time, the Muwatta of Ima¯m
custody, inheritance, and so forth. The Sunan Abu¯ Da¯wu¯d
Ma¯lik had been ranked as the sixth of the leading h:ad¯ıth col-
of Sulayma¯n ibn AshEath al-Sijista¯n¯ı (d. 888), which consists
lections, but the Muwatta contained very little that was not
of 4,800 h:ad¯ıths, stands out for its comprehensive treat-
already known, and thus came to be considered less impor-
ment of legal h:ad¯ıths. Abu¯ Da¯wu¯d did not confine his Sunan
tant than the Ibn Ma¯jah.
to the compilation of sah¯ıh h:ad¯ıths, but also included h:ad¯ıths
in the h:asan (“fair”) category. Abu¯ Da¯wu¯d claimed, however,
CRITICISM. The main purpose of h:ad¯ıth criticism is to verify
that whenever a h:ad¯ıth seemed weak to him, he identified
the authenticity of a h:ad¯ıth through methods of enquiry that
it as such and specified its point of weakness. This would
roughly resemble double-checking and cross-examination.
imply that when he did not specify any weakness in a h:ad¯ıth,
The Prophet is reported to have said in a h:ad¯ıth, “One who
it was deemed to be sah¯ıh. Sunan Abu¯ Da¯wu¯d has been ran-
intentionally tells a lie about me, let him be sure of his place
ked third in order of reliability after al-Bukha¯r¯ı and Muslim.
in Fire (of Hell).” This and other similar prophetic warnings
Abu¯ Da¯wu¯d also traveled widely in his quest to collect and
led to a cautious approach on the part of the companions and
verify h:ad¯ıths and acquired such a reputation as a teacher of
other h:ad¯ıth transmitters, who were mostly careful not to
h:ad¯ıths that students came to him from wide and far.
narrate h:ad¯ıths about which they had doubts. The four early
Islamic caliphs (khulafa¯ D ra¯shidu¯n) made a point of criticizing
The Sunan al-Nasa¯ D¯ı of H:a¯fiz Abu¯ EAbd al-Rah:ma¯n
some of their fellow companions who narrated h:ad¯ıths that
Ah:mad ibn ShyDayb al-Nasa¯D¯ı (d. 915) stands next in order
were not directly known to them, or that they had doubts
of ranking to after the Sunan Abu¯ Da¯wu¯d, and consists of
about. Some of the less reliable seeming were asked to pro-
5,000 legal h:ad¯ıths, of which a great deal had already ap-
duce evidence of the veracity of their reports. The subsequent
peared in previous collections. Nasa¯D¯ı wrote his Sunan in two
spread of h:ad¯ıths to remote parts of the Islamic domain also
stages. His initial collection, entitled Al-Sunan al-Kubra¯ (the
gave rise to apprehensions about the presence of error and
greater sunan), contained h:ad¯ıths in the three categories of
distortion in h:ad¯ıths. A separate branch of h:ad¯ıth studies,
Sound, Fair, and Weak, and was presented to the Abbasid
known as al-jarh: wa El-ta Ed¯ıl (“impugnment and validation,”
ruler of Ramla in Palestine. Nasa¯D¯ı was then asked to compile
also known as naqd al-h:ad¯ıth, or h:ad¯ıth criticism), was devel-
a work that only contained sah¯ıh h:ad¯ıths, and so he win-
oped as a result, and numerous writers in almost every period
nowed the Al-Sunan al-Kubra¯ down to a smaller collection
contributed to its growth. Yah:ya¯ ibn MaE¯ın (d. 847), EAl¯ı
named Al-Mujtaba min al-Sunan (The select from the
al-Mad¯ın¯ı (d. 848), and Ima¯m Ah:mad ibn H:anbal were the
sunan). This version is the one currently in use and is said
early pioneers, after which almost every leading scholars of
to contain very few defective or weak h:ad¯ıths. Al-Nasa¯D¯ı is
h:ad¯ıths, including al-Bukha¯r¯ı, Muslim ibn al-Hajja¯j, Abu¯
ranked equally with the Sunan Abu¯ Da¯wu¯d, yet the latter is
Da¯wu¯d, Nasa¯’¯ı, and others wrote one or more books on the
preferred as it provides additional insights of interest to
biographies of h:ad¯ıth transmitters, their strengths and weak-
jurists.
nesses, and factors that influenced the reliability of their
reports. A vast body of biographical literature, known as
Next in the sunan category is Sunan al-Tirmidh¯ı by Abu¯
E
asma¯ D al-rija¯l (lit., “names of authorities”) and tabaqa¯t
Isa¯ Muh:ammad al-Tirmidh¯ı (d. 915), which is also includ-
(“generations of h:ad¯ıth transmitters”), developed as a result.
ed among the six standard collections. H:ad¯ıth scholars have
placed this work in the sunan category due to its arrangement
Whenever the reliability of a h:ad¯ıth transmitter is ques-
and the style of its chapters, which are both in line with
tioned, two approaches are possible: one is to attempt a vali-
works of jurisprudence (fiqh). Some have also placed
dation (al-ta Ed¯ıl) of the transmitter’s reliability and upright-
al-Tirmidh¯ı in the jam¯ı E (“comprehensive”) category, as it
ness, the other is to enter into a process of disqualification
is not strictly confined to legal h:ad¯ıths. One of the distinctive
known as al-jarh: (lit., “wounding,” “impugnment”). The
features of this work is that it first gives the principle isna¯d
methods by which impugnment is attempted are, on the
of a h:ad¯ıth, and then gives other alternative isna¯ds. It focuses
whole, more rigorous than what is usually required for vali-
on h:ad¯ıths that were practiced and generally accepted by
dation. H:ad¯ıth scholars have employed special terms that in-
Muslim jurists, and is thus thought to be free of spurious
dicate grades of reliability, and also ones that suggest degrees
h:ad¯ıths, even though it is not totally devoid of ones that are
of weakness. Terms such as thabtun (“proof”), hujjatun
weak or defective.
(“strong,” “firm”), h:a¯fiz (“retentive”), and dabit (“accurate”),
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
H:AD¯ITH
3731
in reference to transmitters, indicate the first degree of ta Ed¯ıl,
free of grave sins (kabaDir) and not have persisted in
whereas expressions such as s:adu¯q (“truthful”), sa¯lih:
committing minor sins (saghaDir) or degrading or pro-
al-h:ad¯ıth (“fit to narrate h:ad¯ıth”), and la baDsa bihi (“no ob-
fane acts, such as associating with persons of ill-repute,
jection”) tend to come next in ranking. Impugnment is es-
making silly jokes, or exhibiting antisocial behavior.
tablished through the use of terms such as majhu¯l
The fundamental positive behaviors that Eadala is asso-
(“obscure”), daEif (“weak”), matruk (“abandoned”), mut-
ciated with are observance of religious duties and per-
taham bi Dl-kidhb (“accused of lying”), and kadhdha¯b/waddaE
sonal decorum (muruDa). The different schools of law
(“liar,” “forger”). Broadly speaking, specifying the grounds
tend to differ on such issues as whether or not the hold-
for one’s assessment is necessary for impugnment, but not
ing of views that amount to pernicious innovation
for validation. H:ad¯ıth scholars thus tend to validate trans-
(bid Eah) or caprice (hawa¯) is grounds for disqualifica-
mitters in a few words without elaborating on their good
tion—though generally such views are permitted in a
qualities, whereas brevity of this kind is not enough for pur-
narrator, unless the person is actively engaged in invit-
poses of impugnment.
ing others to embrace them. Various methods have been
identified by which to verify the probity of person, in-
Comparison of sources and checking on dates and local-
cluding, for example, tazkiya (lit., “purging”), which
ities are among the most commonly employed methods of
may consist of testimony from witnesses, character ref-
h:ad¯ıth criticism. To verify the accuracy of a doubtful h:ad¯ıth,
erences from colleagues, or consideration of general
comparison is attempted between the various versions of the
local reputation.
h:ad¯ıth reported by different students of one scholar, or be-
tween statements made by the same scholar at different
3. None of the transmitters in an isna¯d can be implicated
times, or between the h:ad¯ıth and the relevant text of the
in forgery, or in sectarian, political, or theological dis-
QurDa¯n, and so forth. In some cases where a disciple claims
putes, especially in cases where such disputes are actually
to have received a h:ad¯ıth directly from a teacher, further ex-
related to the theme of the h:ad¯ıth.
amination of their respective localities and dates proves that
4. The transmitter must be a contemporary of the teacher
the two could not have met. Some other grounds of impugn-
on whose authority he related the h:ad¯ıth. As mentioned
ment that h:ad¯ıth scholars have listed include:
above, al-Bukha¯r¯ı further stipulated that the two must
1. Attribution of lies and falsehood to the Prophet.
have actually met. Some have also specified that it is
2. A reputation for telling lies, even if no specific charge
necessary for the narrator to have been certain of the re-
is proven.
liability of his teacher.
3. A reputation for negligence and mistakes.
5. The transmitter must qualify as dabt—that is, they must
possess a retentive memory and be capable of accurate
4. Sinful conduct, whether consisting of words or acts.
renderings of h:ad¯ıths.
5. A reputation for making improbable statements and in-
6. The transmitter must not be obscure or unknown
dulgence of the imagination (wahm).
(majhu¯l): at least two upright persons must have narrat-
6. Disagreement with reliable authorities and narrators.
ed a h:ad¯ıth from them. Only the companions are ex-
empt from this requirement.
7. Obscurity and lack of clear personal identification.
7. The text (matn) of a h:ad¯ıth must be in the dignified
8. Advocacy of pernicious innovation (bid Eah).
style of the prophetic language. The presence, therefore,
9. Bad memory.
of obscene, ridiculous, or objectionable elements is
taken as a sign of forgery.
Validation and impugnment are only acceptable from quali-
fied and impartial persons. Although backbiting (ghiba) is
8. The text and message of a h:ad¯ıth must be consistent
normally forbidden, h:ad¯ıth scholars have generally held it to
with the QurDa¯n. A clear and irreconcilable conflict with
be permissible to the extent that it is necessary in the context
the QurDa¯n would thus render the h:ad¯ıth unacceptable.
of impugnment.
9. A h:ad¯ıth is also rejected if it fails the test of historical
AUTHENTICITY. The prerequisites that every sah¯ıh h:ad¯ıth
evidence. A h:ad¯ıth—for example, that the Prophet said
must fulfill to be considered authentic may be summarized
such and such in a public bath in Medina—is rejected
as follows:
simply because no public bath existed in Medina at the
1. The h:ad¯ıth must be supported by a sound and verified
time.
isna¯d.
10. The text of a h:ad¯ıth must not be contrary to reason. For
2. It is required that every link in the isna¯d was known as
instance, a h:ad¯ıth claiming that the parents of the
an upright and respected person ( Eadl) at the time they
prophet Muh:ammad rose from the dead to embrace
reported the h:ad¯ıth, even if they did not yet have that
Islam would be rejected.
reputation when they received it. The minimum re-
MODERN ATTITUDES. Modern Islamic scholars and the ma-
quirement of uprightness ( Eadala) is that the person be
jority of Muslims continue to consider h:ad¯ıths a part of 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
3732
H:AD¯ITH
tablished dogma, and authoritative proof of the tenets, laws,
tended this critique to the work of scholars at some Egyptian
and values of Islam, next only to the QurDa¯n in importance.
universities, including the renowned al-Azhar.
The spread of a modern scientific mindset has, however, led
to much discussion of the authenticity of individual h:ad¯ıths.
Yu¯suf al-Qarada¯w¯ı has stressed the need for compilation
The presence of forgery in the larger mass of h:ad¯ıths is not
of no less than three comprehensive encyclopedias on
denied, and many h:ad¯ıth scholars have been involved in
h:ad¯ıths, one on h:ad¯ıth narrators and their biographies, an-
painstaking efforts to identify and isolate unreliable h:ad¯ıths,
other containing the text (matn) of h:ad¯ıths, and a third one
which have been gathered together in collections under the
to be drawn from the first two and devoted exclusively to
general heading mawduEat (“forgeries”). Despite this meticu-
h:ad¯ıths in the sah¯ıh and h:asan categories. Selection of materi-
lous work, however, doubts remain.
al should be made strictly according to the scientific criteria
that leading h:ad¯ıth scholars have developed, and modern re-
While acknowledging that most of the forged h:ad¯ıths
search tools, such as computers and comprehensive indices,
had been isolated in the mawdu Eat literature, Muh:ammad
should be employed.
Zubayr Sidd¯ıq¯ı, writing in 1962, argued that there were still
“some weak or forged” h:ad¯ıths in the standard collections,
In H:ad¯ıth Methodology (2002) the present writer ob-
which he identified with certain topics, such as the antichrist
served that the existing methodology and criteria of h:ad¯ıth
(dajja¯l) and the last guide (mahd¯ı). Muh:ammad al-Ghaza¯l¯ı
criticism were basically adequate and that h:ad¯ıth scholars
(d. 1993) drew attention to h:ad¯ıths in the standard collec-
were also reasonably successful in their efforts to isolate the
tions that are at odds with the QurDa¯n. He then categorized
fabricated matter in their mawdu Eat collections. However,
a number of such h:ad¯ıths as “rejected” or “discarded”
much of the mawdu Eat literature was written long after the
(al-ah:ad¯ıth al-marduda).
standard collections of al-Bukha¯r¯ı and Muslim ibn al-Hajja¯j.
In addition, some of the more refined methods of h:ad¯ıth
The late Shaykh of al-Azhar, Mah:mu¯d Shaltu¯t, criti-
criticism were developed after the time of al-Bukha¯r¯ı and
cized (c. 1965) the “strange phenomenon” of h:ad¯ıths being
Muslim ibn al-Hajja¯j. There is good reason, therefore, to un-
labeled mutawatir (“continuously recurrent”) even though
dertake an extensive review and consolidation of h:ad¯ıths with
they do not meet the requirements of that category, simply
the aid both of the existing h:ad¯ıth methodologies and of
because of their diffusion and frequent occurrence in scholar-
more modern means and methods of research.
ly works. This tendency can even be observed in some of the
QurDa¯n commentaries, in which weak h:ad¯ıths are sometimes
SH¯IE¯I H:AD¯ITH. The Sh¯ıEah Ithna Ashariyah (or the Twelver
labeled mutawatir.
Sh¯ıEah), who represent the largest group of Sh¯ıEah and main-
ly reside in Iran and Iraq, rely on their own collections of
The contemporary scholar Yu¯suf al-Qarada¯w¯ı has
h:ad¯ıths. Of the four most authoritative Sh¯ıE¯ı collections,
drawn attention to h:ad¯ıths in the category of al-targh¯ıb
Al-Ka¯f¯ı f¯ı EIlm al-Din (What is sufficient for knowledge of
wa Dl-tarh¯ıb (“encouragement and warning”), which h:ad¯ıth
religion) by Abu¯ JaEfar Muh:ammad al-Kulayn¯ı (d. 939) is
scholars have often uncritically accepted, thus undermining
rated first, followed, in order of priority, by the Man la¯ Yah-
the reliability of h:ad¯ıths generally. This is because scholars
duruhu al-Faq¯ıh (One who is not visited by a jurist) of Ibn
have often neglected to apply the conditions of admissibility
Ba¯bawayhi (al-Shaykh al-S:adu¯q ibn Ba¯bu¯yah al-Qumm¯ı; d.
to this category of h:ad¯ıth—on the assumption that they con-
991), and by the two works of Shaykh Muh:ammad ibn
sist of moral advice and are in any case optional. Works of
al-H:asan al-T:u¯s¯ı (d. 1067), namely Al-Istibsa¯r f¯ıma¯ Ukhtuli-
QurDa¯n exegesis are also not free of weak and even forged
fa min al-Akhba¯r (Examination of what is in dispute among
h:ad¯ıths on such topics as the relative superiority and virtues
the reports) and Tahdh¯ıb al-Ahka¯m (Verified rulings).
of the various chapters and verses of the QurDa¯n. Even promi-
Al-Ka¯f¯ı has 326 chapters and 16,199 h:ad¯ıths from the
nent QurDa¯n commentators “such as al-Zamakhshar¯ı,
Prophet and the ima¯ms. It deals with three basic themes,
al-ThaEa¯lib¯ı, al-Bayd:a¯w¯ı and others have persisted in quot-
namely, theology and the imamate, which are the basics of
ing fabricated statements in the name of h:ad¯ıth” (al-
religion (us:u¯l); the furu¯ E, or details of positive law; and al-
Qarada¯w¯ı, Kayfa Nata Eamalu ma E al-Sunnaa al-Nabawiy-
rawda min al-Ka¯f¯ı (“flowers from al-Ka¯f¯ı”), which include
yah, p. 36).
miscellaneous topics related to fiqh. Ibn Ba¯bawayhi’s collec-
Writing in 1961, the Sh¯ıE¯ı author Muh:ammad Najm¯ı
tion, which records 5,963 h:ad¯ıths, was compiled with the
Zanja¯n¯ı offered an evaluation representative of both Sh¯ıE¯ı
goal, as the title uggests, of diminishing the reader’s need to
and Sunn¯ı opinion when he claimed that h:ad¯ıth scholars
consult a jurist. Al-T:u¯s¯ı’s Tahdh¯ıb is the next largest of the
have generally placed much emphasis on isna¯ds and the reli-
four collections, containing 13,590 h:ad¯ıths, while Al-Istibsa¯r
ability of h:ad¯ıth transmitters, but not enough on the text and
contains 5,511 h:ad¯ıths. The former lays greater emphasis on
message of h:ad¯ıths. The Egyptian scholar Fahm¯ı Huwayd¯ı,
methodology in its verification of the rulings of h:ad¯ıths,
while acknowledging (1989) this weakness of the h:ad¯ıth col-
whereas the latter was basically intended be a supplement to
lections, pointed out that many unqualified people with little
Tahdh¯ıb. Whereas the leading Sunn¯ı scholars, such as al-
insight into h:ad¯ıth methodology have lightly dismissed
Sha¯fiE¯ı, emphasized accuracy in the isna¯d and text of h:ad¯ıths,
h:ad¯ıths and advanced ill-considered views in the name of re-
al-T:u¯s¯ı was largely concerned with the practicableness of the
form and ijtiha¯d (“independent reasoning”). Huwayd¯ı ex-
h:ad¯ıths’ contents. All four collections rely on isna¯ds reaching
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
H:A¯FIZ: SH¯IRA¯Z¯I
3733
back only to the recognized Sh¯ıE¯ı ima¯ms. Two of the ima¯ms
useful works on h:ad¯ıths available in Arabic. Subh¯ı al-Sa¯lih’s
who feature most prominently in these works are the fifth
EUlu¯m al-H:ad¯ıth wa-Mustalahuh (Beirut, 1966), Manna¯ E
and sixth ima¯ms, Muh:ammad al-Ba¯qir (d. 735) and JaEfar
Kal¯ıl al-Qatta¯n’s Maba¯hith f¯ı EUlu¯m al-H:ad¯ıth (Cairo,
al-S:a¯diq (d. 765), esteemed members of the Prophet’s house-
1992), and Mus:t:afa¯ D¯ıb al-Bugha¯’s Buhu¯th f¯ı EUlu¯m
hold who are credited with having changed Shiism from a
al-H:ad¯ıth wa Nususuh (Damascus, 1990) are all concise, yet
primarily political movement into something with a juridical
comprehensive, and stay clear of burdensome extrapolations.
A more detailed treatment of the entire range of h:ad¯ıth sci-
and scholastic focus.
ences can be found in Muh:ammad Abu¯ Shahba’s Al-Wasit
Unlike their Sunn¯ı counterparts, Sh¯ıE¯ı scholars were
fi EUlu¯m wa Mustalah al-H:ad¯ıth (Jeddah, 1983). An Intro-
not preoccupied with the search for sound isna¯ds reaching
duction to the Science of Tradition, edited and translated by
back to the Prophet, because the infallibility ( Eis:mah) of the
James Robson (London, 1953) from a work of al-H:a¯kim
ima¯ms precluded the need for such verification. Sh¯ıE¯ı h:ad¯ıths
al-N¯ısha¯pu¯r¯ı, and Ah:mad Am¯ın’s Fajr al-Isla¯m, 14th ed.
(Cairo, 1986), both provide information on early develop-
were mainly collected in the tenth through eleventh centu-
ments in the h:ad¯ıth. Fazlur Rahman’s Islamic Methodology in
ries, in part because of the “occultation” of the Sh¯ıEah’s living
History (Karachi, 1965) and Muh:ammad Mus:t:afa¯ AEzami’s
ima¯m in 873, and also because the Buyid rulers who were
Studies in H:ad¯ıth Methodology and Literature (Indianapolis,
friendly to the Sh¯ıEah only came to power in 945. Although
1977) are informative on modern h:ad¯ıth issues as well as on
a great deal of the Sunn¯ı and Sh¯ıE¯ı h:ad¯ıths are similar in con-
the Orientalist critique concerning the authenticity of
tent and message, Sunn¯ı and Sh¯ıE¯ı scholars tend to differ
h:ad¯ıths. AEzami’s second and now well-recognized work, On
widely in their respective approaches to authenticity and
Schacht’s Origins of Muhammadan Jurisprudence (Riyadh,
isna¯d. A four-fold classification of h:ad¯ıths is employed in
1985), is highly critical of, and manages to successfully re-
Sh¯ıE¯ı collections:
fute, many of Schacht’s conclusions concerning the authen-
ticity of h:ad¯ıths. Muh:ammad Ham¯ıdulla¯h’s The Emergence
1. The sah¯ıh or sound h:ad¯ıth is one with an isna¯d that con-
of Islam: Lectures on the Development of Islamic World-View,
nects it without a break to one of the ima¯ms.
Intellectual Tradition, and Polity (Islamabad, Pakistan, 1993)
and Fazlur Rahman’s Islam (Chicago and London, 1979)
2. The mu¯waththaq, or reliable, h:ad¯ıth is one supported
both contain concise and readable chapters on the history of
by an isna¯d in which the companion of an ima¯m un-
the h:ad¯ıth and on issues concerning the documentation and
equivocally declares it acceptable.
authenticity of h:ad¯ıths. Coverage of modern debates and
3. The h:asan, or Fair, h:ad¯ıth is one with an isna¯d including
contemporary concerns vis-à-vis h:ad¯ıths, especially in the
a transmitter (from the ima¯m) whose uprightness
Egyptian context, can be found in G. H. A. Juynboll’s The
Authenticity of Tradition Literature: Discussions in Modern
( Eadala) is not unequivocally established.
Egypt (Leiden, 1969).
4. The da Eif, or weak, h:ad¯ıth is one that does not fall with-
Yu¯suf al-Qarada¯w¯ı’s Kayfa Nata¯ Eamalu ma Ea al-Suna al-Naba-
in the first three categories.
w¯ıya (Herndon, Va., 1990) and Muh:ammad al-Ghaza¯l¯ı’s
Tura¯thuna¯ al-fikr¯ı f¯ı Miza¯n al-Shar E wa al- EAql (Herndon,
Like their Sunn¯ı counterparts, Sh¯ıE¯ı scholars have expressed
Va., 1991) both provide insight into some of the prominent
reservations about the reliability of some material in their
issues surrounding the h:ad¯ıth and put forward proposals for
h:ad¯ıth collections. They have also questioned the reliability
reform. Mah:mu¯d Shaltu¯t’s renowned Al-Isla¯m EAq¯ıda wa
of using ah:ad (solitary) h:ad¯ıths to establish a decisive legal
Shar¯ı Eah (Kuwait, c. 1966) contains a useful chapter on the
or religious ruling. Like most Sunn¯ı scholars, the Sh¯ıEah
sunnah in which he addresses various issues and proffers a
maintain that all the obligatory rulings of h:ad¯ıths must be
word of advice for contemporary readers of the sunnah and
proven as a matter of certainty. Because ah:ad h:ad¯ıths, those
h:ad¯ıth.
reported by a small number of unconnected individuals, do
A brief but sound discussion of Sh¯ıE¯ı h:ad¯ıths can be found in
not qualify as mutawatir, they are not enough to establish a
Murtaza¯ Mutahhar¯ı’s Jurisprudence and Its Principles, trans-
decisive shar¯ı Eah ruling.
lated from Persian by Mohammad Salam Tawheedi (Elm-
hurst, N.Y., 1981). Muh:ammad Najm¯ı Zanja¯n¯ı’s Ta¯r¯ıkh-e
SEE ALSO Islamic Law, article on Shar¯ıEah; Sunnah; Tafs¯ır.
Fira¯q-e Isla¯m¯ı (Tehran, 1961) provides a more detailed treat-
ment of the subject, as well as a survey of modern studies and
B
significant issues concerning the Sh¯ıE¯ı h:ad¯ıth. Dwight M.
IBLIOGRAPHY
A comprehensive treatment of the various aspects of h:ad¯ıth studies
Donaldson’s The Shi’ite Religion (London, 1933) contains
can found in Mohammad Hashim Kamali’s H:ad¯ıth Method-
information on the h:ad¯ıth.
ology: Authenticity, Compilation, Classification, and Criticism
MOHAMMAD HASHIM KAMALI (2005)
of H:ad¯ıth (Kuala Lumpur, 2002). The same author’s other
book, Principles of Islamic Jurisprudence, 3d rev. ed. (Cam-
bridge, U.K., 2003), provides a chapter (pp. 85–117) on sun-
H:AFETS H:AYYIM SEE KAGAN, YISRADEL MEDIR
nah as a source of Islamic law. Muh:ammad Zubayr Sidd¯ıq¯ı’s
H:ad¯ıth Literature: Its Origins, Development, Special Features,
and Criticism (Calcutta, 1961) also provides concise infor-
mation on historical developments in the h:ad¯ıth and on
H:A¯FIZ: SH¯IRA¯Z¯I (AH c. 726–792/c. 1326–1390 CE),
major collections that are currently in use. There are many
in fuller form Shams al-D¯ın Muh:ammad H:a¯fiz:-i Sh¯ıra¯z¯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
3734
H:A¯FIZ: SH¯IRA¯Z¯I
was a Persian lyric poet and panegyrist, supreme master of
And I was minded of what I’d sown and the reaping day
the ghazal. He was born in Sh¯ıra¯z, spent the greater part of
to come.
his life in the area, and died there as well; his tomb is now
a showplace. Much of his career was in the service or the am-
I’ll hold not my hand from wanting till my desire is
realized;
biance of a minor dynasty, the Muzaffarids, whose overall
Either my body attains my heart’s beloved, or my heart
reign was approximately coeval with his own life-span. As
will leave my body.
usual with Persian literary figures, H:a¯fiz:’s exact dates and the
details of his life are much disputed: The traditional biogra-
H:a¯fiz: is said to have produced his own definitive recension
phy leans heavily on anecdotal pieties, casual references in
some twenty years before his death, but no manuscript of this
a variety of sources, and possible allusions in his own corpus,
has ever come to light (and given the constant wear and tear
the text of which is still far from being in a definitive form.
on this particular poet’s work over the centuries, it seems un-
likely that any ever will). All known versions are believed to
He is said to have had an impoverished childhood, part
depend on an edition allegedly produced at some point after
of it as an orphan, and to have worked at various menial
his death by a disciple. Whatever H:a¯fiz:’s own intentions may
tasks, but in the culture of the time these circumstances were
have been (at an earlier date or at various later times), the
no obstacle to his acquiring a sound education in the tradi-
actual textual situation, quite apart from variant readings, is
tional disciplines. His pen name, H:a¯fiz:, ostensibly signifies
extraordinarily chaotic. In the thousands of extant manu-
that he had memorized the QurDa¯n, and his poetry itself dis-
scripts from all periods and places, and consequently in the
plays a confident acquaintance with Arabic, the so-called Is-
more than a hundred printed editions, the number of poems
lamic sciences, various branches of secular knowledge, and
ranges from about five hundred to almost one thousand, al-
Persian literature to his own day. By the age of thirty he ap-
though the lower figures are commonly taken to be the more
pears to have gained some acceptance as a panegyrist to
reliable. Moreover, in these recensions the order and number
princes and influential ministers of state, and he continued
of lines in any particular poem can vary greatly, with virtually
thus—with various vicissitudes of fortune—for most of his
only the first (the internally rhymed quote-line) and the last
life. At no time, however, does he seem to have enjoyed a
(containing the poet’s name) remaining stable. This is not
regular appointment or any considerable wealth. Indeed, be-
at all abnormal in classical Persian poetry, where each line
cause some of his patrons were rigidly orthodox Sunn¯ıs, his
is designed to have a degree of self-containment and “finish”
generally libertine and laissez-faire attitudes—whether actual
unfamiliar in Western literatures. What is unusual in the
or merely professed—often landed him in a measure of dis-
present case is the extent of variability, and this feature has
grace, if not in outright persecution.
given rise to a whole critical literature in its own right. Other
It has sometimes been suggested, and as often denied,
factors of confusion are the idiosyncratic cultural tendencies
that H:a¯fiz: was even of Sh¯ıE¯ı allegiance, and certainly various
for lesser poets to father their works onto famous names, or
passages in the poems can be read in this sense. Nor, in the
for all writers to borrow freely from each other where a line
light of modern scholarship, would his celebrated S:u¯f¯ı lean-
or two may seem particularly apt. Nor, in a culture where
ings necessarily conflict with such loyalties. The precise truth
memory and oral tradition also play an important part, can
can hardly be discovered at this date, especially because am-
the standard methods of scholarship (the oldest manuscript
biguity is in the nature of the case for any poet beholden to
is normally the best, the simplest solution is likely to be
an establishment: In this case, H:a¯fiz: would have had to be
wrong, and so forth) be applied with full confidence. In
extremely ambiguous in his poetry in order to avoid offend-
short, the text as it stands is neither authoritative in itself nor
ing various religious, political, or social interests. What
reliable in its possible relationship to the poet’s life, and it
seems clear, however, is that he generally carried, and
may never become so.
made frequent reference to, a reputation for aggressive non-
Once this is said, and the rich (but often falsely roman-
conformity.
tic) accretions draped around the figure of H:a¯fiz: in Western
H:a¯fiz:’s unique literary position rests on his D¯ıva¯n, the
renderings have been stripped away as far as possible, one is
collection of his poems, practically all in the ghazal form (a
still left with a body of poetic utterance that is regarded by
sort of ode, ranging from a few monorhyming couplets to
Persian-speakers as sublime to the point of near-sacredness.
twelve, fifteen, or more). Unfortunately, no more than a few
H:a¯fiz:’s D¯ıva¯n is read or memorized, and quoted, at all levels
brief excerpts in translation can be cited here, but perhaps
of society, but it is also used—by those who call it a “QurDa¯n
these opening lines from three separate ghazals will give the
in Persian”—in all solemnity to take random auguries at
reader a sense of H:a¯fiz:’s work:
such important moments in life as a projected marriage, a
business or medical decision, the start of a lengthy journey,
If that Sh¯ıra¯z¯ı Turk will take my heart into his hand
and so on. Persian-speakers may or may not fully appreciate
I’ll give up, for his Indian beauty spot, all Samarkand and
the linguistic and literary mastery H:a¯fiz: constantly displays;
Bukhara.
they may not always relish his ambiguities and the alternat-
The green fields of heaven I saw and the new moon’s
ing and interpenetrating themes—mystical, melancholy, pes-
sickle
simistic, hedonistic, or panegyric—but they all believe 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
HAIDA RELIGIOUS TRADITIONS
3735
hear in him a voice of infinite wisdom and transcendence.
are inextricably linked in ancient and modern society to the
Nor does this apply only to those whose usual language or
social, political, and economic lives of the Haida people.
mother tongue is Persian, for H:a¯fiz: was for centuries as re-
Myths provide the foundation for ancient religious practices
vered in regions where Turkish (the Ottoman Empire) and
and influence many aspects of the contemporary life of the
Urdu (various princely states of India) were the local lan-
Haida people.
guages. Indeed, many of the best earlier studies, translations,
T
and commentaries have emanated from those centers, be-
HE SUPERNATURAL. In his Contributions to the Ethnology of
the Haida (1905) and Haida Tests, Masset Dialect (1908),
cause Iranian scholarship as such in H:afiziana is largely a
John R. Swanton provides the earliest comprehensive texts
twentieth-century development and is in some degree in-
documenting Haida myths and stories. His interpretations
debted to these as well as to the West.
describe the ever-changing nature of what he calls “Haida
spirit theory.” There is such a close relationship between all
BIBLIOGRAPHY
of the forces of the natural world that they are easily inter-
H:a¯fiz: naturally receives major and special treatment in the stan-
changeable. The world of the Haida is characterized by allu-
dard reference works, including both editions of The Encyclo-
sion and pun and the nature and character of the land and
paedia of Islam (different articles) and the several Western
Haida mythological powers can be described as intelligent,
histories of Persian literature. Editions in Persian (none of
them fully satisfactory) are numerous, while studies on him
unpredictable, creative, ambiguous, dangerous, friendly, and
and translations of many of the poems abound in most West-
transformative. Supernatural beings have a great deal of
ern languages. Unfortunately, a high proportion of the latter
power and can easily disguise themselves to become Salmon
are of indifferent scholarly quality or make no claim to be
People, Herring People, Forest People, Bear People, Ocean
more than popular and imaginative reworkings; most of
People, Mouse People, or any number of other “supernatu-
them are in any case long since out of print. Some of the best
ral” beings.
critical studies are recent ones in Persian, and these have not
been translated.
To the Haida, the world is one seamless existence. Nat-
ural and supernatural are categories in which nature rules.
Two useful and accessible works are Michael C. Hillmann’s Unity
in the Ghazals of Hafez, Studies in Middle Eastern Litera-
Phenomena change rapidly depending on the time and space
tures, no. 6 (Minneapolis, 1976), and A. J. Arberry’s Fifty
of perception, the weather, the occasion. In ritual space, nat-
Poems of H:a¯fiz:, rev. ed. (Cambridge, U.K., 1962). Both of
ural and supernatural beings and creators come very close
these include bibliographies, and Hillmann’s is comprehen-
and are perceived in elaborate masks, dances, musical expres-
sive.
sions, and poetic oratory. Supernatural beings can play with
humans, harm them, marry them, and appear and disappear
G. M. WICKENS (1987)
at a moment’s notice, depending on their moods.
HAIDA MYTHS AND STORIES. The Haida creation story plays
a prominent role in their mythological belief system. Raven
HAIDA RELIGIOUS TRADITIONS. The Xaada
created the world by teasing the humans into existence while
Gwaay or Haida Gwaii, the island of the Haida people, is
they cowered on the beach under a clam shell. Raven is a sa-
a land of intense natural beauty, a misty archipelago com-
cred trickster and transformer who sings, plays, teases, and
posed of two large islands, Graham and Moresby, and some
even lies to inspire deep transformation. There are numerous
150 small islands on the borderlands between southern Alas-
versions of Raven stories and new ones are being created
ka and northern British Columbia. The intensity and subtle-
every day. One of the most famous is Bill Reid’s well-known
ty of the territory is apparent in its dense rain forests, miles
interpretation Raven Steals the Light (1984). This retelling of
of pristine sandy shores, craggy mountain cliffs, and unpre-
the Raven myth is widely read and has been translated into
dictable weather patterns.
several languages.
The elaborate Haida culture is as rich in mythological
Killer Whale is another important mythological charac-
heritage as it is in natural beauty and resources. This complex
ter. Because the Haida relied heavily on the abundance of the
mythological landscape parallels and represents the complex-
sea for their sustenance, they have many stories about Killer
ity of traditional Haida religious practice and its influences
Whale’s power and ability to rule the sea creatures. Many
in contemporary Haida society. It is the land and the spirits
Killer Whale stories describe the loss of lives at sea and the
of the land that inspired Haida stories and myths.
transformation of humans into sea creatures who will later
Though their islands were inhabited by many villages
support or harm fishermen.
in traditional times, there are three remaining Haida villages
THE SOCIAL ORGANIZATION OF HAIDA SOCIETY. The ma-
in the contemporary landscape: Old Massett Village and
trilineal social structure of the Haida reflects mythological
Skidegate, both on the Queen Charlotte Islands in British
characters in the form of clans. A clan system assigns associa-
Columbia, and Hydaberg, on the southeastern tip of Alaska.
tive categories between animals and human beings, who can
Just as the land provides the source of inspiration for
obtain powers through these associations. The two primary
myth, traditional mythological elements of the Haida culture
clans are Raven and Eagle. Each clan is further organized
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3736
HAIDA RELIGIOUS TRADITIONS
around family crests that are also associated with animals
orate belief systems, and the importance of strong relation-
prevalent in Haida territory.
ships among the people.
Traditionally, Haida were not allowed to marry within
THE RENAISSANCE OF HAIDA CULTURE. The creation of art
their own clan. This system of intermarriage used moieties
is an important functional aspect of Haida identity and
to govern marital alliances, economic structures of reciproci-
serves as the primary mechanism for the expression of an im-
ty and ownership of property. This system of organization
portant set of beliefs about the world. Many Haida artists
also included the supernatural beings associated with human
will say the “art is who we are” (Kenny, p. 1219). There is
clan systems. “This dual classification imposes order on the
no word for art in the Haida language because the arts are
universe not only in the sense of categorizing nature in analo-
embedded in the daily lives of the Haida people. The Haida
gy to human society, but also in the sense of perceiving
and their vision of the world were rejected during the period
things as belonging, in the double sense of being owned and
of colonization. Haida leader Ernie Collison explains:
being part of” (Boelscher, p. 29).
Over the years, since the time of colonization, the visual
arts suffered because of the potlatch laws and with the
In the past, these clans played a dominant role in the
introduction of Christianity. There was a banishment
management of tribal affairs. In contemporary society, they
of visual icons of Haida. . . . Those influences manip-
function as influential family affiliations in an electoral gov-
ulated the view of the Haidas about their traditional
ernance system established during the period of colonization.
civilization, with the “art,” the Haida passion for identi-
The political life of the Haida is also complex. In this hybrid
fying and decorating everything with drawings and
governance system, elements of the secular and the sacred in-
paintings and carving, and it went underground. Ob-
teract. Elected chiefs and hereditary chiefs share the responsi-
jects and ceremonies were kept out of sight of the mis-
bilities of leadership in Haida communities and serve as
sionaries and government agents. (Kenny, p. 1219)
models for ethical lives based on generosity, strength of char-
Historically, the bounty of the land and sea was reflected in
acter, and strong family ties. Haida ethics are based in reci-
the lavishness of Haida ceremonies, which have grown over
procity that is expressed on a daily basis through generous
the years in spite of many efforts to eliminate their presence
gift giving, especially during the potlatches. Gift giving also
in the community. In contemporary society, the Haida mys-
functions to maintain a fair distribution of wealth in the
tical vision of the world and its powers, as represented in
community.
their arts, has reemerged. “Their passion for carving, sculpt-
ing, painting, and weaving and for decoration generally over-
THE POTLATCH. Haida have many elaborate ceremonies and
flowed onto the most utilitarian of objects”(Dickason,
rituals. These events are generally categorized as potlatches,
p. 212).
ceremonial events in which generosity is expressed by the giv-
Totem poles were used to protect homes and long-
ing of gifts, feasting, and traditional Haida dancing and sing-
houses or community gathering structures. Fragments of the
ing. Though potlatch was forbidden during the period of
ancient totem poles can still be viewed along the coastal
colonization, the revitalization of traditional Haida customs
beaches and in the forests of the Haida territory. Archaeolo-
that began in the 1970s reinstated the practice, and pot-
gists also excavated many Haida poles and relocated them to
latches are frequently organized in all three Haida villages.
museums around the world. The Haida are attempting to re-
They are occasions in which to express and reinforce the
patriate many of these poles, often with the help of modern
communal values and beliefs of the people, to socialize as a
archaeologists who work in conjunction with them to create
community, to grieve loss or celebrate birth, to commemo-
museums on Haida territory that are managed by the Haida
rate great leaders, and other occasions.
themselves.
In traditional Haida societies, there were many ceremo-
In an ongoing revitalization process that began in the
nies to acknowledge the passing of community members into
1970s, Haida arts play prominently in recovering the health
the spirit world. Mortuary poles were commissioned and
and well-being of the people through an open expression of
potlatches were attended by relatives and friends who trav-
their identities and mystical beliefs. Northwest coast arts,
eled great distances to participate. In contemporary Haida
and particularly Haida arts, are probably the most heavily
society, the ritual of the memorial feast, which is held one
represented of any of the tribal arts in the world and can be
year after the death of a family member, includes the moving
viewed in museums around the world. Haida sculptures in
of the headstone onto the grave, blessings, a potlatch, and
argillite, carved jewelry in silver and gold, and contemporary
speeches honoring the Haida who has passed into the spirit
Haida masks draw thousands of dollars in the world market.
world. At these memorial feasts, participants are instructed
The marketing of these products brings an aspect of econom-
by religious leaders and elders to “put aside the grief” because
ic sustainability to Haida artists. Haida artists such as Bill
it is the end of the official one-year mourning period (Kenny,
Reid and Robert Davidson have been central in bringing
p. 1218).
Haida art into the most sophisticated art circles around the
Haida also believe in the constant presence of the ances-
world.
tors. Rituals are powerful ceremonies, even in contemporary
The revitalization process is recovering many totem
times, reminding the Haida of their ancient roots, their elab-
poles and other precious cultural objects from museums, 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
H’AI GAON
3737
versities, and private collections for repatriation to the Haida
Dickason, Olive Patricia. Canada’s First Nations: A History of
nations. There is also a successful process of repatriation for
Founding Peoples from Earliest Times. Toronto, 1996.
ancestral remains. Representatives of the Haida nations trav-
Ghandl. Nine Visits to the Mythword: Ghandl of the Qayahl Ll-
el around the world to gather the remains of their ancestors
aanas. Translated by Robert Bringhurst. Lincoln, Neb.,
and bring them home. Many ceremonies surround the repa-
2000.
triation of ancestral remains, including welcoming the ances-
Halpin, Marjorie M. Totem Poles: An Illustrated Guide. Vancou-
tors into the arms of the people upon receipt of the remains
ver, 1981.
and reburial in traditional territory. Repatriation ceremonies
Henderson, James Youngblood. “Ayukpachi: Empowering Ab-
have brought back many traditional religious practices, but
original Thought.” In Reclaiming Indigenous Voice and Vi-
in a modern context. Many of these ceremonies remain
sion, edited by Marie Battiste. Vancouver, 2000.
private.
Kenny, Carolyn Bereznak. “Blue Wolf Says Good-bye for the Last
In contemporary society, Haida religious practices often
Time. ” American Behavioral Scientist 45, no. 8 (2002):
1214–1222.
combine elements of the old ways with practices in the Angli-
can, Catholic, or United churches. By the end of the twenti-
Murdock, George Peter. Rank and Potlatch Among the Haida.
eth century there were very few remaining Haida elders who
New Haven, Conn., 1936.
remembered things as they were at the beginning of the
Reid, Bill, and Robert Bringhurst. The Raven Steals the Light. Van-
twentieth century. Because of the remoteness of the Haida
couver, 1984.
Gwaii, the Haida people were protected from early contact
Snyder, Gary. He Who Hunted Birds in His Father’s Village: The
with European settlers and were able to maintain their reli-
Dimensions of a Haida Myth. Bolinas, Calif., 1979.
gious and cultural practices for much longer than many in-
Steltzer, Ulli. The Spirit of Haida Gwaii: Bill Reid’s Masterpiece.
digenous peoples in the Americas. At the turn of the twenty-
Seattle, 1997.
first century, the remaining Haida elders are involved in the
Swanton, John R. Contributions to the Ethnology of the Haida
renewal of the old ways. Many are dedicated to saving the
(1905). New York, 1975.
Haida linguistic, religious, and cultural traditions.
Swanton, John R. Haida Tests, Masset Dialect (1908). New York,
Yet, many did attend residential schools that forbade
1975.
them to exercise their rights to a distinct and unique culture.
Swanton, John R. Haida Songs. Leiden, Netherlands, 1912.
In residential schools children were often punished severely
Swanton, John R. Skidegate Haida Myths and Stories. Collected by
for speaking their native language or making any reference
John R. Swanton; edited and translated by John Enrico.
to religious beliefs associated with their native culture. In
Skidegate, Canada, 1995.
modern society, these elders and their children, grand-
CAROLYN BEREZNAK KENNY (2005)
children, great-grand-children, and great-great-grand-chil-
dren, along with a few academics, are rebuilding the Haida
culture, bringing it from its underground existence into the
H’AI GAON
fullness of expression in a modern world.
(939–1038), Babylonian halakhist. H’ai
succeeded his father, Sherira’, as head of the academy at
Haida often join with other Northwest coast native peo-
Pumbedita and occupied the post for forty years, during
ples in the rebuilding of their cultures. They have also joined
which time he penned hundreds of responsa, composed sig-
the International Indigenous Peoples movement and travel
nificant halakhic monographs, and trained Jewish students
to conferences and gatherings for cultural exchange. The
from all over the world. The Geonic period reached its apo-
Haida are on the internet and are in constant communica-
gee with H’ai, who as its crowning figure also witnessed its
tion with indigenous peoples around the world. This initia-
irreversible decline.
tive serves to showcase the identity and strength of the Haida
The quantity of H’ai’s responsa—about one-third of all
people in the modern world.
preserved Geonic responsa are attributed to him—indicates
that he was considered the leading legal authority of his time,
BIBLIOGRAPHY
Beck, Mary Giraudo. Heroes and Heroines: Tlingit-Haida Legend.
a status underscored by the far-flung provenance of his corre-
Anchorage, 1989.
spondence and the fact that he was appealed to by scholars
of the first rank. In eleventh- and twelfth-century rabbinic
Beck, Mary Giraudo. Shamans and Kushtakes: North Coast Tales
writing, “the gaon” invariably means H’ai. He saw the Tal-
of the Supernatural. Anchorage, 1991.
mud as the decisive factor in all Jewish law (the characteristic
Blackman, Margaret B. During My Time: Florence Edenshaw Da-
posture of all Geonim), after which ranked the decisions and
vidson, a Haida Woman. Seattle, 1982.
enactments of his Geonic predecessors, and the force of cus-
Boas, Franz. Tsimshian Texts. Washington, D.C., 1902.
tom. In addition to responsa, H’ai also wrote major halakhic
Boelscher, Marianne. The Curtain Within: Haida Social and Myth-
monographs in both civil and religious law; here he ordered
ical Discourse. Vancouver, 1988.
the welter of Talmudic discussion into topically organized
Bringhurst, Robert. A Story as Sharp as a Knife: The Classical
units and brought this Geonic literary form to a height sur-
Haida Mythtellers and Their World. Vancouver, 1999.
passed only by Maimonides.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3738
HAIR
H’ai’s attitude toward Talmudic legend and his theolog-
erties and associations into cultural systems of meaning in a
ical comments combine a moderate rationalism with mysti-
selective, creative, and coherent way. Because symbols are de-
cal interests. Continuing the philosophical tradition of
rived from man’s interaction with the physical world, we
SaEadyah, H’ai reinterpreted legends with anthropomorphic
must also be alert to the possibility that an apparently sym-
features, argued for a nonliteralistic approach to aggadot, and
bolic custom is really nothing more than a practical expedi-
in general denied the authoritative status of these rabbinic
ent. In some African societies, for example, the shaving of
materials. At the same time, he recoiled from the suggestion
children’s heads has no symbolic meaning and is merely un-
of Shemu’el ben Hofni (his father-in-law) that the Witch of
dertaken to prevent lice. On the other hand, we must not
Endor had simply tricked Saul into thinking she had raised
assume too readily that practical explanations such as hygiene
the ghost of Samuel (1 Sm. 28). H’ai also wrote a short trea-
will normally be adequate to explain the symbolic uses of
tise on the nature of the messianic redemption and discussed
hair.
the esoteric teachings of merkavah mysticism.
In attempting to explain the different symbolic uses of
SEE ALSO Halakhah; Judaism, article on Judaism in the
hair, then, we must keep in mind its basic properties and as-
Middle East and North Africa to 1492.
sociations, especially its associations with animals, with
growth and vitality, and with youth and puberty as opposed
BIBLIOGRAPHY
to old age. That it has great potential for manipulation, can
Isaac Hirsch Weiss’s Dor dor ve-dorshav, vol. 4 (Berlin, 1924),
be cut painlessly, and is closely associated with two socially
pp. 174–192, remains the best single treatment of H’ai as a
significant areas of the body—the head and the genitals—is
legal authority and religious thinker. The fifth through
also of great importance. Because of this variety of properties
eighth volumes of Salo W. Baron’s A Social and Religious His-
and associations, no single theory can account for all symbol-
tory of the Jews (New York, 1952–1980), peppered with refer-
ic uses of hair. But there are, nevertheless, a limited number
ences to H’ai, provide the social and historical dimension as
well as bibliographical information. Tsvi Groner’s Rav Hai
of themes in hair symbolism that are found all over the
Gaon: His Halakhic Methodology (in Hebrew; Ph.D. diss.,
world.
Hebrew University, 1974) details H’ai’s legal method.
HAIR SYMBOLISM IN FREUDIAN THEORY. Freudian theory
GERALD J. BLIDSTEIN (1987)
maintains that the head is a phallic symbol, that the hair
symbolizes semen, and that haircutting is a symbolic castra-
tion. In some instances, the head and its hair do clearly have
HAIR. Words are related to the things they denote only
explicit sexual associations. In ancient Greek and Roman be-
by the conventions of language, but symbols, unlike words,
lief, the head was the source of semen in the form of cerebro-
are inherently appropriate to what they signify. Thus, since
spinal fluid, and hair was an indication of sexual vigor. The
most animals are much hairier than human beings, some cul-
same belief is held by the Punjabis of India, who suppose that
tures may use this difference to express the distinction be-
true ascetics are able to store up their semen and concentrate
tween the realms of nature and culture, as in myths that de-
it in the form of spiritual power at the top of their heads.
scribe the first men as very hairy, and also as ignorant of fire
Quite apart from these physiological beliefs, the head resem-
and of the rules of correct behavior toward their kin. But
bles the genitoanal region because these are the only two
symbolic meanings are not simple reflections of natural phe-
areas of the body with orifices, and each embraces radically
nomena. So, in other societies, the symbolic opposition be-
opposed functions: social relations on the one hand, and
tween “hairy” and “hairless” may be related not to the dis-
physical functions on the other. Because the realm of nature
tinction between nature and culture but rather to the
confronts that of the social and the intellectual so blatantly
categories of youth and age; in this case “hairy” will symbol-
in these two regions, it is not surprising that they can be sub-
ize the health and vitality of young people, whereas “hairless”
stituted for one another in humor, in magical and religious
will signify the baldness and infirmity of old age. Again, we
contexts, and in popular and prescientific sexual lore. Thus
may find that long hair is considered appropriate to the fe-
the nose and tongue become analogues of the penis; the eyes
male sex because it appears soft and rounded, while close-
represent the testicles; the mouth and ear correspond to the
cropped hair is associated with males because it allows the
vagina or anus; and head hair corresponds to pubic hair. It
shape of the skull to appear, giving an appropriately hard and
may be for this reason that among the Chickrí of central Bra-
angular appearance. Or again, short hair may express puritan
zil a woman may wear her hair long only after the birth of
values, and long hair their opposite. So, opposition between
her first child and that in traditional Dobuan society of the
the hairy and the hairless may symbolize such diverse cate-
wastern Pacific an adulterer would publicly cut the hair of
gorical relations as animal and human, youth and age, male
a woman he had seduced if he wished to defy her husband.
and female, and puritan and worldly. It is also quite possible
In that society care of the hair is a reciprocal service between
for one and the same symbolic use of hair to have several dif-
spouses and is associated with sexual intercourse.
ferent meanings simultaneously.
Sexual potency, however, is only one aspect of vitality,
All symbolism accommodates to the natural properties
physical strength, and animality in general. Samson’s
and associations of objects, but it also assimilates these prop-
strength lay in his hair, but we have no warrant for attribut-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HAIR
3739
ing any narrowly sexual significance to the association, nor
power, the two of which may not be clearly differentiated.
for regarding the cutting of his hair as castration. There are,
The early Frankish kings, who were essentially warriors, were
in addition, numerous symbolic acts of haircutting that are
celebrated for their long hair, which was a distinctive mark
even less plausibly interpreted as castration, such as cutting
of their royal status, so that cutting the hair disqualified a
women’s hair at marriage and the shaving of infant boys,
member of the royal family from succession to the throne.
slaves, military recruits, pilgrims, and returning travelers.
Maori chiefs were also forbidden to cut their hair, as were
Further, we find certain categories of persons, such as reli-
the priests of a number of societies, such as the Aztec and
gious ascetics, who do not cut their hair but who convention-
the two moieties of the Borana Galla of Ethiopia. Divine be-
ally abstain from all sexual relations, while the stereotype of
ings may likewise be represented as long-haired. The Aryans
the long-haired intellectual in our own culture is entirely free
so depicted the sun, whom they also described as having
of any erotic association. The Freudian hypothesis cannot
flaming or golden hair. The Egyptians referred to the sun
therefore be supported by the facts, except in a few instances.
god Re as adorned with golden locks. During the sixteenth
HAIR AS A SYMBOL OF ANIMALITY, STRENGTH, AND THE SU-
and seventeenth centuries, when the persecution of witches
PERNATURAL. As already noted, hair is a prominent feature
was at its height in Europe, it was believed that the power
of animals, and the persistent growth of hair, most noticeably
to bewitch lay especially in the hair. Accordingly, it was stan-
on the head, is analogous to the growth of vegetation. Not
dard practice not only to shave witches’ heads but to depilate
surprisingly, therefore, hair is a common symbol of vitality,
their entire bodies in order to render them harmless before
physical strength, nature, and supernatural beings or forces
execution. For centuries it was also customary to shave the
closely associated with nature. The culture hero Dribidu of
heads and bodies of the insane.
the Lugbara tribe of Uganda is a good example of this associ-
HAIRCUTTING, SOCIAL CONTROL, AND INITIATION. Insofar
ation. The culture heroes were not members of clans, like
as the hair is an expression of life, strength, and magical and
modern Lugbara, but lived in isolation in a world without
religious power or is associated with animality or the condi-
clans. Dribidu means “the hairy one,” for this culture hero
tion of being in some way outside society, cutting or shaving
had long hair over most of his body. He was also known as
the hair is an appropriate symbol for the imposition of some
Banyale (“eater of men”), since he ate his own children. In
form of social discipline or restraint and is also a means of
a myth of the Kukukuku of Papua, men at first had long hair
signifying a person’s transition from one social status to an-
all over their bodies and were ignorant of fire, cooking their
other. In this context haircutting, like the cooking of food,
food over women’s genitals. When they were shown how to
is a fitting metaphor for the imposition of social control on
make fire and to cook their food over it in the ordinary way,
nature, and also for transition and rites of passage in general.
the long hair fell off their bodies and they became fully
human.
Orlando Patterson, in his Slavery and Social Death
(Cambridge, Mass., 1983), notes the ubiquity of the shorn
In Stith Thompson’s Motif-Index of Folk-Literature
head as the mark of the slave:
(Copenhagen, 1955), there are twenty instances of hairiness
associated with supernatural or half-human beings such as
In Africa we find the shorn head associated with slaves
among peoples as varied as the Ila and the Somali. In
fairies, dwarfs, giants, water and wood spirits, devils, and
China, in highland Burma, among the primitive Ger-
mermaids; seven associations with animal-human relation-
manic peoples, the nineteenth century Russians, the In-
ships; three with vegetable-human relationships; three with
dians of the northwest coast, and several of the South
witches; seven with the soul or vitality; and six with asceti-
American and Caribbean tribes, the heads of slaves were
cism. The ascetic, particularly the solitary anchorite of
shorn (in the ancient Near East so was the pubic hair
fourth-century Egypt and Syria or the Hindu sam:nya¯sin,
of female slaves). In India and pharaonic Egypt slaves
abandons ordinary society and even the company of fellow
wore their hair shorn except for a pigtail dangling from
ascetics to lead a completely solitary life, frequently naked
the crown. (p.60)
and unkempt. In The Decline and Fall of the Roman Empire
In the Americas, however, slaves were not shorn, be-
(1776–1788), the historian Edward Gibbon wrote of the an-
cause the characteristic hair type of the African was a more
chorites of the Egyptian desert:
effective indicator of servile status. The shaving of the head
has also been prominently associated with the punishment
All superfluous incumbrance of dress they contemptu-
ously cast away, and some savage saints of both sexes
of criminals, as in the pillory, and as a mark of convict status.
have been admired, whose naked bodies were only cov-
In modern times it has been closely associated with military
ered with their long hair. They aspired to reduce them-
discipline, especially as an initiation rite for recruits, and in
selves to the rude and miserable state in which the
tribal societies boys often have their hair cut as part of their
human brute is scarcely distinguished above his kindred
initiation into adult status.
animals. . . . They often usurped the den of some wild
beast whom they affected to resemble. (chap. 37)
Haircutting may also be an initiation into society.
When a son is born to him, a Muslim has seven obligations,
Hair, particularly of the head and beard, is often be-
according to Julian Morgenstern: to give the newborn a
lieved to be the seat of physical strength and supernatural
name; to cut his hair; to give as alms the weight of the hair
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3740
HAIR
in silver or gold; to sacrifice an animal; to smear the baby’s
thought, we frequently find that the human person is be-
head with saffron; to circumcise him; and to distribute to the
lieved to have “extensions” that may include not only hair
neighbors portions of the animal sacrificed (Morgenstern,
and the other bodily secretions but also personal names and
1966, p. 41). The convert to Islam from an unsanctified reli-
belongings such as garments, shadows, and even footprints,
gion, in addition to being washed or anointed with water,
all of which may be used to cast spells on a victim. In some
might also have his hair cut off. Muslim travelers returning
societies, a sorcerer may cast a spell by including one of his
from long and dangerous journeys, as well as pilgrims, cut
own hairs in something given to the intended victim. Thus,
off their hair. Participation in sacred events may have been
in Papua a man may put one of his pubic hairs in a cigarette
regarded in some societies as taking place outside society;
and give it to a woman who, it is believed, will then form
thus it was forbidden to cut one’s hair until the end of the
a passionate attachment to him.
Passover and Sukkot festivals, and a traditional English su-
In many societies, fear of sorcery leads to the burning,
perstition held that it was unlucky to cut one’s hair on a
burying, or hiding of hair. The Konso of Ethiopia take great
Sunday.
care to hide these clippings: they cannot burn them since,
The Bible provides a number of instances of hair sym-
according to their belief, doing so will cause their own sick-
bolism in which hairiness is associated with the life of the
ness or death. As an alternative, in some cultures the cutting
hunter, wild beasts, physical strength, rebellion, or special
of hair or nails is forbidden for infants or others thought to
sanctity, while cutting or shaving the head is associated with
be specially vulnerable to magical dangers.
rejoining society, with submission to some specific authority
Hair may also be used to transfer disease to another per-
within society, or with a rite of passage. Esau, the hunter of
son, animal, or thing. In the Hebrides, it was the custom to
wild beasts, was a hairy man, while his brother Jacob, a
cure epilepsy by burying a black cock with some clippings
herdsman dwelling in tents, was a smooth man (Gn. 25:23–
of hair and nails from the patient. In Devon and Yorkshire,
27). In Leviticus, it is prescribed that when a leper, by defini-
the hair of a child with whooping cough was placed between
tion an outcast, is cured and ready to be reincorporated into
two slices of bread and given to a dog; when the dog
society, he shall have all his hair shaved off (Lv. 14:8–9). The
coughed, it was a sign that the disease had been successfully
Nazarenes, who consecrated themselves unto the Lord by a
transferred. Conversely, the hair of a sick person might be
vow, allowed their hair to grow until the end of the period
put into a hole or hung in the branches of a healthy tree, so
of their vow, when it was formally shaved off at the Taberna-
that the patient might derive health from the tree.
cle (Nm. 6:1–18). Female prisoners of war, if made wives,
were required to pare their nails and shave their heads (Dt.
A related use of hair is in sacrifice. This was once very
21:10–14). Samson’s strength lay in his hair; when it was cut
common, particularly among the ancient Greeks and Ro-
off, he was as weak as any other man (Jgs. 16:17–19). Absa-
mans, who established relations with various gods by placing
lom, who rebelled against David, his father and sovereign,
locks of hair on their altars. On reaching manhood, youths
was remarkable for his long hair (2 Sm. 14:26). When Nebu-
offered their first beard to Apollo, one of whose functions
chadrezzar was overthrown and made an outcast, “he was
was to promote the fertility of crops, or gave their hair to the
driven from men, and did eat grass as oxen, and his body was
local river god. Nero offered his first beard to Jupiter, and
wet with the dew of heaven, till his hairs were grown like ea-
Phoenician women sacrificed their hair to Adonis at the an-
gles’ feathers, and his nails like birds’ claws” (Dn. 4:33). For
nual spring festival. Greek women offered their hair to deities
women, uncovered hair was symbolic of maidenhood, while
before marriage, while Hygieia, goddess of health, was given
the covering of the hair was symbolic of marriage and the ac-
offerings of women’s hair before or after childbirth.
ceptance of the husband’s authority; it was also an ancient
Jewish custom to cut off a woman’s hair at marriage.
Hair is also used in a number of cultures to maintain
a relationship with the dead; it may be placed with the corpse
The imposition of authority is not necessarily symbol-
or on the tomb. In Islamic society, boys who had been dedi-
ized by the cutting of hair, however. On the Pacific island
cated to a saint at birth had their heads shaved sometime be-
of Tikopia, commoners loosen their hair to express submis-
tween eight and twelve years of age, and their hair was placed
sion to a chief, because in so doing, they signify their open-
on the saint’s tomb. Conversely, among the Iroquois, a lock
ness to control and influence. (On the same island, women
of hair from the dead was given to the nearest relative of the
cut their hair short, and men wear theirs long.)
deceased, while the Zuni believed that to burn the hair of
a deceased friend and inhale the smoke would produce good
THE USE OF HAIR IN MAGIC, SACRIFICE, AND MOURNING.
health. Among the Arabs, the hair or beard is regarded as the
Magical and sacrificial uses of hair seem to form a somewhat
seat of vitality and thus is specially suited to serve as the sub-
separate category from those considered so far, since they in-
stitute for a life. As part of a reconciliation ceremony, a mur-
volve the nature of something detached from the body. One
derer has some of his hair or beard shaved off, as a token of
of the commonest uses of hair is in hostile magic, when the
the life that might have been demanded.
hair clippings of an intended victim are obtained and ensor-
celled, together with, or as an alternative to, nail parings,
The cutting or tearing out of hair in mourning is one
blood, saliva, semen, or other bodily secretions. In primitive
of the most commonly reported uses of hair. Since it is 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
HAKUIN
3741
most invariably associated with other forms of bodily mutila-
and develop the arguments put forward by Leach (1958), set-
tion, such as the gashing of the skin or even the severing of
ting hair in the context of other symbolic ornamentation of
finger joints, it is most simply interpreted as self-directed ag-
the body.
gression produced by grief. Mourning may also be signified
Sikes, E. E., and Louis H. Gray. “Hair and Nails.” In Encyclo-
by disheveling the hair or by covering it with dirt, ashes,
paedia of Religion and Ethics, edited by James Hastings, vol.
mud, and so on. In all such cases the hair is also a convenient
6. Edinburgh, 1913. This article, in two parts, contains a
symbol indicating that the mourners temporarily hold a spe-
wealth of references to classical and early ethnographic
cial status.
sources relating to hair that are of permanent value to the
scholar.
In hair symbolism, then, a relatively small number of
basic themes constantly recur in the mythology, ritual, and
CHRISTOPHER R. HALLPIKE (1987)
social relations of peoples all over the world. But these
themes are only a general guide; each case must be analyzed
within the context of the particular culture in which it
H:A¯JJ SEE PILGRIMAGE, ARTICLE ON MUSLIM
occurs.
PILGRIMAGE
BIBLIOGRAPHY
Berg, Charles. The Unconscious Significance of Hair. London,
HAKUIN (1686–1769), more fully Hakuin Ekaku, was
1951. Perhaps the most thorough treatment of the symbolic
meaning of hair from a Freudian perspective. One’s estimate
a mid-Tokugawa period (1603–1868) reviver of Rinzai Zen.
of its value will naturally depend on one’s evaluation of
Hakuin was born to a commoner family in Hara, present-day
Freud’s view.
Shizuoka prefecture. Entering Buddhism at an early age, he
studied widely both Buddhist canonical works and Zen liter-
Cooper, Wendy. Hair: Sex, Society, Symbolism. New York, 1971.
A detailed and indispensable study of hair fashion and sym-
ature. He was also well versed in the secular literature of
bolism in many societies, from ancient to modern times.
China and Japan, and in popular Japanese poetry and song.
Since it is intended for a general readership, however, most
At age twenty-two he set out on his studies, visiting a succes-
items of information are given with no indication of their
sion of Zen masters and practicing meditation at various
sources.
temples. At twenty-four he visited the Zen master Sho¯ju
Firth, Raymond. Symbols: Public and Private. Ithaca, N.Y., 1973.
Ro¯jin (Do¯kyo¯ Etan, 1643–1721), and after an arduous
Chapter 8 is a very useful general survey of hair symbolism
eight-month stay, was granted his teacher’s sanction. For the
by a leading anthropologist.
next eight years Hakuin traveled to various temples, perfect-
Hallpike, Christopher R. “Social Hair.” In The Body Reader: Social
ing his understanding of Zen, eventually returning to his
Aspects of the Human Body, edited by Ted Polhemus,
temple, the Sho¯inji in Hara, in 1718. Here he concentrated
pp. 124–146. New York, 1978. This essay discusses the
on teaching a considerable number of disciples. Hakuin also
Freudian interpretation of hair symbolism and gives reasons
devoted much time to itinerant preaching and lecturing and
why in most cases we should prefer a sociological ex-
to the instruction of laymen. He passed away in 1769.
planation.
Shortly after its inception the Tokugawa shogunate es-
Hallpike, Christopher R. The Foundations of Primitive Thought.
tablished strict control over all Buddhist sects, establishing
Oxford, 1979. Pages 152–157 contain further material on
a system of main and branch temples and in many ways re-
hair symbolism and a more extended discussion of the validi-
stricting the activities of the Buddhist clergy. Buddhism in
ty of applying the concept of repression to social symbols in
the Tokugawa period is generally described as effete and cor-
general.
rupt, yet in many respects it flourished greatly. Their activi-
Hershman, P. “Hair, Sex and Dirt.” Man, n.s. 9 (1974): 274–298.
ties severely restricted, some Buddhist priests turned to
A discussion of some general problems of hair symbolism
scholarship and study; others sought to reform and revitalize
with special reference to the Punjabis of India. Contains a
their teachings. This trend was especially evident in Zen: The
useful bibliography of Indian sources.
So¯to¯ sect underwent reforms at the hands of a group of schol-
Leach, Edmund R. “Magical Hair.” Journal of the Royal Anthropo-
ar-priests; Rinzai was revitalized by Hakuin and his heirs.
logical Institute 88 (1958): 147–164. This paper, which uses
Freudian psychology to supplement anthropological expla-
In Hakuin’s time, Zen study and practice had degener-
nations of hair symbolism, was an important contribution to
ated into a sterile and formalized ko¯an study or had moved
the subject and has been frequently cited.
toward a popular Zen that rejected the ko¯an, minimized
Morgenstern, Julian. Rites of Birth, Marriage, Death and Kindred
meditation practice, and frequently admitted elements of
Occasions among the Semites. Chicago, 1966. Contains de-
Pure Land Buddhism. Hakuin revolted against these tenden-
tailed and valuable material on the ritual uses of hair in tradi-
cies. Turning back to the Zen that had been introduced to
tional Jewish and Islamic society.
Japan from Song China in the early Kamakura period
Rivière, Peter G. “Myth and Material Culture: Some Symbolic In-
(1185–1333), Hakuin taught a strict form of ko¯an Zen based
terrelations.” In Forms of Symbolic Action, edited by R. F.
on the teachings of Nampo Jo¯min (Daio¯ Kokushi, 1235–
Spencer, pp. 151–166. Seattle, 1969. An attempt to correct
1308), Shu¯ho¯ Myo¯cho¯ (Daito¯ Kokushi, 1282–1337), 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
3742
HALAKHAH: HISTORY OF HALAKHAH
Kanzan Egen (Muso¯ Daishi, 1277–1360) and the school
Rikukawa Taiun. Ko¯sho¯ Hakuin Osho¯ sho¯den. Tokyo, 1963. A de-
centered at the Daitokuji and Myo¯shinji temples in Kyoto
tailed biography with extensive discussion of Hakuin’s
(known after its founders as the O
¯ -To¯-Kan school). The
works.
exact details of the ko¯an system Hakuin used are not clear;
Tokiwa Daijo¯, ed. Hakuin Zenji shu¯. Tokyo, 1938. The most reli-
his descendants in the second generation, Inzan Ien (1751–
able edition of Hakuin’s sermons in letter form.
1814) and Takuju Ko¯sen (1760–1833), established a formal-
Yampolsky, Philip. The Zen Master Hakuin: Selected Writings.
ized system of ko¯an study that persists to this day. Under this
New York, 1971. Translation of several of Hakuin’s letters,
system, students were required to meditate on and respond
with brief introduction.
to a specific series of ko¯ans. Often, as the monk progressed
New Sources
he would reinvestigate ko¯ans previously studied, until those
Cleary, Thomas, ed. Secrets of the Blue Cliff Record: Zen Comments
few who survived the rigorous, lengthy training were them-
by Hakuin and Tenkei. Boston, 2002.
selves sanctioned as teachers. Before taking up teaching du-
Stevens, John. Three Zen Masters: Ikkyu, Hakuin, Ryokan. Tokyo,
ties it was customary for the priest to spend several years in
1993.
isolation, perfecting his own understanding.
Waddell, Norman. Essential Teachings of Zen Master Hakiun. Bos-
ton, 1994.
In his teaching Hakuin emphasized disciplined medita-
PHILIP YAMPOLSKY (1987)
tion under a teacher’s guidance, “see into one’s own true na-
Revised Bibliography
ture” (kensho¯). He emphasized meditation in the midst of ac-
tivity, or meditation at all times and in all places, in contrast
to quiet sitting in secluded areas, a practice that he vehe-
HALAKHAH
mently condemned. Hakuin was opposed to all methods of
This entry consists of the following articles:
Zen other than his own and inveighed against popular forms
HISTORY OF HALAKHAH
that simplified his teaching.
STRUCTURE OF HALAKHAH
Hakuin was a prolific writer, adept in a variety of genres.
HALAKHAH: HISTORY OF HALAKHAH
For the practicing monk he wrote several major works, high-
Jewish law (halakhah) was the major integrative factor in
ly technical in nature, designed as aids to their studies. A
Jewish life from early geonic times (eighth century) until the
large body of his writing consists of letters to feudal lords and
onset of the modern era. With Jewry’s ever-increasing geo-
to other priests and nuns in which he champions the virtues
graphic dispersion and political incapacity, Jewish identity
of Zen and calls strongly for humane government and ade-
was shaped increasingly by Jewish law. It defined the broad
quate consideration for farmers. Some of his works are sim-
sphere of religious observance and significantly influenced
ple preachings on Buddhism in general, directed toward his
the norms and practice of communal governance, and its
lay followers; other works imitate popular songs or recita-
study was a central spiritual and intellectual experience. Jew-
tions of the day. Of great popularity were several pieces, in-
ish law was created in rabbinic academies and courts by indi-
cluding Yasen kanna (Talks on a boat in the evening) and
vidual scholars and by communal custom and enactment.
parts of Orategama (Embossed teakettle), that deal with
Until the modern period, Jewish law responded to the major
Hakuin’s theories for nurturing health and prolonging life.
challenges in Jewish life, and the historical-geographic grid
Hakuin is noted for his painting and calligraphy, of
of legal creativity paralleled the development of the major
which many specimens remain. His work is bold and amus-
centers of Jewish life.
ing and includes caricatures of his parishioners, brushstroke
CHRONOLOGICAL PERIODS, GEOGRAPHIC CENTERS, AND
drawings of Zen figures, poems, Zen sayings, and single
AUTHORITIES. The geonic period most likely begins with the
characters, all boldly drawn in his untrained yet original
Islamic conquest of Babylon in about 650; indeed it seems
hand.
that the establishment of this more centralized Muslim ad-
ministration was paralleled in the Jewish institutional struc-
Hakuin is the dominant figure in the history of Rinzai
ture. The gaonate (sg., ga Don, “splendor,” derived from the
Zen in Japan. By turning back to the Song-era Zen that had
formal name of the academy in Sura, Splendor of YaEaqov)
been introduced in the Kamakura period he organized a
shared the governance of Babylonian Jewish society with the
strict and austere course of ko¯an study and provided for a re-
exilarch and claimed halakhic and spiritual authority over
vival of Rinzai Zen that had hitherto been in extreme disar-
world Jewry. The central academies of Sura and Pumbedita
ray. All Rinzai masters practicing today trace their lineage to
(both in the general vicinity of Baghdad and eventually locat-
Hakuin.
ed in that city) were each headed by a gaon; all other scholars
S
have remained anonymous in the literature. The major con-
EE ALSO Zen.
tribution of the geonic period to the development of Jewish
law lies in the stabilization and standardization it brought to
BIBLIOGRAPHY
the relatively fluid situation in Talmudic times.
Hakuin Osho¯ Zenshu Kankokai, eds. Hakuin Osho¯ zenshu¯ (1934–
1935). 8 vols. Reprint, Tokyo, 1967. The complete works
The gaonate successfully asserted the supremacy of the
of Hakuin.
Babylonian over the Palestinian Talmud (a reflection 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
HALAKHAH: HISTORY OF HALAKHAH
3743
historical ascendancy of Babylonian Jewry) and brought
moh ibn Adret, and Nissim Gerondi in Spain were teachers
much indecisive Talmudic discussion to a binding conclu-
and judges whose commentaries and responsa carried their
sion. The liturgy, in particular, reached a high degree of reg-
decisions and opinions around the world.
ulation with the publication of prayer-texts and rules in the
The work of the geonim and ri Dshonim was brought to
siddurim of EAmram (fl. 856) and SaEadyah (fl. 928). Geonic
authoritative and influential summation by YaEaqov ben
pressures toward standardization in this and other ritualistic
Asher (d. 1343) in his Arba Eah t:urim (T:ur). The period from
areas were especially stimulated by the need to combat the
its appearance till the publication (in 1550–1571) of the
competing Karaite movement and other sectarian groups.
Shulh:an Earukh of Yosef Karo and Mosheh Isserles is one of
The growing urbanization of Jewish society and its commer-
transition to the period of the ah:aronim (“later ones”) and
cial involvement also required, and received, legal guidance
also marks the migration of Jewry and its legal centers east-
through the elaboration of Talmudic materials and explicit
ward: Ashkenazic Jewry to eastern Europe and Sefardic
enactment, such as that enabling debtors to collect from the
Jewry, after the 1492 expulsion from Spain, to Greece, Tur-
movable properties of orphans. Leading geonic figures in-
key, and the Land of Israel. The halakhic achievement of the
clude YehudDai, Nat:ronDai, EAmram, SaEadyah, and ShemuDel
ah:aronim, especially in the ranks of Ashkenazic legists, tends
ben H:ofni, all of Sura; Palt:oi, SheriraD, and HDai, all of Pum-
to the derivative. (This was despite the influence of YisraDel
bedita. An auxiliary center of legal study during this period
Isserlein of Austria and the originality of Yosef Qolon of Italy
developed in North Africa; its central figure was H:ananDel,
in the fourteenth century; the achievement and influence of
who was heavily influenced by HDai.
YaEaqov Weill, YaEaqov Landau and YisraDel Bruna, all in the
Though geonic activity continued after the eleventh
fifteenth century, were in the area of religious custom rather
century (the twelfth-century Maimonides engaged in corre-
than in creative legal thought.) It is possible that continual
spondence with the Baghdad gaonate), the weight of legal
political harassment, capped by pogroms and expulsions in
development passed to western Europe as the period of the
the wake of the Black Death, sapped the intellectual energies
ri Dshonim (“first ones, early ones”) began. The death of the
of Ashkenazic Jewry. Furthermore, influential masters such
Babylonian HDai in 1038 and the birth of Rashi (Shelomoh
as YaEaqov Pollack and Shalom Shakhna preferred not to
ben Yitsh:aq) in France in 1040 conveniently symbolize the
publish at all, arguing for a return to the more pristine con-
shift. Perhaps paralleling the political decentralization of
cept of oral law, but their impact was to be felt in the revival
Christian Europe, rabbinic authority in Ashkenazic Europe
of the sixteenth century. Sephardic halakhists, however, met
was not centralized or even institutionalized—a striking con-
new problems raised by commercial advance in the eastern
trast to the geonic structure. Scholars reached eminence by
Mediterranean region and the difficulties that emerged after
popular acknowledgement of their authority, not by ap-
the expulsion from Spain and Portugal such as the reabsorp-
pointment or election; law derived largely from learning, not
tion of converts, fixing of personal status, and the forging of
from institutionalized structure. Men like Gershom ben Ye-
common patterns of governance and practice from the dispa-
hudah, Rashi, his grandson YaEaqov ben MeDir Tam, EliEezer
rate communal traditions of the sixteenth century.
ben Natan, YeshaEyah di Trani, MeDir ben Barukh of Ro-
After 1492 the Sephardic settlements in Greece, Tur-
thenburg, and his student Asher ben Yeh:iDel were the leading
key, Egypt, and the Land of Israel constituted a single sphere
teachers of their time, but neither they nor their schools had
of intellectual discourse and enjoyed an impressive level of
any official status; at the most, some might have been judges
halakhic activity. Foremost among the scholars of this era
in communal courts.
were David ibn ZimraD, Levi ben H:aviv, and Yosef Karo, all
born in Spain before the expulsion; Mosheh di Trani, Yosef
The ri Dshonim generally continued the explication and
ben Lev, and ShemuDel de Medina. By the mid-sixteenth cen-
development of Talmudic law, though certain topics—
tury, Ashkenazic Jewry had achieved a large degree of stabili-
mercantile law, Jewish-Gentile relations, and communal
ty in Poland and Lithuania, and its halakhic focus was found
governance—did demand more original treatment. The de-
in cities like Cracow and Lublin, where authorities such as
sire to base communal governance on Jewish law and its
Shelomoh Luria (c. 1510–1574), Mosheh Isserles, and
principles forced legists to hammer out basic political issues,
Mordekhai Jaffe taught and wrote.
such as the rights of majority and minority, equity in tax law,
and election procedures, with little in the way of Talmudic
The publication of the Shulh:an Earukh by Karo and its
precedent to guide them. Halakhic development in Provence
annotation by Isserles marks the most significant watershed
and Spain may be characterized in a similar fashion, though
in the codification of halakhah until modern times. The bulk
the Sefardic rabbinate of the Iberian Peninsula during the
of the work was published by Karo (a member of the Safad
Christian reconquest, reflecting the general political situa-
community of mystics and halakhists) as a self-contained en-
tion, was more centralized than its Ashkenazic counterpart
tity in 1565–1566; he had already collated the Talmudic and
and also more influenced by geonic legal patterns. Men like
medieval sources in his massive commentary to the T:ur, Beit
Avraham ben Yitsh:aq and Avraham ben David of Posquières;
Yosef (House of Joseph), which also frequently indicates the
Yitsh:aq ben YaEaqov Alfasi in North Africa; Moses Maimoni-
direction in which he would move as an authority in rabbinic
des in Egypt; and MeDir Abulafia, Moses Nahmanides, Shelo-
law. Isserles, rabbi in Cracow, published glosses (the mappah,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3744
HALAKHAH: HISTORY OF HALAKHAH
“tablecloth,” to the Shulh:an Earukh) in 1571 that registered
to influence the course of halakhah in their responsa. Repre-
the Ashkenazic variants to the Sephardic traditions of Karo
sentative figures from the seventeenth century are H:ayyim
and gave greater weight to the force of communal custom
YaDir Bachrach of Germany, Yosef ben Mosheh di Trani of
than Karo’s work alone had done. Isserles’s glosses also con-
Turkey, and ShemuDel Aboab of Italy; from the eighteenth
stituted an approval of Karo’s work, which overcame in a
century, YaEaqov Emden of Germany and Yeh:ezqeDl Landau
fairly short period its antagonists—legists of stature, such as
of Poland, Mosheh Hagiz and Yom-T:ov Algazi of the Land
Yosef ben Lev and Yehudah Löw ben BetsalDel, who opposed
of Israel, and Yehudah Ayash of North Africa; from the nine-
the reduction of rich tradition to the bare paragraphs of an
teenth century, EAqivaD Eiger of Germany, Mosheh Sofer of
authoritative code—and its competitors. The times were ripe
Hungary, Yitsh:aq Elh:anan Spektor of Russia, and Yosef
for a new summation, as was evidenced by the existence of
H:ayyim al-H:akham of Iraq. Sofer (known as H:atam Sofer)
other, if more prolix, attempts: the Levushim (Garments) of
was a crucial figure in the nineteenth-century Orthodox re-
Jaffe, and the Yam shel Shelomoh (Sea of Solomon) of Luria.
sponse to Reform, coining the motto that in matters of law
Rabbinic scholarship now set about producing commen-
“novelty is forbidden by the Torah.”
taries and supercommentaries on the Shulh:an Earukh in a
process that both legitimated the code and made it a central
Halakhic activity in the modern period reflects the his-
document in the study and practice of Jewish law.
toric fortunes of the people: Ashkenazic Jewry witnessed a
flowering in eastern Europe (Poland, Lithuania, Galicia,
Despite the overall decline in the physical conditions of
Hungary) and a relative decline in western Europe; Sephar-
Jewish life by the late eighteenth century and its religious and
dic Jewry continued its development in the Balkans, North
ideological fissures, the period of the ah:aronim produced an
Africa, and Iraq. Since the destruction of Jewries in World
extensive halakhic literature. Three characteristics deserve
War II and the exodus from Arab lands after 1948, Israel and
mention. (1) With the rise of the nation-state and the con-
the United States have become the centers of halakhic cre-
comitant elimination of self-governing estates and religious
ativity, buttressed by the revival of learning and observance
communities, halakhists have addressed themselves less and
in the latter half of the twentieth century. Much current
less (except for textual or theoretical discussions) to issues of
halakhic activity simply elaborates medieval doctrine, but the
civil or criminal law. (2) With the rise of the Reform move-
rise of modern technologies has stimulated halakhic thinking
ment, Ashkenazic halakhists of the modern period have be-
in the areas of Sabbath law and medical ethics. The most
come more defensive and hence more conservative than their
major change in modern Jewish existence, namely the secu-
predecessors. (3) Communication and interaction between
larization of the mass of Jewish people, has not yet signifi-
Ashkenazic and Sephardic halakhists have declined. It is too
cantly affected the halakhic system.
early to judge whether the existence of Israel as a Jewish state
will have any effect on these tendencies.
LITERARY GENRES AND INTELLECTUAL CURRENTS. With the
Since the publication of the Shulh:an Earukh, the two
onset of the geonic period, halakhic literature developed in
major avenues of practical halakhic development in modern
genres that have remained fairly constant until modern
times have been the commentatorial activity centered on the
times: (1) monograph-code, (2) commentary, and (3) respon-
Shulh:an Earukh and the responsa literature. Major commen-
sa. The antecedents of the first two genres are essentially Tal-
taries were written on different sections of the code by Ye-
mudic: the Talmud frequently undertakes to comment on
hoshuEa Falk, David ha-Levi, Shabbetai Kohen, Yitsh:aq
and explicate the Mishnah, while the Mishnah, especially as
Lima, ShemuDel Feibish, and H:izqiyyah di Silow, among
it detached itself from scripture and Midrash, was formed as
others. These works explicate the code but also deal with is-
a monograph-code. A fourth genre—communal enact-
sues growing out of its rulings and occasionally prefer their
ments—is more representative of the interaction of lay and
own opinions based on alternative sources. This tendency
rabbinical leadership. These different genres reflect different
may also be noted in the work of Eliyyahu ben Shelomoh
intellectual postures and tasks. Different geographic centers
Zalman of Vilna, which is devoted especially to tracing criti-
also devote themselves with varying intensity to one genre
cally the Talmudic sources of the code. Subsequently, a more
or another, yet no center or historical period abandoned any
popular literature developed, which presented the results of
one of the genres, so that the materials found in each were
these discussions in digest form, focusing especially on ritual
in a state of constant interaction, and a substantial body of
law: H:ayyei adam (Man’s Life) and H:okhmat adam (Man’s
substance and method was shared by all.
Wisdom) by Avraham Danzig and Qitstsur Shulh:an Earukh
Monograph-codes. The monograph-code of the geonic
(Short Shulh:an Earukh) by Shelomoh Ganzfried of Hungary,
period had a functional goal: it was meant to provide for the
for example. A more expansive format is found in the works
crystallization of normative, standard practice and make this
of YisraDel MeDir Kagan (for example, in Mishnah berurah),
practice accessible to students, judges, and religious leaders.
and YaEaqov Sofer (in Kaf ha-h:ayyim), which have molded
The geonim developed rules by which Talmudic literature
the consensus of Ashkenazic and Sephardic Jewries, respec-
was sifted and compiled the results of this process. From a
tively, in the area of ritual law.
substantive point of view, the major achievement of the
Halakhic authorities, many of whom were communal
geonic monograph-code lies in its reduction of Talmudic
rabbis or judges on the communal religious court, continued
discussion to geonic decision. From a structural point 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
HALAKHAH: HISTORY OF HALAKHAH
3745
view, the basic challenge lay in the reorganization of the ma-
and beliefs are eliminated. No new codes have been pro-
terial contained in the Talmudic debate into topical units;
duced since the sixteenth century, though the Shulh:an
this process demanded not only the paring down of Talmud-
Earukh has been rewritten twice in attempts to integrate new
ic pericopes but, in the more advanced monograph-code, the
materials or to combine the code with its earlier sources: see
development of new topics.
the Shulh:an Earukh of ShneDur Zalman of Lyady (1745–
1813) and the EArukh ha-shulh:an of Yeh:iDel M. Epstein
A classic and early monograph-code is the ninth-century
(1829–1908).
Halakhot gedolot (Major Halakhot), variously assigned to
ShimEon Qayyara and YehudDai Gaon. The extensive Tal-
Commentary. In geonic times commentary was, of
mudic discussion is considerably reduced and canalized into
course, commentary on the Talmud. So as to facilitate study
a conclusive decision. The basic outline is Talmudic, but
of this protean and involuted document, geonim produced
new topical units are occasionally introduced to unite scat-
lexicographical aids that explained difficult terms and wrote
tered Talmudic materials into a new framework. Virtually all
explanatory material to clarify difficult Talmudic pericopes
inoperative law, such as laws of sacrifices, purities, and impu-
and chapters. Thus we possess HDai’s lexicographical com-
rities, is eliminated. Despite its new features, Halakhot gedo-
mentary to T:ohorot as well as parts of his running commen-
lot is, in essence, an abridgment of the Talmud, a form that
tary to tractate Berakhot. The classic running commentary
reaches its apogee in the eleventh-century Halakhot of Alfasi.
to the entire Talmud was written in France by Rashi. Based
Other geonic monographs are radical departures from the
on oral traditions, Rashi’s explication made the Talmud ac-
Talmudic model. The Sefer ha-miqqah: ve-ha-mimkar (Book
cessible to all students.
of Purchase and Sale) of HDai, for example, a work on oaths,
Rashi’s grandchildren (the most prominent of whom
and the monograph on benedictions by ShemuDel ben H:ofni
was YaEaqov ben MeDir Tam) inaugurated the tosafist
both reorganize Talmudic law, which is presented in coher-
(“additions”) school. Now commentary no longer addressed
ent form as a rule-structured system. The author elicits the
itself to the words and sentences of one specific text and con-
rule underlying the concrete Talmudic discussion and strives
text but undertook a synthetic analysis of all related Talmud-
for maximal generalization. At the same time, he usually re-
ic passages. This seminal work was based on a thorough mas-
tains the legitimating Talmudic source.
tery of the entire Talmud, an acute analytical sensibility, and
The geonic monograph-code reached fullest expression
the intellectual boldness necessary to produce novel con-
in Maimonides’ Mishneh Torah (Second Torah; 1187),
cepts. In a sense, the tosafists continued the Talmudic pro-
which is probably the single most prominent work in all
cess itself, producing new legal doctrines in the course of har-
post-Talmudic halakhic literature. In addition to bringing
monizing disparate Talmudic opinions. Their techniques
this traditional form to perfection through an architectonic
and results quickly spread to Spain and Italy: men like Nah-
vision of the entirety of Jewish law, Maimonides’ code also
manides (and his students) in the thirteenth century and
served as an innovating document: the codified law is com-
YeshaEyah di Trani absorbed the new mode. By the four-
pletely detached from Talmudic authorities and citations;
teenth century, analysis of Rashi was no longer a springboard
Mishnaic Hebrew is revived to serve as the language of a new
for tosafist revision alone but became a subject in its own
code; matters of belief, ideology, and metaphysics are inte-
right in the work of Yom T:ov Ashbilli.
grated as normative aspects of Jewish law; and new topics are
Maimonides’ code received the first of many sustained
fashioned (for example, “Laws of Repentence,” “Laws of
commentaries in Vidal di Tortosa’s Maggid mishneh (The
Kings and Their Wars”).
second speaker), a work that struggles with the code’s rela-
tionship to Talmudic sources. Maimonidean commentary
While Maimonides’ immediate purpose in compiling
grew to the dimensions of a subdiscipline, an ironic outcome
his code was to provide a practical summary of law for the
for a code perhaps designed to be a final statement of Jewish
use of both layman and judge in what he considered a period
law.
of intellectual decline, Mishneh Torah is also a statement of
the content and nature of Judaism as he saw it. Maimonides’
New trends also asserted themselves: Isaac Campanton
code has become a central document in halakhic discussion,
of Castile (late fifteenth century) pioneered a return to close
but it has not brought an end to the process of further devel-
reading of specific Talmudic texts utilizing categories of me-
opment outside it. Prominent halakhists have always claimed
dieval logic; German and Polish Talmudists of the sixteenth
that codes freeze the open-ended Talmudic process and are
century extended tosafist dialectic to a pilpul (lit., “pepper,”
a stultifying concession to mediocrity, and Maimonides’
in the sense of casuistry) based on subtle and frequently arti-
elimination of the Talmudic bases for his decisions raised the
ficial comparisons and contrasts. Two modes of halakhic
hackles of his contemporaries (such as Avraham ben David
scholarship have become prominent in modern times: the
of Posquières) even more. Subsequent codes, such as the
analytic school that is identified with H:ayyim Soloveichik of
Arba Eah t:urim of YaDaqov ben Asher and Karo and Isserles’s
Brest-Litovsk but that had its inspiration in the Qetsot
Shulh:an Earukh, lowered their sights considerably: the sense
ha-h:oshen (Ends of the breastplate) of Aryeh Leib ha-Kohen
of an ordering structure declines considerably, purity of line
and, ultimately, in aspects of tosafist thought, and the text-
is lost, and Temple-oriented topics as well as metaphysics
critical and historical studies that derive in part from similar
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3746
HALAKHAH: HISTORY OF HALAKHAH
models of Western scholarship. This latter mode, however,
aspect of the halakhic system, taqqanot (called haskamot,
has made little impact on devotees of halakhic study.
“agreements,” in the Sephardic sphere) represent vox populi;
they would often be signed by the lay leadership (with the
Responsa. In contrast to commentary, responsa—along
rabbinate concurring) and were frequently adopted by com-
with the codes and their related literature—are attempts to
munal oath in the synagogue. Taqqanot are often preserved
mold halakhic practice by responding to specific problems
as independent documents or in communal registers and so
as they arise. This genre developed massively in the geonic
constitute a literary genre of their own.
period. While both commentary and code are basically expli-
cations or restatements of Talmudic law, the responsum ap-
MODERN SCHOLARSHIP. Modern scholarly treatment of the
plies that law to a new, concrete situation as the respondent
history of medieval and modern halakhah has passed through
functions at the intersection of law and practical reality. The
a number of phases. Nineteenth-century historians, who
responsum was the major instrument of direct geonic authori-
often placed Jewish literary culture at the center of their in-
ty, and thousands of geonic responses to their far-flung ques-
terest, also focused on the careers of the great halakhists. But
tioners have been preserved. The responsa are the case law of
this focus often spent itself on biographical and literary is-
the halakhic system, and the centrality of halakhic figures can
sues; the history of law and legal theory was barely touched.
often be gauged by their position in the responsa network.
With the rise of twentieth-century historiography, the major
The decision rendered in a concrete situation is considered
focus moved to the social, economic, and geopolitical aspects
by many experts to be more authoritative than the codified
of Jewish life; now halakhic materials were combed as sources
generalization.
of historical data. A considerable amount of work was also
devoted to the impact of general historic conditions of
Two overall tendencies of this genre ought to be noted.
halakhic rulings and was often designed to show how flexible
(1) Inasmuch as a respondent was questioned in matters of
earlier halakhists had been. In recent decades, scholarship has
conflict or situations reflecting new conditions, the bulk of
looked for the complex interactions of legal theory and prac-
responsa till the modern period focused on civil law, matters
tice with historical reality as well as the internal dynamic of
of personal status, and the application of halakhic categories
the halakhic system.
to new economic conditions. Ritual law became a dominant
subject of this literature only in relatively modern times, as
Modern scholarship has been able to utilize manuscript
Jews began to turn to the civil authorities for melioration of
materials to gain a fuller picture of the past. Although no sci-
many of the problems listed above. (2) From the fifteenth
entific editions of any medieval or modern halakhic text exist
century on (probably beginning with the Terumat ha-deshen
as yet, many new sources have been published or are consult-
[The Collected Ashes] of YisraDel Isserlein), the responsum
ed by scholars. The rich genizah (“storehouse”) of Cairo, in
also became an artificial literary form in which a scholar elab-
particular, has yielded much material emanating from the
orated on any problem of interest to him rather than com-
Babylonian and, even more important, from the obscure Pal-
municating to an actual questioner. Thus the responsa litera-
estinian gaonate. For example, by studying the legal docu-
ture includes central works of halakhic theory, such as the
ments found in the genizah, Mordecai A. Friedman has been
Responsa sha Dagat Aryeh (Lion’s roar) of Aryeh Leib of Mez.
able to reconstruct Palestinian marriage law, which went fur-
(A similar phenomenon is present in Maimonidean com-
ther in equalizing the rights of husband and wife than did
mentary, which has been used as a literary framework for dis-
Babylonian law (Jewish Marriage in Palestine, 2 vols., Tel
cussion of general problems of Talmudic law.) This develop-
Aviv, 1980).
ment notwithstanding, responsa remain the major forum in
which modern halakhists consider the varied problems raised
The sociological investigation of Jewish law has been pi-
by contemporary civilization, as is seen in the multivolume
oneered principally by Jacob Katz. Katz utilizes halakhic
works of Moshe Feinstein (1895–1986) of the United States
sources to shed light on social processes, but in his work on
and EOvadyah Yosef (b. 1920) of Israel, The responsa is well
law governing Jewish-gentile relations (Exclusiveness and Tol-
suited to halakhah: it allows a focus on the specific and the
erance, London, 1961) and in a number of papers on Jewish
concrete; and inasmuch as the respondent is approached by
ritual law, he has also shown how social realities have affected
virtue of his scholarship and reputation, responsa function in
the halakhic process. Recently, though, Haym Soloveitchik
the absence of a formal hierarchical structure.
has indicated that the halakhic response has not always ac-
commodated the social or economic need (see, for example,
Enactments. Works classified as enactments (taqqanot)
his paper “Can Halakhic Texts Talk History?” in AJS Review
could be communal, rabbinical, or, frequently, authorized by
3, 1978, pp. 152–196) but has developed through the inter-
both lay and rabbinical leadership. Enactments included in
pretation of its textual traditions as well. Since Jewish legists
the Talmud are assumed to have universal application, and
generally functioned in close proximity to their Christian
some medieval enactments have also achieved very wide ob-
and Muslim contemporaries, the question of mutual influ-
servance (thus the ban [h:erem] on polygyny). But the vast
ence arises. It appears that Jewish legists absorbed terminolo-
majority of taqqanot were local in scope and origin. They
gy and occasionally legal theory from their surroundings. A
were often communal or rabbinical responses to acute prob-
more substantive claim for the impact of Christian marriage
lems and carried communal sanctions. More than any other
law has been made by ZeDev W. Falk in Jewish Matrimonial
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HALAKHAH: STRUCTURE OF HALAKHAH
3747
Law in the Middle Ages (Oxford, 1966), and that for Muslim
of this series are also liberally peppered with references to
law of prayer has been made by Naftali Wieder in Islamic In-
halakhic history. Simh:a Assaf, in Te-qufat ha-ge Donim ve-
fluences on the Jewish Worship (Oxford, 1947; in Hebrew).
sifrutah (Jerusalem, 1955), surveys the geonic period with a
This area of research is in its infancy.
heavy stress on the halakhic development.
The issue of halakhic openness arises in other contexts
There are a number of outstanding treatments of individual fig-
ures or specific movements: E. E. Urbach’s Ba Ealei ha-tosafot,
as well, for example, regarding the impact of Jewish pietistic
4th ed. (Jerusalem, 1980), details the milieu and contribu-
movements on Jewish law and the degree to which legists in-
tion of the seminal tosafist movement; Isadore Twersky’s In-
tegrate their other intellectual commitments into their legal
troduction to the Code of Maimonides (New Haven, Conn.,
views. The researches into Maimonidean halakhah by Jacob
1980) is a magisterial analysis of various literary aspects of
Levinger (Darkhei hamah:shavah ha-hilkhatit shel ha-
the code and the relationship of Maimonides’ halakhah and
Rambam, Jerusalem, 1965) and Isadore Twersky (Introduc-
his philosophical views. Louis Finkelstein provides transla-
tion to the Code of Maimonides, New Haven, 1980) indicate
tion and discussion of the major European taqqanot until the
that Maimonides’ halakhic corpus is conditioned by his
fifteenth century in his Jewish Self-Government in the Middle
philosophic attitudes. Katz’s work on the relationship of
Ages (1924; reprint, Westport, Conn., 1972), and Solomon
Qabbalah to halakhah reveals, as well, the influence of spiri-
B. Freehof’s The Responsa Literature (Philadelphia, 1955), is
an informative introduction to this genre.
tualism on certain aspects of Jewish law (see, for example, his
Hebrew papers in Tarbiz 50, 1980–1981, pp. 405–422; 51,
Although research in Jewish law is published in various journals,
1982, pp. 59–106; and in Da Eat 7, 1981, pp. 37–68). None-
a number of publications are devoted exclusively to this
theless, the halakhic system has retained a great measure of
topic: Shenatton ha-mishpat: ha- Eivri (1974–), Dinei Yisrael
integrity as a self-contained system.
(1970–), and the Jewish Law Annual (1978–).
The most rounded analysis of the history of halakhah,
GERALD J. BLIDSTEIN (1987)
treating both systemic-conceptual development and the
place of law in society and history, is that associated with the
school of mishpat: Eivri (“Hebrew law”) in Israel. Although
HALAKHAH: STRUCTURE OF HALAKHAH
its scholarly and ideological assumptions have been subjected
Halakhah, in the general sense of the word, is the entire body
to sharp disagreement (see the debate between Izhak Enge-
of Jewish law, from scripture to the latest rabbinical rulings.
lard and Menachem Elon in The Jewish Law Annual, Supple-
It is a complete system of law governing every aspect of
ment 1, 1980), this school surveys topics of Jewish law in ful-
human life. It has been traditionally viewed as wholly rooted
ler scope than do other methods. Significant work produced
in God’s revealed will (B. T., H:ag. 3b) but subject to the on-
by its historians includes Aaron Freimann’s study of condi-
going interpretation of the Jewish jurists (B. T., B. M. 59b).
tional marriage, M. Elon on the freedom of the debtor’s per-
son, and Shmuel Shiloh on Jewish reception of nonJewish
In its more specific sense halakhah (pl., halakhot) refers
law. A fine English-language exemplar of this method is
to those laws that were traditionally observed by the Jewish
David Feldman’s Birth Control in Jewish Law (New York,
people as if they were scriptural commandments (mitsvot)
1968), which surveys Jewish law on birth control and abor-
even though they were nowhere explicitly found in scripture.
tion from biblical times until the present.
The term itself, according to Saul Lieberman in Hellenism
in Jewish Palestine (New York, 1962), seems to refer to the
SEE ALSO Tosafot.
statement of a juristic norm as opposed to actual case law.
The task of much rabbinic exegesis, especially during the tan-
BIBLIOGRAPHY
naitic period (c. 70–200 CE), was to show that through the
The best overall survey of the processes of Jewish law, its history
use of proper hermeneutics the halakhot could be derived
and literature (despite its focus on criminal, personal, and
from the text of scripture, especially the Pentateuch. When
civil rather than religious law), is Menachem Elon’s
this could not be done, the specific halakhah was termed “a
Ha-mishpat: ha- Eivri, 2d ed., 3 vols. (Jerusalem, 1973); much
law of Moses from Sinai.”
of this material is also accessible in The Principles of Jewish
ORIGINS. Concerning the origins of halakhah there are three
Law, edited by Elon (Jerusalem, 1975). The most sustained
main theories.
treatment of the major figures and periods is Haim Cher-
nowitz’s Toledot ha-posqim, 3 vols. (New York, 1946–1947),
The first, the traditional, rabbinic approach, is founded
which begins with the geonic period and reaches seven-
on the literal meaning of “a law of Moses from Sinai,” name-
teenth-century Europe. In general, much more work has
ly, that Moses received two sets of teachings at Mount Sinai,
been done on the high medieval period than on early modern
one written (the Pentateuch) and the other oral (torah she-
and modern halakhah. Salo W. Baron’s “The Reign of Law,”
in his A Social and Religious History of the Jewish People, vol.
be Eal peh), and that the oral Torah is the authoritative expla-
6, Laws, Homilies and the Bible, 2d ed., rev. (New York,
nation of the written Torah (B. T., Ber. 5a). Thus all subse-
1958), pp. 3–151, 321–398, provides a stimulating and well-
quent interpretation is in effect recollection of what had al-
annotated discussion of geonic and high medieval halakhah
ready been revealed at Sinai (J. T., Meg. 4.1,74d). This
from a historical perspective; the fifth and seventh volumes
theory explains that the constant rabbinical disputes over vir-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3748
HALAKHAH: STRUCTURE OF HALAKHAH
tually every point of halakhah are due not to any inherent
In tannaitic texts a distinction is made between direct
ambiguity in the tradition itself but, rather, to insufficient
scriptural exegesis (derashah) and indirect exegesis. In a pure-
mastery of the tradition by the rabbis (Tosefta, Sot:. 14.10).
ly normative sense, however, it is difficult to see any authori-
tative difference between laws buttressed by the latter as op-
The second theory is that of Moses Maimonides
posed to the former. Both sets of laws were regarded as
(Mosheh ben Maimon, 1135/8–1204). Although he too reit-
traditional halakhot; the only difference is that the former
erated the literal meaning of the totally Mosaic origin of
were more satisfactorily based on scripture.
halakhah, in his specific treatment of the constitution of
halakhic authority he states that halakhah is based on scrip-
RABBINIC LAW. In the amoraic period (c. 220–c. 500) there
ture and, equally, on the rulings of the Great Court in Jerusa-
emerged a more clear-cut distinction between laws consid-
lem (Mishneh Torah, Rebels 1.1ff.). This is Mosaic law in
ered scriptural (de-oraita D) and laws considered rabbinic (de-
that the members of the Great Court are Moses’ authorita-
rabbanan). The difference between scriptural law and rab-
tive successors. Maimonides explains the fact of constant rab-
binic law by this time was that the latter was considered to
binical disputes in halakhah as due to the loss of political sov-
be evidently rational. As for scriptural law, despite attempts
ereignty, which led to the demise of the Great Court’s
to discover “reasons for the commandments” (t:a Eamei ha-
jurisdiction. By this theory Maimonides places both rabbini-
mitsvot), God’s will was considered sufficient reason for it.
cal legislation and traditional halakhah on the same level.
“I have made a statute; I have decreed a decree; you are not
permitted to violate my decrees” (Nm. Rab. 19.1). This
The third theory is that of Zacharias Frankel (1801–
phrase was used to refute any suggestion that only those laws
1875). Expanding certain medieval comments into a more
whose reasons were evident were authoritative. In fact, cer-
general theory, Frankel, in Darkhei ha-Mishnah (Leipzig,
tain scriptural laws were admitted to be rationally incompre-
1859), saw the term “a law of Moses from Sinai” as primarily
hensible, but their authority was nevertheless emphasized as
referring to ancient laws that had become widespread in Jew-
being because “my father in heaven has decreed such for me”
ish practice and whose origins were obscure. They were re-
(Sifra D, Shemini, ed. Weiss, 93b).
garded as if they had come from the actual time of Moses.
Frankel’s theory, which received severe criticism from more
Rabbinic law, although occasionally justified by indirect
orthodox scholars, reflected the growing historical conscious-
scriptural exegesis (asmakhta D), was then usually justified as
ness of nineteenth-century Jewish scholarship and, also,
being for the fulfillment of some religious or social need
stimulated research into the different historical origins of var-
(B. T., Ber. 23b). This developed to such an extent that it
ious halakhot. Frankel, then, along with other scholars of his
was claimed that there were only three rabbinic laws for
time, laid the foundation for the historical understanding of
which no reason could be immediately discerned (B. T., Git:.
halakhah as a developmental phenomenon.
14a). Furthermore, the lines between direct and indirect exe-
gesis were considerably blurred (B. T., Pes. 39b). Finally,
SCRIPTURAL EXEGESIS. Because of the Pharisaic and rabbinic
RavaD, a fourth-century Babylonian sage who became the
emphasis on the essential unity of the written Torah and the
most prominent advocate of rational jurisprudence, indicat-
halakhah, in contradistinction to the Sadducean, which ac-
ed that the rabbis actually had more legislative power than
cepted only the former as authoritative (B. T., Hor. 4a), an
even scripture (B. T., Mak. 22b). Nevertheless, although in
elaborate hermeneutical system was worked out to derive as
theory the punishment for the violation of rabbinic law
many of the halakhot as possible from the words of scripture,
could be even more severe than that for the violation of scrip-
which was considered normatively unintelligible without the
tural law (San. 11.3), in reality it was almost always more le-
process of specifically relating it to the halakhah (B. T., Shab.
nient (Naz. 4.3). In case of doubt, in matters concerning
31a). This entire process was called midrash, literally mean-
scriptural law the benefit of the doubt favored the law, but
ing “inquiry” into scripture. The most important statement
in rabbinic law it favored the accused (B. T., Beits. 3b).
of this rabbinic hermeneutic is the “Thirteen Methods of
Rabbi YishmaEeDl” (SifraD, intro.). The most widely used of
The question of the extent of scriptural law versus rab-
these methods and the most typical was the gezerah shavah;
binic law was deeply debated among the medieval Jewish ju-
namely, the process by which a word in one scriptural con-
rists. Maimonides, following the Talmudic opinion that
text was interpreted according to its meaning in another con-
scriptural law is limited to 613 Pentateuchal commandments
text. Since this type of interpretation was only for buttressing
(B. T., Mak. 23b), considered any other laws, whether tradi-
already normative halakhot, what it accomplished was a
tional or formulated through exegesis or rabbinical legisla-
much wider latitude for tradition to determine the meaning
tion, as having the status of rabbinic laws (Sefer ha-mitsvot,
of scripture (J. T., Pes. 6.1, 33a). However, not only did such
intro., sec. 2). Moses Nahmanides (Mosheh ben Nah:man,
hermeneutical methods support already normative halakhot,
c. 1194–1270), on the other hand, was of the opinion that
but they also led to the formulation of new norms. The most
anything designated by the rabbis as scriptural law, especially
prominent proponent of this constructive exegesis was the
those laws derived hermeneutically in rabbinic literature, has
second-century sage EAqivaD ben Yosef, although his often-
the status of scriptural law. Only those laws specifically desig-
times daring interpretations elicited the criticism of his more
nated by the rabbis as rabbinic are to be considered as such.
conservative teachers and colleagues (B. T., Men. 89a).
This difference of opinion concerning the very character of
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HALAKHAH: STRUCTURE OF HALAKHAH
3749
halakhah is philosophical. Maimonides’ prime concern
prohibitions designed to protect scriptural law from probable
seems to have been with the process of legislation, that is,
transgression. Thus, for example, numerous additional re-
with the ability of the duly constituted authorities to make
strictions (shevut) were enacted to protect the thirty-nine
new laws and repeal old ones. Nahmanides’ prime concern
scriptural prohibitions of Sabbath labor from being carelessly
seems to have been with a revival of the whole process of rab-
violated, to enhance the overall sanctity of the day, and to
binical exegesis. This distinction can be seen in the fact that
guard against behavior that the rabbis saw as inconsistent
Maimonides’ chief halakhic contribution was that of a highly
with the spirit of the law (Beits. 5.2). However, to distinguish
innovative codifier, whereas Nahmanides’ was that of an exe-
rabbinical legislation from scriptural law and to prevent an
gete. This difference of approach can be seen in the Talmud
infinite multiplication of strictures, the rabbis emphasized
and throughout the history of the halakhah, namely, the apo-
that laws were not to be enacted to protect their laws (B. T.,
dictic approach (B. T., Nid. 73a) as contrasted with the ex-
Beits. 3a).
pository approach (B. T., B. M. 33a).
Rabbinical enactments were justified by the scriptural
Rabbinical legislation was considered the original pre-
prescription that “you not deviate from what the judges will
rogative of the Great Court in Jerusalem (Sifrei, Shoft:im, ed.
tell you” (Dt. 17:11). Although this probably refers to the
Finkelstein, no. 144). With the diminution of its powers
simple necessity of applying scriptural law, the rabbis saw it
even before the destruction of the Second Temple in 70 CE
as mandating their power to add to it if circumstances war-
and its full demise at that time, how much of its power could
ranted doing so. These enactments were of three kinds.
be transferred to subsequent courts became the subject of
considerable discussion.
1. Enactments were made to commemorate postbiblical
Jewish events. Thus, for example, the recitation of the
Sometimes Jewish juridical power was limited because
liturgical formula “Blessed are you, Lord . . . who has
of the lack of political sovereignty; however, internal Jewish
commanded us” was justified for the ritual of kindling
political considerations played an even more important role
H:anukkah lights on the grounds that the rabbinical leg-
in determining the extent of juridical authority in certain
islation that mandated it is itself prescribed by scripture
times and places. Despite the destruction of the Second
(B. T., Shab. 23a). As the rabbis often put it, “It is a
Temple and the demise of the Great Court, there was a
commandment to listen to the words of the sages”
strong attempt to retain prime rabbinical authority in the
(B. T., Yev. 20a).
Land of Israel. Thus unqualified rabbinical ordination (semi-
khah), which was seen as an institution originating with
2. Enactments were made to alleviate hardships arising
Moses himself, was limited to those rabbis who functioned
from the widening gap between scriptural law and social
in the Land of Israel. When in the third century Rav (AbbaD
and economic realities. Thus, for example, the scriptural
bar Ayyvu) left Israel for Babylonia, where he led the revival
law prescribing the cancellation of debts every seventh
of the Jewish community, he was granted a qualified ordina-
year (Dt. 15:1ff.) proved to be a deterrent to lending
tion, with authorization to adjudicate only in certain ques-
money to those who needed it most in a commercial
tions of law (B. T., San. 5a). Nevertheless, with the exception
economy, where longterm loans were becoming more
of adjudicating in the area of scripturally fixed fines (qenasot,
and more common. To alleviate this situation, in accor-
B. T., B. Q. 84b), as the Babylonian community grew and
dance with the overall purpose of the Torah, that is, to
developed its own institutions, its rabbis began to claim vir-
promote social justice and well-being, Hillel the Elder
tually all of the halakhic prerogatives of the rabbinate of the
(first century CE) enacted the institution of prozbul,
Land of Israel (B. T., Git:. 88b). Generally, this set the pat-
whereby a creditor handed over his note to a court.
tern for subsequent rabbinical authority, namely, that the
Since the court collected the debt, the lender avoided
rabbis in every time and place exercised as much halakhic au-
the prohibition of personally collecting the debt after
thority as political and religious conditions both allowed and
the Sabbatical year (Git:. 4.3).
required (Tosefta, R. ha-Sh. 1.18). Moreover, it was recog-
nized that in emergency situations the rabbis had the right
3. Enactments were made to curtail individual rights, the
to override existing laws temporarily (hora Dat sha Eah), even
exercise of which was seen as contrary to the common
scriptural ones (B. T., Yev. 90b). Finally, it was recognized
good. Thus, for example, the third-century Babylonian
that the rabbis even had the power to abrogate certain aspects
sage EUlaD ruled that although scripture permitted repay-
of scriptural laws, although this power was considerably
ment of a debt with merchandise of any quality (Dt.
qualified (ibid., 89b).
24:11), the debtor must repay a debt with at least medi-
um-grade merchandise so as not to discourage lending
Types of rabbinical legislation. Rabbinical legislation
(B. T., Git:. 50a). This same type of curb on what was
can generally be divided into two classes: decrees (gezerot)
perceived to be the antisocial exercise of individual priv-
and enactments (taqqanot).
ileges was the basis of the numerous laws enacted in me-
Decrees were justified by the principle traced back to
dieval communities (taqqanot ha-qehillot). The most fa-
the period of Ezra (sixth century BCE) that “a fence is to be
mous of these was the ban on polygyny issued for
made around the Torah” (Avot 1.1). This “fence” consists of
Ashkenazic (northern European) Jewry by Gershom ben
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3750
HALAKHAH: STRUCTURE OF HALAKHAH
Yehudah of Mainz (c. 965–1028) even though both the
there are two reputable opinions as to what a law is, then
Bible and the Talmud permit the practice.
there are two ways of deciding what is to be done. Either
Rabbinic legal procedures. Rabbinical legislation was
the majority view of the sages is followed (B. T., H:ul.
conducted according to a number of procedural rules. Al-
11a), or the popular practice of the people is consulted
though the reason for a specific rabbinical enactment did not
and followed (J. T., Pe Dah 8.2, 20c). In the latter situa-
have to be immediately publicized (B. T., EA. Z. 35a), there
tion custom does not establish law but distinguishes be-
certainly had to be a clear and compelling religious or social
tween which law is considered normative (halakhah le-
need for it to be enacted. Rabbinical legislation was consid-
ma Easeh) and which law is considered only theoretical
ered general in scope and was not to be formulated as case
(ein morin ken, J. T., Yev. 12.1, 12c). Popular accep-
law (B. T., EEruv. 63b).
tance of one practice over another is considered a valid
criterion of juridical choice because “if the people of Is-
The question of how long a rabbinical enactment was
rael are not prophets, they are the children of prophets”
considered binding and what power of repeal subsequent
(J. T., Pes. 6.1, 33a). In other words, popular practice
rabbis have is a complicated one and is debated by scholars.
is indicative of an unbroken chain of tradition.
Thus an important passage in the Mishnah states that “one
court may not repeal [mevat:el] the decrees of a fellow court
2. Custom is considered a valid form of law, supplement-
unless it is greater than it in wisdom and in numbers” ( EEduy.
ing scriptural commandments and formal rabbinical
1.5). Some scholars have interpreted this as applying to a
legislation. Certain customs are considered universally
contemporary court only. Others have interpreted it as ap-
Jewish. For example, the Orthodox objection to the
plying to a subsequent court. “Greater in numbers” has been
modern practice of men and women sitting together in
interpreted to mean a greater number of disciples. However,
non-Orthodox synagogues, although some have at-
it was highly unusual for a subsequent court to regard itself
tempted to find formal halakhic objections to it, is actu-
as wiser than an earlier one. The rabbis generally were too
ally based on the fact that theretofore separation of the
reverent of tradition to attempt to repeal it overtly. The Tal-
sexes in the synagogue was undoubtedly universal Jew-
mudic statement “If earlier generations were angels, we are
ish custom. Earlier in the nineteenth century the same
but men” (B. T., Shab. 112b) reflects this typical attitude.
invocation of the authority of custom was used to object
Therefore, repeal usually took the form of more subtle rein-
to the introduction of the organ into synagogues in
terpretation of earlier enactments. However, even when the
western Europe, with the additional point that such
reason for an enactment was no longer extant, it was still con-
a practice constituted “walking in the ways of the
sidered binding unless there was a strong reason for reinter-
Gentiles.”
pretation.
Other customs are considered local and binding only on
The question of rejection of a rabbinical enactment by
members of a particular locality. Generally, the rule is
the people was debated in the Middle Ages. The Talmud
that if one is in a different locality from one’s own, one
states that “a decree is not to be made unless the majority
should do nothing there to cause any scandal or contro-
of the community are able to abide by it” (B. T., EA. Z. 36a),
versy (Pes. 4.1). The force of the authority of local cus-
and this was interpreted to mean that it had to have been ac-
tom can be seen, especially, in the diversity of liturgical
cepted as normative by the majority of the community.
rites among Jews even to this day. These differences of
(There does not seem to have been, however, any procedure
custom to a large extent reflect differences of local envi-
for an actual plebiscite.) Rashi (Rabbi Shelomoh ben
ronment and the social, political, and economic condi-
Yitsh:aq, 1040–1105) restricts this right to the generation of
tions within the respective Jewish communities. In new
the enactment itself; that is, if they accept it the enactment
localities, where there are Jews from varying back-
is binding irrespective of the possible rejection by subsequent
grounds, the general approach is to attempt to devise a
generations. Maimonides, on the other hand, extends the
unified rite so that there not be numerous groups (B.
right of rejection even to subsequent generations; that is, if
T., Yev. 13b). More frequently than not the rites of the
an earlier rabbinical enactment had fallen into disuse, then
more dominant group in the new locality prevail over
a subsequent court may regard it as no longer binding (Mish-
everyone.
neh Torah, Rebels 2.7). Following the same logic, in another
ruling Maimonides opts for the ancient Babylonian practice
3. Custom sometimes takes precedence over established
of publicly reading the Torah in the synagogue in an annual
Jewish practice even when it has no foundation in
cycle over the ancient Palestinian practice of reading it in a
halakhah. Usually this power of custom was used to re-
triennial cycle, simply because the former practice had ac-
scind privileges the halakhah had earlier granted (Elon,
quired universal Jewish acceptance.
1978, pp. 732ff.). However, sometimes custom even
had the power to abrogate, de facto, scriptural law. For
CUSTOM. Minhag (“custom”) is the third constituent ele-
example, the law that certain portions of slaughtered an-
ment in halakhah, after scriptual exegesis and rabbinic law.
imals be given to descendants of Aaronic priests irre-
It basically has three functions.
spective of time and place was not considered binding
1. Custom is invoked when the law itself is ambiguous. If
because of customary neglect.
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HALAKHAH: STRUCTURE OF HALAKHAH
3751
EXTRAHALAKHIC FACTORS. The role extrahalakhic factors
ship, the Sabbath and festivals, diet, clothing, and sex. In the
have played in the development of the halakhah is one of
four-part Shulh:an Earukh of Yosef Karo (1488–1575), which
considerable debate among scholars. Aside from the question
has become the most authoritative halakhic code, ritual law
of the influence of history and general philosophy, which
is the subject of all of the first part, Orah: h:ayyim, and most
could be seen as extraneous modes of thought, there is the
of the second part, Yoreh de Eah.
question of the influence of the nonlegal body of rabbinic
thought, largely theological, known as aggadah. Generally it
One of the most important principles to emerge in the
was held that one could not decide the law based on aggadah
development of ritual halakhah is that in cases where the ob-
alone. Nevertheless, it can be shown that aggadic factors were
servance of the law poses a distinct danger to human life, the
influential in formulating halakhic opinions. This becomes
law is not to be observed. The origins of this seminal princi-
evident when the views of the various rabbis, who were both
ple can be seen as early as the Maccabean revolt against the
halakhists and aggadists, are examined.
Seleucid rulers of the Land of Israel (166–164 BCE). In that
revolt the pietists refused to fight on the Sabbath. This led
Thus, for example, EAqivaD, in a discussion of capital
to their being frequently massacred on the Sabbath by their
punishment, states that had he been a member of the Sanhe-
enemies, who quickly became aware of this restriction. It was
drin when capital punishment was practiced, no one would
argued (1 Mc. 2.39–42) that this insistence on unqualified
have ever been executed (Mak. 1.10). The Talmud attempts
Sabbath observance would lead to the total extermination of
to find a legal basis for this opinion inasmuch as capital pun-
the Jewish people. In the early second century, under similar-
ishment is prescribed by scripture for a number of crimes.
ly oppressive circumstances, the rabbis meeting secretly at
The halakhic conclusion (written long after the time of
Lod ruled that one was to transgress the law rather than die
EAqivaD) is that he would have interpreted the laws of evi-
a martyr’s death. The only exceptions were if one were or-
dence so strictly as to make conviction for a crime punishable
dered on pain of death to practice idolatry overtly, commit
by death a practical impossibility (B. T., Mak. 7a). However,
murder, or initiate an act of adultery, homosexuality, or bes-
one can find an aggadic statement, recorded in the name of
tiality (B. T., San. 74a). All of this was based on the scriptural
EAqivaD himself, that “whoever sheds human blood diminish-
command “You shall live through them” (Lv. 18:5), which
es the divine image” (Tosefta, Yev. 8.7). Since even a convict-
was interpreted to mean “You shall live through them but
ed criminal has not forfeited that divine image (Tosefta, San.
not die because of them” (Sifra D, Ah:arei-mot, 86b). This
9.7), one can see that EAqivaD had theological objections
principle, in one form or another, was invoked on numerous
against any sort of bloodshed. It would seem that his theolo-
occasions and led to such corollaries as “Danger to life takes
gy was the authentic influence on his halakhic opinion, al-
precedence over a ritual infraction” (B. T., H:ul. 10a).
though subsequent legalists had to find a halakhic reason for
it lest the authority of the law be reduced to theological opin-
Law of familial and personal status. The law of famil-
ion, something that was generally avoided (J. T., Hor. 3.9,
ial and personal status is the subject of Even ha Eezer, the third
48c).
part of the Shulh:an Earukh, and of some sections of Yoreh
de Eah, the second part. In this area of halakhah the question
One can see further evidence of this in the relation be-
that has become the subject of widest discussion and deepest
tween halakhah and Qabbalah (Jewish mystical literature),
controversy since 1948 is that of who is a Jew.
especially if Qabbalah is taken to be a subsequent develop-
ment of aggadah. On the one hand, despite the growing pop-
Jewish identity. According to scriptural law it would
ularity in the Middle Ages of the Zohar (the most important
seem that Jewish identity is patrilineal, as suggested by such
qabbalistic text), there were halakhists who regarded it as
statements as “The whole community were registered by the
nonauthoritative, whether or not they approved of its theolo-
clans of their ancestral houses [le-veit avotam; lit., ‘the houses
gy. On the other hand, there were legalists who regarded it
of their fathers’]” (Nm. 1:18; J. T., Qid. 64d). Furthermore,
as divine revelation and ipso facto authoritative. A compro-
when Ruth the Moabite married the Israelite leader Boaz,
mise was reached between these two opinions by David ibn
without specific mention of any formal conversion, her de-
Avi ZimraD (1479–1573), who ruled that when the Talmud
scendants were automatically considered as following her
was inconclusively divided on a certain law, the Zohar could
husband’s patrimony (Ru. 4:21–22). Nevertheless, according
be invoked to decide in favor of one of the Talmudic opin-
to the Talmud Jewish identity is considered matrilineal
ions. However, the Zohar could not be so invoked when the
(B. T., Qid. 68b). The origins of this approach can perhaps
Talmud was conclusive.
be seen in the beginnings of the postexilic period (c. 516
SUBDIVISIONS OF HALAKHAH. For descriptive purposes it is
BCE), when at the urging of Ezra the people banished not
helpful to see halakhah as divided into the following areas:
only their non-Jewish wives but also “those born of them”
(1) ritual law, (2) law of familial and personal status, (3) civil
(Ezr. 10:3).
law, (4) criminal law, and (5) law pertaining to non-Jews.
Once one is born of a Jewish mother, or he or she has
Ritual law. Although including inoperative laws per-
properly converted to Judaism, that status is considered ir-
taining to the Temple cult and most matters of ritual purity,
revocable (B. T., San. 44a, Yev. 47b). However, the commu-
ritual law can be seen today as confined to matters of wor-
nity can revoke various privileges of Jewish status from apos-
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3752
HALAKHAH: STRUCTURE OF HALAKHAH
tates and other persons as well who have removed themselves
eventually evolved a procedure (hetter EisqaD) whereby inter-
from basic Jewish identification and observance.
est could be charged for commercial loans using the legal fic-
tion of designating the creditor as a partner of the debtor in
Marriage and divorce. The subject of the most extensive
a joint venture (Elon, 1975, pp. 504–505). Furthermore,
halakhic structure is marriage and divorce. Marriage original-
flexibility in this area of halakhah is evidenced by the fact that
ly consisted of two parts. The first part, erusin (“betrothal”),
in monetary disputes informal arbitration was encouraged in
was initiated when the man, with the consent of the woman,
lieu of formal adjudication.
designated her as his wife before at least two bona fide wit-
nesses, usually by giving her an article of stipulated value
Private property was not considered an absolute right
(Qid. 1.1). The woman, however, continued to live with her
by the halakhah. Although there is an elaborate system of ad-
parents; her father now had joint responsibility for her, along
judicating claims and counterclaims between private parties
with her husband. After a period of time, usually one year,
in such areas as torts and contracts, the court had the power
the bride left her parental home and went to live with the
to declare private property ownerless (hefqer) if this was in
groom (nissu Din), and the couple consummated the marriage.
the interest of the common good (B. T., Yev. 89b). It must
The status of the woman was greatly enhanced by the mar-
be added, however, that this principle was used sparingly,
riage contract (ketubbah), which provided a considerable
and it seems as though for the halakhah a limited free-
payment in the event of her being divorced or widowed (Ep-
enterprise system is considered both the norm and the desid-
stein, 1927).
eratum.
Divorce required that the husband present his wife with
Criminal law. Jewish criminal law, also dealt with in
a formal bill of divorce (get:), drawn up at his instigation by
H:oshen mishpat:, is concerned with capital and corporal pun-
a rabbinical court. Although the school of Shammai made
ishment. Capital punishment is mandated for such interper-
adultery the only grounds for divorce, the halakhah followed
sonal acts as murder and adultery as well as for such ritual
the more lenient view of the school of Hillel, which made
acts as public violation of the Sabbath. Corporal punishment
virtually any incompatibility sufficient for divorce to be ef-
(lashing) is mandated for various ritual infractions (Mak.
fected (Git:. 9.10). Although the woman herself could not in-
3.1ff.). Most personal injury, however, was treated as a civil
stigate divorce proceedings, she could, nevertheless, when
tort rather than as a criminal act per se. Thus the scriptural
there was clearly sufficient incompatibility, request that a
lex talionis (“an eye for an eye,” Ex. 21:24) was interpreted
rabbinical court force her husband to grant her a divorce
by the rabbis as prescribing monetary compensation for the
(Ket. 7.10). Indeed, nonfulfillment of the basic husbandly
victim rather than the actual mutilation of the perpetrator.
duties of support and regular sexual intercourse obligated a
Even after the Roman rulers of the Land of Israel had
man to do so (Ket. 5.6).
removed the power of the Jewish courts to administer capital
Civil law. Jewish civil law regulates all areas of life in-
punishment, sometime before 70 CE, the rabbis were sharply
volving property. It is the subject of the greatest discussion
divided about its desirability. Although the institution itself,
in H:oshen mishpat:, the fourth part of the Shulh:an Earukh.
because it was scripturally prescribed, could not be explicitly
abrogated, a number of rabbis were obviously opposed to it
Of all the areas of halakhah, civil law has been the most
in practice if not in principle (B. T., San. 71a). This tenden-
flexible. The underlying basis of this flexibility is perhaps
cy to oppose capital punishment is also seen in the rabbinic
best expressed in the rabbinic dictum “The Torah cares
institution of hatra Dah, according to which one could not be
about property of Israel” (Neg. 12.5). In other words, al-
convicted of a capital crime unless he or she had been explic-
though there was a consistent commitment to general princi-
itly forewarned by the same two witnesses who actually saw
ples of justice, it was understood that the law, especially in
the crime and the criminal had explicitly indicated that he
the unstable and diversified area of economics, must be re-
or she was aware of both the criminal status of the act to be
sponsive to the needs of the times. This characteristic, it
done and the exact type of capital punishment it entailed
might be added, was limited to the area of civil law, and for
(B. T., San. 40b–41a). Such an institution would seem to
this reason one could not apply most of the principles devel-
limit sharply the number of legal executions. Whether
oped there to the more conservative area of ritual law (B. T.,
hatra’ah was actually practiced when the Jewish courts had
Ber. 19b).
the power of capital punishment is questioned by some mod-
ern scholars. Nevertheless, it does reflect a definite tendency
Although the halakhah developed its own standards for
in rabbinic theory if not in actual practice.
various commercial activities, the operative principle is “Ev-
erything is according to the practice [minhag] of the locality”
On the other hand, a number of prominent and influ-
(B. M. 7.1). Thus, even conditions contrary to the law of the
ential halakhists expressed the view of the second-century
Torah, which under all other circumstances are null and
sage ShimEon ben GamliDel II that capital punishment is nec-
void, in monetary matters are considered valid if freely
essary to maintain social order (Mak. 1.10). Indeed, the Tal-
agreed upon by both parties to a contract (B. T., Qid. 19b),
mud is followed by many subsequent authorities in advocat-
except where the prohibition of one Jew taking interest from
ing capital punishment even for crimes not specified as
another Jew is involved. However, even here the halakhah
capital crimes in the legal sources if the court believed that
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HALAKHAH: STRUCTURE OF HALAKHAH
3753
“the hour required such” in cases of gross public provocation.
of Judaism. In terms of halakhah the Noahic laws were con-
In the thirteenth century the important halakhist Shelomoh
sidered to be the minimal normative standards upon which
ben Avraham Adret stated that were all the traditional quali-
the Mosaic Torah was based. Thus the Talmud in more than
fications of capital punishment in the halakhah to be fol-
one place states that “there is nothing prohibited to non-Jews
lowed, “society would be destroyed.” His statement, further-
that is permitted to Jews” (B. T., San. 59a). In another place
more, was probably not just theoretical in that it is known
it states that Jewish law must be stricter lest it appear as “a
that Spanish Jewish communities at that time did have the
lower form of sanctity” (B. T., Yev. 22a).
power to execute criminals (Elon, 1978, p. 9).
In terms of Jewish-Gentile relations the Noahic prohibi-
The actual practice of Jewish criminal law, and to a large
tion of idolatry became the basis of determining which non-
extent Jewish civil law as well, has frequently required the
Jewish societies were actually idolatrous and which were
type of political sovereignty that Jews did not have. Thus in
merely following “ancestral custom” (B. T., H:ul. 13b). This
the third century the Babylonian authority ShemuDel of Ne-
distinction had great practical importance in that Jewish
hardea formulated the seminal juridical principle that “the
dealings with confirmed Gentile idolators were proscribed in
law of the kingdom is the law” (B. T., B. B. 54b). This prin-
many areas, including in various business transactions (EA.
ciple was justified in several ways; the most cogent is that the
Z. 1.1). In the Middle Ages the Noahic prohibition of idola-
Jewish court has the power to transfer its authority in civil
try became the standard for determining the Jewish view,
and criminal matters. Historically this relegated all Jewish
both theoretical and practical, of Christianity and Islam. Is-
criminal law and much Jewish civil law to the realm of the
lamic monotheism was, of course, much easier to justify on
theoretical. Thus some medieval authorities seem to have
Jewish grounds than were Christian incarnationism and trin-
thought that this principle was too radical in that it gave
itarianism. Indeed, a number of medieval halakhists, usually
away too much Jewish legal sovereignty. It is still too early
themselves living under Muslim regimes, considered Chris-
for the most part to see if and how Jewish criminal and civil
tianity a form of idolatry entailing all the Talmudic proscrip-
law can be revived in the state of Israel, which, at the present
tions pertaining to idolatry and idolators. However, other le-
time at least, is constituted as a secular state not subject to
galists, usually living under Christian regimes, drew upon
the authority of the halakhah except in limited areas (see
earlier Talmudic distinctions between stricter criteria for
below).
Jews than for Gentiles, especially in areas of religious convic-
Law regarding non-Jews. The area of Jewish law per-
tion, and so considered Christianity a mediated mono-
taining to non-Jews has been called “the seven command-
theism.
ments of the sons of Noah” (Tosefta, EA. Z. 8.4). These com-
In those democratic countries where Jews are full partic-
mandments are (1) the obligation to adjudicate cases
ipants, there has been renewed interest in this area of
according to defined statutes and the prohibitions of (2) blas-
halakhah as a source for determining “the Jewish point of
phemy, (3) idolatry, (4) homicide, (5) adultery, homosexual-
view” on various issues of public concern as widely divergent
ity, and bestiality, (6) robbery, and (7) eating a limb torn
as abortion, capital punishment, and prayer in American
from a living animal. A number of commentators saw these
public schools. How pertinent, however, many of these
seven commandments as seven general legal categories rather
sources are to the areas of public concern to which they have
than seven specific norms.
been related, without thorough critical historical and philo-
One of the most important historical questions about
sophical examination and reinterpretation, is itself a source
this area of halakhah is whether or not it was actually en-
of great difference of opinion among contemporary Jewish
forced among non-Jews. Some scholars consider this highly
thinkers.
unlikely inasmuch as no actual case is reported in the rabbin-
CURRENT ROLE OF HALAKHAH. Although halakhah is a sys-
ic sources, where these laws were the basis of adjudication,
tem of law governing every aspect of personal and communal
and there do not seem to have been free Gentiles living under
life, there is no Jewish community in the world today where
Jewish legal jurisdiction in the rabbinic period. Indeed, only
halakhah is the sole basis of governance. This inherent para-
in Maimonides’ Mishneh Torah (Code of Law), which deals
dox—namely, a total system of law forced by historical reali-
with every area of halakhah, even those no longer (if ever)
ty to share legal authority with another system of law, if not
operative, are the Noahic laws systematically presented and
to be actually subordinate to it—has led to a number of ten-
discussed (Kings and Wars 8.10ff.). It is, moreover, impor-
sions both in the state of Israel and in the Diaspora.
tant to note that non-Jewish slaves, who were certainly
Halakhah in the state of Israel. In the state of Israel,
owned by Jews at that time, were subject to a body of law
halakhah, as adjudicated by the rabbinical courts, is recog-
containing many more distinctly Jewish practices and prohi-
nized as the law governing all aspects of public Jewish reli-
bitions than the Noahic laws (B. T., H:ag. 4a).
gious ritual and all areas of marriage and divorce. (The same
Nevertheless, the concept of a law governing non-Jews,
privilege is extended to the respective systems of law of the
which was considered to have been normative for Jews as well
various non-Jewish religious communities there.) This politi-
before the Sinaitic revelation of the 613 commandments of
cal arrangement has led to a number of areas of tension. Thus
the Mosaic Torah, had a profound effect on the development
many secularist Israeli Jews object to having to submit in
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3754
HALAKHAH: STRUCTURE OF HALAKHAH
questions of personal and familial status to the authority of
according to halakhah and are unable to remarry because of
religious courts, whose very religious justification they do not
the refusal of their former husbands to comply with the order
accept. This conflict has manifested itself in the demand by
of a rabbinical court.
many secularist Israelis for civil marriage and divorce in the
This growing problem in societies where mobility and
state of Israel, something that halakhah rejects as unaccept-
anonymity are facts of life has led to basically three different
able for Jews. Even more profound is the fact that there is
approaches. Many in the Orthodox community have at-
a conflict between halakhah and Israeli law on the most basic
tempted to resort to legal measures in the civil courts to force
question of Jewish identity, that is, who is a Jew. According
compliance with halakhah. In addition to a lack of success
to halakhah, anyone born of a Jewish mother or himself or
heretofore, this has raised, especially in the United States, the
herself converted to Judaism is considered a Jew. According
constitutional issue of governmental interference in private
to the Israeli Law of Return (H:oq ha-Shevut), any Jew (with
religious matters. On the other hand, the Conservative
the exception of one convicted of a crime in another country)
movement since 1968 has revived the ancient rabbinical
has the right of Israeli domicile and Israeli citizenship. How-
privilege of retroactive annulment (B. T., Git:. 33a) in cases
ever, in 1962 in a famous decision the Israeli Supreme Court
where it is impossible to obtain a Jewish divorce from the
ruled that Oswald Rufeisen, a Jewish convert to Christianity
husband. The Reform movement, not being bound by the
and a Roman Catholic monk, was not entitled to Israeli citi-
authority of halakhah, accepts a civil divorce as sufficient ter-
zenship as a Jew because in the popular sense of the term he
mination of a Jewish marriage. These three widely divergent
was not a Jew even though he was one in the technical,
approaches to a major halakhic problem are further evidence
halakhic sense. On the other hand, in 1968, in another fa-
of the growing divisiveness in the Jewish religious communi-
mous decision, the Israeli Supreme Court ruled that the wife
ty in both the state of Israel and the Diaspora.
and children of an Israeli Jew, Binyamin Shalit, were not to
be considered Jews for purposes of Israeli citizenship because
Reconstitution of the Sanhedrin. The only chance for
they had not been converted to Judaism, even though they
effecting any halakhic unanimity among the Jewish people
identified themselves as Israeli Jews in the secular sense of the
would be the reconstitution of the Sanhedrin in Jerusalem
term. In this case, unlike the earlier one, the court accepted
as the universal Jewish legislature and supreme court. This
a halakhic definition of who is a Jew.
proposal was actually made by the first minister of religious
affairs in the state of Israel, Judah Leib Maimon (1875–
At the present time, furthermore, there is considerable
1962). However, considering the fact that this reconstitution
debate in the state of Israel and the Diaspora about what ac-
itself presupposes much of the very unanimity it is to effect,
tually constitutes valid conversion to Judaism. All Orthodox
it would seem that it is rather utopian, something the Tal-
and most Conservative halakhists have rejected the conver-
mud euphemistically called “messianic halakhah” (B. T.,
sions performed under Reform auspices because in the great
Zev. 45a).
majority of such cases the objective halakhic criteria of con-
version—circumcision for males and immersion in a ritual
BIBLIOGRAPHY
bath (miqveh) for both males and females (B. T., Yev. 47b)—
Considering the enormous quantity of halakhic literature, it is
have not been fulfilled. Even the conversions performed
most unlikely that even a considerable portion of it will ever
under Conservative auspices, although fulfilling these objec-
be translated into English or any other non-Hebrew lan-
tive criteria, are also rejected by many Orthodox legalists,
guage. However, some of the classic sources and some excel-
who claim that Conservative rabbis lack the requisite com-
lent secondary sources are available in English translation.
mitment to halakhah to function as acceptable rabbinical
The Mishnah translation most widely used and accepted is that
judges. All of this is evidence of the widening division among
of Herbert Danby (Oxford, 1933). The Babylonian Talmud
the branches of contemporary Judaism.
has been completely translated in the usually adequate Son-
cino edition (London, 1935–1948). The Palestinian Talmud
Halakhah in the Diaspora. In the Diaspora, where ad-
is now being translated by Jacob Neusner under the title The
herence to halakhah is a matter of individual choice in practi-
Talmud of the Land of Israel (Chicago, 1982–); several vol-
cally every country that Judaism may be freely practiced,
umes have already appeared. The Tosefta is also being trans-
there is little ability to enforce the communal authority in-
lated by Neusner (New York, 1977–), and a number of vol-
herent in the halakhic system itself. This has led to a number
umes have appeared so far. Most of Maimonides’ Mishneh
Torah has been published as The Code of Maimonides, 13
of vexing problems. For example, the Talmud empowers a
vols. (New Haven, Conn., 1949–), in a uniformly excellent
rabbinical court to force a man to divorce his wife for a vari-
translation.
ety of objective reasons that make normal married life impos-
sible. When Jewish communities enjoyed relative internal
The most comprehensive treatment of halakhic institutions in En-
glish is The Principles of Jewish Law, edited by Menachem
autonomy, such enforcement could be carried out regularly.
Elon (Jerusalem, 1975), although more detailed questions
However, today, because of the loss of such communal au-
are dealt with in Elon’s Hebrew work, Ha-mishpat: ha- Eivri,
tonomy, such enforcement is impossible, and many Jewish
2d ed. (Jerusalem, 1978). Another helpful work, especially
women, although already civilly divorced and no longer liv-
regarding Jewish civil law, is Isaac H. Herzog’s The Main In-
ing with their former husbands, are still considered married
stitutions of Jewish Law, 2 vols., 2d ed. (New York, 1965).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
H:ALLA¯J, AL-
3755
Still the best treatment of the history of halakhah is Louis
formal articulation. He was instrumental in bringing psycho-
Ginzberg’s “Law, Codification of” in the Jewish Encyclopedia
analysis to American attention by inviting Freud for his only
(New York, 1905). Ginzberg’s “The Significance of the
visit to the New World.
Halachah for Jewish History,” translated by Arthur Hertz-
Through his own work and, more importantly, through
berg in On Jewish Law and Lore (Philadelphia, 1955), is a fas-
cinating but controversial treatment of early halakhah from
the work of his students E. D. Starbuck and James Leuba,
a socioeconomic point of view. Another important general
Hall was influential in creating psychology of religion as an
treatment is the article “Halakhah” by Louis Jacobs and Bert
empirical discipline. He pioneered the empirical study of in-
De Vries in Encyclopaedia Judaica (Jerusalem, 1971).
dividual religious experience by assembling data on the reli-
The number of good monographs on halakhic topics in English
gious experiences of children, and in 1904 he founded The
is steadily growing. One can read and consult with profit the
American Journal of Religious Psychology and Education. Hall’s
following finely researched and written works: Boaz Cohen’s
most important substantive contribution to the psychology
Jewish and Roman Law: A Comparative Study, 2 vols. (New
of religion was his observation that most conversions occur
York, 1966); Louis M. Epstein’s The Jewish Marriage Con-
in adolescence. This observation developed into a character-
tract (1927; reprint, New York, 1973); David M. Feldman’s
istic theme in Hall’s work: the linking of adolescence, con-
Birth Control in Jewish Law (New York, 1968); Solomon B.
version, and the life of Jesus. Hall argued that to complete
Freehof’s The Responsa Literature (Philadelphia, 1955);
adolescence successfully, a person must undergo a transfor-
Aaron Kirschenbaum’s Self-Incrimination in Jewish Law
mation in which “the older, lower selfish self is molted and
(New York, 1970); Isaac Klein’s A Guide to Jewish Religious
a new and higher life of love and service emerges.” Religious
Practice (New York, 1979); Leo Landman’s Jewish Law in the
Diaspora (Philadelphia, 1968); Samuel Mendelsohn’s The
conversion is the most effective and “natural” vehicle of this
Criminal Jurisprudence of the Ancient Hebrews (Baltimore,
transformation and “the Gospel story is the most adequate
Md., 1891); and my own The Image of the Non-Jew in Juda-
and classic, dramatic representation of . . . [this] most criti-
ism (New York, 1983).
cal revolution of life” (Adolescence, vol. 2, p. 337).
The articles in The Jewish Law Annual, vols. 1–4, edited by Ber-
nard S. Jackson (Leiden, 1978–1981), generally represent
BIBLIOGRAPHY
The two major works by Hall that deal with psychology of religion
some of the best critical scholarship on halakhic topics in En-
are Adolescence: Its Psychology and Its Relations to Physiology,
glish today. A good sampling of the current theological de-
Anthropology, Sociology, Sex, Crime, Religion and Education,
bate over the authority and scope of halakhah can be found
2 vols. (New York, 1904), and Jesus, the Christ, in the Light
in a symposium in Judaism 29 (Winter 1980).
of Psychology, 2 vols. (Garden City, N.Y., 1917). Dorothy
DAVID NOVAK (1987)
Ross’s G. Stanley Hall: The Psychologist as Prophet (Chicago,
1972) is the definitive biography and a study of Hall’s work
in psychology.
HALEVY, JUDAH SEE YEHUDAH HA-LEVI
New Sources
Bringmann, W. G. “G. Stanley Hall and the History of Psycholo-
gy.” American Psychologist 47, no. 2 (1992): 281–290.
“G. Stanley Hall.” Journal of Genetic Psychology 152, no. 4 (1991):
HALL, G. STANLEY (1844–1924), was an American
397–404.
psychologist and educator. Granville Stanley Hall was born
Hulse, Stewart H., and Bert F. Green. One Hundred Years of Psy-
in western Massachusetts, in a conservative Protestant envi-
chological Research in America: G. Stanley Hall and the Johns
ronment. He was educated at Williams College, at Union
Hopkins Tradition. Baltimore, 1986.
Theological Seminary (New York), at several institutions in
Kemp, H. Vande. “G. Stanley Hall and the Clark School of Reli-
Germany, and finally at Harvard, where he studied under
gious Psychology.” American Psychologist 47, no. 2 (1992):
William James. Hall was a significant figure in the early peri-
290–299.
od of American psychology. He is remembered primarily as
JOHN W. NEWMAN (1987)
an organizer, teacher, and editor, and as the president of
Revised Bibliography
Clark University. He founded North America’s first formally
accepted university psychology laboratory, the continent’s
first psychology journal, and its first professional organiza-
H:ALLA¯J, AL- (“the cotton carder”), al-Husayn ibn
tion for psychologists.
Mans:u¯r (AH 244–309/857–922 CE), was known among
Early in his career, Hall was influential in promoting ex-
Muslims as “the martyr of mystical love.” Although he has
perimental over “philosophical” methods in psychology. He
been maligned in some circles for his “heretical” teachings
was a key figure in the “child study” movement, which was
and his alleged claim to divinity, his place in the world of
influential in introducing questionnaire techniques and the
Islamic poetry is undisputed: There, the name al-H:usayn ibn
direct observation of children into psychology, and which
Mans:u¯r, or simply Mans:u¯r, stands as one of the major sym-
also spurred the development of “progressive” educational
bols of mystical union and of suffering in love.
methods. With his two-volume work Adolescence (1904),
Born in southern Iran, he spent some of his youth with
Hall gave the psychological concept of adolescence its first
Sahl al-Tustar¯ı, the mystic to whom Sufism owes the first
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3756
H:ALLA¯J, AL-
systematic theory of nu¯r Muh:ammad (“the light of Muh:am-
for ifsha¯ D al-sirr (“divulging the secret”), for it is not permissi-
mad”), which forms an important aspect of al-H:alla¯j’s later
ble that a mortal should speak up and say “I am the Creative
thought. From Basra, al-H:alla¯j proceeded to Baghdad, the
Truth, or,” as h:aqq was usually translated, “I am God.” That
center of mystical learning during the late ninth century, and
is against the law of love, where secrecy is a most important
frequented such S:u¯f¯ı masters as al-Junayd. This mystic, a
ingredient. One may doubt, however, whether the famous
representative of the so-called sober trend in Sufism, had de-
statement “Ana¯ al-h:aqq” was really the reason for the govern-
veloped the art of speaking in isha¯ra¯t (“hints”), lest the ortho-
ment’s decision; political and practical problems certainly
dox take offense at the teachings of mystical tawh:¯ıd (unifica-
played an important role. The French scholar Louis Mas-
tion with God). Al-H:alla¯j married a S:u¯f¯ı’s daughter but fell
signon has shown how confused the political situation in
out with other mystics in Basra. Setting out for Mecca on
Baghdad was during those decades; the caliphs were power-
his first pilgrimage, he performed extraordinary ascetic feats,
less and the viziers, in whose hands the true power lay,
but according to legend, the decisive incident of his life oc-
changed frequently. Sunn¯ı and Sh¯ıE¯ı allegiances were played
curred after his return. When he knocked at al-Junayd’s
out against each other, and fear of the Qara¯mit:ah, who
door, he was asked who was there; he answered, “Ana¯
threatened the Abbasid empire from their stronghold in Bah-
al-h:aqq” (“I am the Creative Truth”). The accuracy of this
rein, made unusual religious claims appear particularly dan-
legend cannot be ascertained, but the phrase “Ana¯ al-h:aqq”
gerous.
appears in an important context in his Kita¯b al-t:awa¯s¯ın,
which he composed toward the end of his life.
Was it not possible, so the authorities asked, that
al-H:alla¯j had been in touch with the Qara¯mit:ah, who had
After the clash with al-Junayd, or for other reasons,
just founded a principality in Multan and who ruled north-
al-H:alla¯j discarded the S:u¯f¯ı gown and wandered through
ern Sind? Besides, the letters that al-H:alla¯j received from var-
Iran and Khorasan before making his second pilgrimage,
ious parts of the Islamic world addressed him with strange-
along with four hundred disciples. He next set out for India,
sounding titles, and some of them were beautifully decorated
“to learn magic,” according to his adversaries, “to call the
and written in mysterious characters, similar to the
people to God,” by his own account. From Gujarat he wan-
Manichaean books from Inner Asia. There is also no doubt
dered through Sind and the Punjab and reached Turfan,
that al-H:alla¯j, like his friend the chamberlain Nas:r, was in
probably via Kashmir. When he returned to Baghdad, he was
favor of more equitable taxation; even worse, he had spoken
met with even greater hostility from both the orthodox and
publicly of the isqa¯t: al-fara¯Did:, the possibility of making sub-
the S:u¯f¯ıs, and he undertook a third pilgrimage. Apprehend-
stitutions for the personal obligations of fasting or even the
ed on the road to Su¯s, he was exposed on a pillory and finally
pilgrimage. Such ideas were anathema to orthodox Muslims.
imprisoned in Baghdad in 913. The protection of the cham-
berlain Nas:r al-Qashu¯r¯ı and the friendship of the mother of
It was also told that al-H:alla¯j, preaching in the mosques
the infant caliph al-Muqtadir made his life in prison tolera-
of Baghdad, would call people to God, to a deeper personal
ble, and quite a few miracles are recounted for this period.
realization of the mysteries of faith, and that he would then
Of his visitors in prison, the last was Ibn Khaf¯ıf, a young as-
implore them to kill him, for thus, he said, he would be res-
cetic from Shiraz who noted down some of his sayings and
cued from this life and they would receive recompense for
who can therefore be considered the first link in the spiritual
killing a heretic. Such eccentric behavior, coupled with ex-
chain that leads to Ru¯zbiha¯n-i Baql¯ı of Shiraz (d. 1209), the
treme asceticism and the punctual performance of religious
commentator on the shat:h:¯ıya¯t (“theopathic locutions”) of
duties, was difficult for ordinary believers to accept. Further-
al-H:alla¯j and other S:u¯f¯ıs.
more, al-H:alla¯j’s burning love of God, which he expressed
In March 922, the government succeeded in drawing
in short, tender verses, aroused the anger of the Z:a¯hir¯ıyah,
up a death sentence for al-H:alla¯j and declaring it “lawful to
who denied the possibility of real love between humans and
shed his blood.” The Persian writer EAt:t:a¯r (d. 1221) sums
God. Thus, almost all factions in the religious circles of
up al-H:alla¯j’s end in his Tadhkirat al-awliya¯D (Biographies
Baghdad were against al-H:alla¯j for various reasons, and
of the Saints): “A dervish asked him, ‘What is love?’ He an-
many regarded him as a crafty man who practiced magic and
swered, ‘You will see it today and tomorrow and day after
tried to seduce people, nay, even went so far as to lay claim
tomorrow.’ That day they killed him, the next day they
to divinity.
burned him, and the third day they gave his ashes to the
In later centuries, especially in the folk and high poetry
wind.” Al-H:alla¯j went dancing in his chains to the gallows,
of Persianate countries, al-H:alla¯j was considered the fore-
and his last words were “All that matters for the ecstatic is
most representative of wah:dat al-wuju¯d (“unity of being”),
that the Unique should reduce him to Unity.” He died on
someone who, as Friedrich A. G. Tholuck (1821) said, “with
March 26, 922 (24 Dhu¯ al-QaEdah 309), and many decades
incredible audacity tore away the curtain from pantheism.”
later people in Baghdad were still seen waiting for his return
Massignon, however, has proved that al-H:alla¯j was anything
at the banks of the Tigris, on whose waves his ashes had
but a pantheist; rather, he represents the wah:dat al-shuhu¯d
formed the words ana¯ al-h:aqq.
(“unity of witness”). To understand his attitude it suffices to
The explanations for al-H:alla¯j’s execution are manifold.
read his long, touching prayers in which he tries to circum-
The S:u¯f¯ı tradition claims that his death was a punishment
scribe the primordial and eternal God who is forever separat-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
H:ALLA¯J, AL-
3757
ed by his qidam, his pre-eternal being, from human being,
The Kita¯b al-t:awa¯s¯ın also contains one of the finest
which is created in time.
early descriptions of the Prophet, who is celebrated in exqui-
How can one describe him who is too high to be
site rhyming prose as light from the divine light and source
reached by human eyes and yet is evident everywhere?
of the lights of the prophets. But there is also the embarrass-
Al-H:alla¯j’s prayer-poems oscillate between the burning long-
ing chapter in which al-H:alla¯j confronts himself with Pha-
ing for the transcendent God who is separated from him by
raoh and Ibl¯ıs and claims that he will not recant from his
the little human “I” and the consoling experience of this
“Ana¯ al-h:aqq” any more than Pharaoh will recant from his
God’s presence in the human heart, “flowing between the
statement “I am your highest Lord” (surah 79:24) or Satan
heart and its sheath as tears flow from the eyelids.” In rare
from his remark vis-à-vis Adam that “I am better than he”
moments of ecstasy, the uncreated divine spirit can enwrap
(surah 7:11). Small wonder that such sentences shocked the
the created human spirit and speak through the human
Muslims of Baghdad and that more than once it was asked
tongue, as God once spoke through a burning bush. Then
what, then, was the difference between the “I” of al-H:alla¯j
the mystic feels that “my spirit has mingled with thine like
and that of Pharaoh. Ru¯m¯ı answered in his Mathnav¯ı that
water and wine” or “like amber and musk” (for such claims,
“Pharaoh saw only himself while al-H:alla¯j saw only God—
al-H:alla¯j was accused of believing in h:ulu¯l, “incarnation”).
hence his claim was a sign of grace while Pharaoh’s claim
The painful feeling of duality is wiped out, and God attests
turned into a curse.”
his unity through the tongue of the lover, for, as Abu¯ Bakr
al-Kharra¯z (d. 890/9) had stated, “No one has the right to
Al-H:alla¯j’s Satanology has deeply impressed one trend
say ‘I’ but God.” In such moments the saint becomes the liv-
in later Sufism (including Ah:mad al-Ghaza¯l¯ı, Sarmad, and
ing witness of God (huwa huwa, “he is He”), and he can ex-
Sha¯h EAbd al-Lat:¯ıf, among others). He sees Ibl¯ıs caught be-
claim “Ana¯ al-h:aqq” as the true witness of God’s unity be-
tween the divine order to fall down before the newly created
cause God has taken away from him everything, including
Adam and the divine will that nothing besides God himself
his “I.”
should be worshiped. Iblis prefers to obey the divine will and
to prove himself as the true monotheist who looks only at
Al-H:alla¯j tried to awaken the sense of personal relation-
God, as a faithful lover who happily wears the garment of
ship between the believer and God, and his whole life was
curse that is given him as a result of his obstinacy, although
devoted to the realization of the deepest truth of islam, com-
he avers, according to al-H:alla¯j, “Juh:u¯d¯ı laka taqd¯ıs” (“My
plete surrender to the one God. The numerous anecdotes
rebellion means to declare thee holy”).
collected in the Akhba¯r al-H:alla¯j reveal this feeling (with
some embarrassing details), and his poetry, though some-
It has been said that al-H:alla¯j tried to live in accordance
times using mystical letter symbolism, is pure and completely
with the QurDanic description of Jesus, and his use of such
devoid of sensuality. Some of his verses, such as his qas:¯ıdah
Christian theological terms as na¯su¯t (“humanity”) and la¯hu¯t
“Uqtulu¯n¯ı,”
(“divinity”) in speaking of God has led several scholars in
Kill me, O my trustworthy friends,
East and West to believe that he was a crypto-Christian. His
for in my being killed is my life . . .
death on the gallows, as on the cross, would fit well into this
picture.
have been quoted by later authors time and again (by Ru¯m¯ı,
for example). Only a few fragments of al-H:alla¯j’s interpreta-
S:u¯f¯ıs of the following generations often quoted the say-
tion of the QurDa¯n are preserved, among them the statement
ings of al-H:alla¯j without identifying him, but, on a larger
that seems to sum up the secret of his life: “Happiness comes
scale, his true revival began in the twelfth century.
from God, but affliction is he himself.” There are also his
Ru¯zbiha¯n-i Baql¯ı continued the tradition that must have
riwa¯ya¯t, the h:ad¯ıth whose contents are perfectly orthodox
been alive in Shiraz thanks to Ibn Khaf¯ıf, and in northeastern
but whose chains of transmission go not through human
Iran, EAt:t:a¯r was initiated into Sufism by the spirit of
transmitters but through mythical and heavenly creatures.
al-H:alla¯j. EAt:t:a¯r devoted the most moving chapter of his
The only book by al-H:alla¯j that has been preserved in
Tadhkirat al-awliya¯ D to the martyr-mystic and succeeded in
full is his Kita¯b al-t:awa¯s¯ın (alluding to t:a and s¯ın, the myste-
conveying to his readers al-H:alla¯j’s daring love and willing-
rious letters at the beginning of surah 27 of the QurDa¯n). In
ness to suffer. This chapter became the source for virtually
this small treatise, probably written while he was in prison,
all later descriptions of al-H:alla¯j’s life and death in the Persia-
al-H:alla¯j introduces into Sufism the parable of the moth and
nate world, be it in Persian verse, Sindhi drama, or Turkish
candle: The moth that sees the light, feels the heat, and final-
poetry. The great mystical poets quoted him, although Ru¯m¯ı
ly immolates itself in the flame, never to return to its peers,
held that his master, Shams al-D¯ın, was much superior to
is the model for the lover who has found “the reality of Reali-
al-H:alla¯j, who, he said, was only a lover, not a beloved. The
ty.” This image was to become a favorite with Persianate
sober S:u¯f¯ı orders likewise remained critical of him; they ac-
poets and reached Europe through translations around 1800;
cused him of not having reached true annihilation, for “the
Goethe used it in his famous poem “Selige Sehnsucht” in
water makes noise only so long as it does not yet boil,” and
West-östlicher Divan (1819) to express the mystery of “dying
they pointed out that the vessel of his spirit was too shallow
before one dies.”
to keep the contents of love as it behooves.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3758
HALLOWEEN
But wherever the dangerous power of love is described,
Further, chapters on al-H:alla¯j can be found in every history of Su-
the name Mans:u¯r appears. Interestingly, it is most promi-
fism, from Friedrich A. D. Tholuck’s Ssufismussive theosophia
nent in the folk poetry of Sind and the areas through which
Persarum pantheistica (Berlin, 1821) to my own Mystical Di-
al-H:alla¯j wandered shortly after 900 (even in the IsmaE¯ıl¯ı
mensions of Islam (Chapel Hill, N.C., 1975). I have also
verses called gina¯ns). There, the bards sing how “the gallows
made a survey of al-H:alla¯j’s life and work and of his survival
in Muslim poetry in Al-Halladsch, Märtyrer der Gottesliebe
became his bridal bed” and praise him as the one who drank
(Cologne, 1968), and I have devoted a number of articles to
and dispensed intoxicating spiritual wine, the wine of unity.
al-H:alla¯j’s survival in Sindhi, Indo-Persian, and Urdu poetry.
In the Turkish tradition, his name is particularly connected
The question of al-H:alla¯j’s Satanology is discussed extensive-
with the Bektash¯ı order of S:u¯f¯ıs, whose initiation takes place
ly in Peter J. Awn’s Satan’s Fall and Redemption (Leiden,
at the da¯r-i Mans:u¯r (“Mans:u¯r’s gallows”), for the novice has
1983). The problem of his shat:h¯ıya¯t, or “theopathic locu-
to die within himself before being revived in the order. Popu-
tions,” is treated in Carl W. Ernst’s Words of Ecstasy in Sufism
lar Arabic tradition invokes Mans:u¯r’s name less frequently
(Albany, N.Y., 1985); indispensable for the understanding
than does Persianate mystical poetry, but everywhere he was
of the shat:h¯ıya¯t is Ru¯zbiha¯n-i Baql¯ı’s Sharh:-i shat:h¯ıya¯t, ed-
used as a model of “pantheistic” Sufism—hence the aversion
ited by Henry Corbin (Tehran and Paris, 1966).
of the orthodox (headed by Ibn Taym¯ıyah) to him.
ANNEMARIE SCHIMMEL (1987)
It was thanks to Massignon’s lifelong studies that a new
approach to al-H:alla¯j’s personality developed in the Islamic
countries as well as in the West. The Indian thinker Muham-
mad Iqbal, the first to rediscover al-H:alla¯j’s “dynamic”
HALLOWEEN, or Allhallows Eve, is a festival celebrat-
teachings, praised him in his Ja¯v¯ıdna¯mah (1932) as a kind
ed on October 31, the evening prior to the Christian Feast
of forerunner of himself, “who brought resurrection to the
of All Saints (All Saints’ Day). Halloween is the name for the
spiritually dead.” After World War II, al-H:alla¯j became more
eve of Samhain, a celebration marking the beginning of win-
prominent among the Arabs. Classified as an “Islamic Kier-
ter as well as the first day of the New Year within the ancient
kegaard” by EAbd al-Rah:ma¯n Badaw¯ı, he figures in the works
Celtic culture of the British Isles. The time of Samhain con-
of progressive Arab writers as an important symbol of free-
sisted of the eve of the feast and the day itself (October 31
dom and struggle against the establishment. In a drama de-
and November 1). This event was a crucial seam in the social
voted to him, Ma Dsat al-H:alla¯j (1964) by S:ala¯h: EAbd
and religious fabric of the Celtic year, and the eve of Samhain
al-S:abu¯r, his social engagement is emphasized, and in the
set the tone for the annual celebration as a threatening, fan-
verse of Adon¯ıs and al-Bayat¯ı he appears in surrealistic, para-
tastic, mysterious rite of passage to a new year.
doxical forms. In the Indian subcontinent, his name and nu-
The religious beliefs of the Celts emphasized pastoral
merous allusions to gallows and rope have been used to point
deities, and Celtic festivals stressed seasonal transitions. Bel-
to those who fought for freedom from colonial powers or
tene, the beginning of summer, was celebrated at the end of
against unjust governments. In Iran, the name H:usayn ibn
April and the beginning of May. Samhain signaled the com-
Mans:u¯r is uttered along with that of H:usayn ibn EAl¯ı, the
mencement of winter and, together with Beltene, divided the
Prophet’s grandson, in Sh¯ıE¯ı Muh:arram processions.
year into cold and hot seasons. Samhain marked the end of
Thus, al-H:alla¯j, “who left the pulpit and spoke out his
preparations for winter, when flocks and herds had been se-
heart’s secret on the gallows,” is still very much alive. Even
cured and harvested crops had been stored.
though much of his subtle theology is not properly under-
The eve of this festival brought with it another kind of
stood by the general populace, his joy in suffering for love
harvest. On this occasion, it was believed that a gathering of
of God has made him a favorite symbol for those who believe
supernatural forces occurred as during no other period of the
in personal piety rather than dry legalism and for those who
year. The eve and day of Samhain were characterized as a
are willing to suffer for their ideals, be they political or reli-
time when the barriers between the human and supernatural
gious.
worlds were broken. Otherworldly entities, such as the souls
of the dead, were able to visit earthly inhabitants, and hu-
BIBLIOGRAPHY
mans could take the opportunity to penetrate the domains
The major source for al-Halla¯j’s life and thought is Louis Mas-
of the gods and supernatural creatures. Fiery tributes and sac-
signon’s The Passion of al-Hallaj, Mystic and Martyr of Islam
(1922), 4 vols., translated by Herbert Mason (Princeton,
rifices of animals, crops, and possibly human beings were
N.J., 1981). Besides writing this great work, and numerous
made to appease supernatural powers who controlled the fer-
articles devoted to the survival of al-H:alla¯j, Massignon also
tility of the land. Not a festival honoring any particular Celt-
edited the Kita¯b al-t:awa¯s¯ın (Paris, 1913), the D¯ıva¯n, or col-
ic deity, Samhain acknowledged the entire spectrum of non-
lected poems (first in Journal asiatique 218, January–March
human forces that roamed the earth during that period.
1931, then in several subsequent editions, with constant
changes of translation), and, with Paul Kraus, Akhba¯r
Given the upheaval of normal human activities and ex-
al-H:alla¯j (1936), 3d ed. (Paris, 1954). The article on
pectations on the eve and day of Samhain, it was also thought
al-H:alla¯j by Massignon and Louis Gardet in the new Encyclo-
to be an especially propitious time for ascertaining informa-
paedia of Islam (Leiden, 1960–) gives a good survey.
tion about the future course of one’s life. Various methods
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
H:ANA¯BILAH
3759
of divination were used by individuals attempting to discover
and monetary treats, lightly threatening to play a trick on the
their fortunes, good or ill, and to foretell events such as mar-
owner if a treat is not produced. There also has been renewed
riage, sickness, or death.
interest in Halloween as a time when adults can also cross
cultural boundaries and shed their identities by indulging in
Samhain remained a popular festival among the Celtic
an uninhibited evening of frivolity. Thus, the basic Celtic
people throughout the Christianization of Great Britain.
quality of the festival as an evening of annual escape from
The British church attempted to divert this interest in pagan
normal realities and expectations has remained into the
customs by adding a Christian celebration to the calendar on
present.
the same date as Samhain. The Christian festival, the Feast
of All Saints, commemorates the known and unknown saints
of the Christian religion just as Samhain had acknowledged
BIBLIOGRAPHY
The definitive scholarly work on Halloween has yet to be written.
and paid tribute to the Celtic deities. The eve of the Celtic
Ralph Linton and Adelin Linton’s Halloween through Twenty
festival was also Christianized, becoming the Vigil of All
Centuries (New York, 1950) is an adequate introduction,
Saints or Allhallows Eve (with special offices existing in both
though dated. Lacking substantial citations, it should be read
the Anglican and Roman churches). The medieval British
along with other texts to ensure its accuracy. An excellent
commemoration of All Saints’ Day may have prompted the
volume on Celtic belief systems, and especially the feast of
universal celebration of this feast throughout the Christian
Samhain, is Marie-Louise Sjoestedt-Jonval’s Dieux et héros
church.
des Celtes (Paris, 1940), translated by Myles Dillon as Gods
and Heroes of the Celts (London, 1949). A useful ethnograph-
The customs of Samhain survived independently of the
ic approach to the study of Halloween was taken by Helen
Christian holy day. Gradually, the eve of Allhallows (Hal-
Sewell Johnson in her article on “November Eve Beliefs and
loween) lost much of its Celtic religious significance for the
Customs in Irish Life and Literature,” Journal of American
masses, and it became a secular observance, although many
Folklore 81 (1968): 133–142. A contemporary look at Hal-
traditionally Celtic ideas continued to be associated with the
loween customs in the United States can be found in folklor-
evening. Divination activities remained a popular practice.
ist Jack Santino’s “Halloween in America: Contemporary
Adults, dressed in fantastic disguises and masks, imitated su-
Customs and Performances,” Western Folklore 42 (1983):
pernatural beings and visited homes where occupants would
1–20.
offer tributes of food and drink to them. A fear of nocturnal
LEONARD NORMAN PRIMIANO (1987)
creatures, such as bats and owls, persisted, because these ani-
mals were believed to communicate with the spirits of the
dead.
HALLUCINOGENS SEE PSYCHEDELIC DRUGS
Halloween was celebrated only in the Celtic areas of
Great Britain: Ireland, Scotland, Wales, and northern rural
England. In non-Celtic England, many of the customs of
HALO
Halloween were assimilated into a commemorative festival
SEE NIMBUS
that arose in the seventeenth century as the celebration of
Guy Fawkes Day (November 5). English Protestant settlers
in the New World did not bring the custom of Halloween
H:ANA¯BILAH (sg., H:anba¯l¯ı) is the name used to denote
with them. Irish and Scottish immigrants introduced scat-
the followers of Ah:mad ibn H:anbal, just as the names
tered Allhallows Eve observances to America, but it was only
Sha¯fiE¯ıyah, Ma¯lik¯ıyah, and H:anaf¯ıyah are used to denote the
in the years after the massive immigration of the Irish to the
followers of al-Sha¯fiE¯ı, Ma¯lik, and Abu¯ H:an¯ıfah, respective-
United States during the potato famine (1845–1846) that
ly. Of these four groups, the H:ana¯bilah has been considered
Halloween became a national event.
anomalous, and rightly so, although not for the reasons usu-
Modern Halloween activities have centered on mischief
ally given. Western writers have reiterated that this group
making and masquerading in costumes, often resembling
was the smallest of the four; that it fought against the theolo-
otherworldly characters. Folk customs, now treated as games
gy of kala¯m, which is quite true; that it fought against Su-
(such as bobbing for apples), have continued from the vari-
fism, which is definitely false. It is clear that the H:ana¯bilah
ous divination practices of the ancient celebrants of this occa-
fought against philosophical theology (kala¯m) and philo-
sion. Supernatural figures (such as the ghost, the witch, the
sophical Sufism (monism, incarnationism), but certainly not
vampire, the devil) play a key role in supplying an aura of
against theology in its juridical form, nor against Sufism in
the mysterious to the evening, whether or not they originally
its traditionalist, ascetic form. Some writers have described
had an association with the festival. Children are particularly
the H:ana¯bilah as conservative; others, echoing the biased
susceptible to the imagery of Halloween, as can be seen in
sources they use, have resorted to a wide range of pejorative
their fascination with the demonic likeness of a carved and
epithets: fanatical, inflexible, anthropomorphic, obstruction-
illuminated pumpkin, known as the jack-o’-lantern. In re-
ist, intolerant, insignificant, and the like.
cent times, children have taken up the practice of dressing
EMERGENCE OF THE MADHHAB. The H:ana¯bilah, like the
in Halloween costumes and visiting homes in search of edible
H:anaf¯ıyah, Ma¯lik¯ıyah, and Sha¯fiE¯ıyah, maintained schools
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3760
H:ANA¯BILAH
in which it taught law as the principal subject. Nonetheless,
consult, not by a “school” of jurisconsults, or even by a com-
the group called H:ana¯bilah cannot be understood in its his-
mittee. Similarly, the practice of ijtiha¯d—consulting the
torical genesis and development as merely a “school of law,”
sources of the law to arrive at a solution for a legal question—
as it has been characterized heretofore. In modern Arabic, the
was carried out by a single jurisconsult acting as an indepen-
term for “school of law” would be expressed by a literal
dent free agent.
equivalent of the English, something like madrasat al-fiqh.
Religious issues: traditionalism vs. rationalism. The
The classical Arabic term is madhhab, which means “a way
madhhabs were guilds of law, but their genesis was due to
of going,” “direction,” and, technically, “thesis” or “opin-
reasons of religious philosophy. They issued from, and repre-
ion.” Each madhhab of law had institutions of learning—
sented, the traditionalist movement, in opposition to the
colleges of law—exclusively for its own members. This insti-
movement of rationalism in Islam. Were it not for this antag-
tution was at first the noncongregational mosque, or masjid,
onism, the madhhabs of law might not have emerged as they
and later the madrasah, a term that in modern Arabic means
did. Their traditionalism is indicated by their emulation of
“school.” The madhhab itself was not a school; it was a guild
the Prophet. The founding members of the madhhab chose
in whose name schools were maintained.
a great imam as their eponym and referred to themselves as
“Personal schools.” The emergence of these guilds of
his companions, in emulation of the greatest imam, the
jurisconsults dates from around the middle of the ninth cen-
Prophet, and his companions.
tury. Before that time, the jurisconsults were grouped geo-
The supreme struggle between traditionalists and ratio-
graphically, as, for instance, the Iraqis, the Medinese, the Ku-
nalists came about in the Inquisition (mih:nah) of the ninth
fans, the Basrans, and the Syrians. The groups that came to
century. It hinged on the question of whether the QurDa¯n
be identified by the names of persons after the mid-ninth
was the created or uncreated word of God. The inquisitors
century have been referred to as “personal schools,” to distin-
belonged to the rationalist theological movement of the
guish them from the earlier “geographical schools.” The nat-
MuEtazilah. The MuEtazil¯ı thesis was that the QurDa¯n is the
ural tendency has been to associate their chronological emer-
created word of God; to say that it is his uncreated word
gence with the dates of their eponyms: Abu¯ H:an¯ıfah (699–
would make it coeternal with God, a violation of God’s unic-
767), Ma¯lik (707–795), al-Sha¯fiE¯ı (767–820), and Ibn
ity (tawh:¯ıd) and hence of the very monotheistic character of
H:anbal (780–855).
Islam itself. The traditionalist thesis was that God’s word is
eternal. His fiat (“kun!”) could not itself be created, because
The historical reality was somewhat different; in fact, it
it is by this, his word, that God creates; a created thing could
may well have followed the exact reverse of this order. The
not bring other things into existence.
“personal schools,” according to Joseph Schacht, were so des-
ignated “soon after the time of Sha¯fiE¯ı,” beginning with the
When the end of the Inquisition in 848 brought an end
Sha¯fiE¯ı madhhab. Henri Laoust placed the constitution of the
to the MuEtazilah as a political force, Ah:mad ibn H:anbal,
H:anba¯l¯ı madhhab “during the period from the Sunni reac-
flogged severely and imprisoned for refusing to adopt the
tionary movement of [Caliph] al-Mutawakkil (232–47/847–
MuEtazil¯ı thesis, emerged as the charismatic hero of Islam.
61) to the advent of the Buyids in 334/945.” There is, of
The struggle that Ibn H:anbal undertook and carried to its
course, no way to determine the precise date of the emer-
termination had already been started by al-Sha¯fiE¯ı, a long-
gence of a madhhab of law, or that of its extinction: The
time foe of the MuEtazilah whose life’s work was dedicated
madhhab, though a guild, was neither founded nor dissolved
chiefly to supporting the traditionalist movement. Al-Sha¯fiE¯ı
by a formal act; its colleges of law were founded by such a
did not live to see the end of the MuEtazil¯ı menace. The peri-
formal act, the waqf, as charitable trusts, but not the madh-
od following his death was witness to the apex of the
hab. Its disappearance could, however, be determined
MuEtazilah’s political power. But by the time of Ibn H:anbal
through the disappearance of its representatives in a given lo-
(d. 855), who followed in his traditionalist footsteps, the for-
cality—when the biographer of a jurisconsult of a given mad-
midable foe met its decisive downfall.
hhab declares that the biographee was the last member of that
The Inquisition cleared the way for the rise of the madh-
madhhab in his locality—but the date of death would indi-
habs, which began to flourish, organizing the traditionalist
cate the date of the madhhab’s extinction in that locality, not
movement. Many such guilds of law were founded; many
the date of the loss of its effectiveness, which no doubt had
disappeared from the scene, their membership absorbed by
already taken place.
other guilds. In the eleventh century their number crystal-
lized into the four madhhabs surviving today.
A madhhab came into existence because its members
had interests to protect and to advance. What could these
In a period of two centuries (mid-ninth to mid-
common interests have been for the H:anba¯l¯ı madhhab? It
eleventh), the mainstream of Muslim history moved relent-
was, like the three other surviving Sunn¯ı madhhabs, a madh-
lessly in the direction of traditionalism, engulfing all obstruc-
hab of law; as such it simply served the purpose of bringing
tions set up against it. The landmarks of this mainstream are
together its member-jurisconsults. Consensus, ijma¯ E, was
unmistakable.
constituted on the basis of the legal opinions of the juriscon-
1. Al-Sha¯fi E¯ı’s Risa¯lah (before 813/4). From elements
sults. But a legal opinion was issued by an individual juris-
for the most part already at hand, al-Sha¯fiE¯ı forged a new sci-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
H:ANA¯BILAH
3761
ence, a juridical theology, namely a study of God’s law, with
ing the support of the central power. The task of the tradi-
which he meant to replace kala¯m, a study of God himself.
tionalists was not merely to counterbalance the force of their
Juridical theology studies God’s commands and prohibi-
opponents but to tilt the scales in their own favor.
tions, not whether God is, or what he is. It deals with the
Economic issues: the waqf. To this religious weapon
fundamentals of obedience to God (religion), not just idle
the traditionalists added an economic one: the charitable
words (kala¯m) about God himself, which may well lead to
trust (waqf). As lawyers they were both the interpreters and
perdition.
the guardians of its law. A basic principle of its law was that
2. The Inquisition (833–848). The Inquisition ended
nothing could be based on waqf that would be inimical to
with the decisive political demise of its masters and the victo-
the tenets of Islam. Through their legal opinions they deter-
ry of its victims.
mined what was, and what was not, inimical. Furthermore,
3. The Professions of Faith ( Eaqa¯ Did; sg., Eaq¯ıdah). The
waqfs were founded by Muslim individuals, with individual-
period following the Inquisition brought in a rich harvest of
ly owned private property. When caliphs, sultans, emirs, vi-
creeds by members of the traditionalist movement, headed
ziers, or any other official or functionary instituted waqfs,
by Ah:mad ibn H:anbal, six of whose creeds have survived. He
they did so as private Muslim individuals. There was no pro-
apparently took his lead from al-Sha¯fiE¯ı, one of whose creeds
vision in the law for “official” waqfs. The object of waqf was
has come down to the present. Among subsequent creeds,
charitable, immediately or eventually, and the founder’s
two are of particular significance, belonging as they do to the
chief motive was qurbah, to draw near to God, through good
fundamental teachings of traditionalism: one by the great
works endowed in perpetuity.
mystic al-H:alla¯j (d. 922), the other by al-AshEar¯ı (d. 936?).
All institutionalized learning in Islam was funded
4. The Retraction of Ibn Shannabu¯dh (935). Ibn
through such religious foundations. The lawyers designated
Shannabu¯dh abjured his QurDanic variant readings as aber-
as inimical to Islamic beliefs Greek philosophy, the foreign
rant and unlawful. His retraction emphasized the sacred
sciences, and kala¯m-theology, which, they felt, was tainted
character of the QurDa¯n in the Vulgate of the caliph
with philosophy. The kala¯m-theologians were thus excluded
EUthma¯n, and pointed to the success of the traditionalist the-
as such from the curriculum of the madrasah and cognate in-
sis vindicated by Ah:mad ibn H:anbal during the Inquisition.
stitutions; eventually, the da¯r al- Eilm and its cognates, li-
braries that were meeting places of the rationalists, ceased to
5. The Defection of al-AshEar¯ı. Forsaking the teachings
exist.
of MuEtazil¯ı rationalism, al-AshEar¯ı rallied to the doctrines
of Ah:mad ibn H:anbal and placed himself squarely under the
The exclusionary rule of waqf left out the philosophers
H:anba¯l¯ı banner.
and philosophical theologians. No longer in a position to
beat the traditionalists, they joined them by infiltrating the
6. The Qa¯dir¯ı Creed (first third of the eleventh centu-
juridical madhhabs as jurisconsults. The MuEtazil¯ı theolo-
ry). Proclamations of the caliph al-Qa¯dir in 1017, 1018, and
gians found a home in the H:anaf¯ı madhhab, and later the
1029 culminated in a profession of faith bearing the name
AshEar¯ıyah found theirs in the Sha¯fiE¯ı madhhab (there were
of the caliph, Al-iEtiqa¯d al-Qa¯dir¯ı, read by order of the caliph
some rare instances where a MuEtazil¯ı theologian was a
in 1040/1. Its contents, steeped in traditionalism, are direct-
Sha¯fiE¯ı jurisconsult and an AshEar¯ı theologian, a H:anaf¯ı ju-
ed chiefly against the MuEtazilah, the AshEar¯ıyah, and the
risconsult). One’s Sunn¯ı orthodox identity was determined
Sh¯ıEah. In contrast with MaDmu¯n’s inauguration of the In-
by his membership in one of the Sunn¯ı madhhabs. The mad-
quisition, the Qa¯dir¯ı creed, formulated two centuries later,
hhabs accepted one another; transfers from one to any other
dramatizes the distance traveled by traditionalism and pro-
was unrestricted at any point in a member’s lifetime.
claims its triumph in very clear terms.
Misconceptions concerning the H:ana¯bilah. One par-
7. The Organization of Knowledge. The success of tra-
ticular misconception concerning the H:anba¯l¯ı madhhab was
ditionalism is clearly manifested in the development of the
its relatively reduced representation in the Islamic world
institutions of learning following the failure of the Inquisi-
when compared with the other madhhabs. This fact kept
tion. By the middle of the eleventh century, the rationalist
cropping up in the early studies on the H:ana¯bilah, and its
institutions (da¯r al- Eilm and others), essentially libraries
repeated mention is indicative of the scholars’ perplexity
where books on the “foreign sciences,” such as Greek philos-
when they were confronted with what appears to be the dis-
ophy, were available for reading and discussion, had disap-
proportionate attention this madhhab received from the an-
peared from the scene. Libraries became annexed to the ma-
nalistic sources in descriptions of riots. The explanation lies
drasahs, where books on the “foreign sciences” could be read
in its makeup in comparison with the H:anaf¯ı and Sha¯fiE¯ı
privately but never formed part of the regular curriculum.
madhhabs. (The Ma¯lik¯ı madhhab had a sparse membership
All “personal schools” of law emerged from the tradi-
in tenth-century Baghdad, and its last representative there
tionalist movement of the ahl al-h:ad¯ıth (literally, “people of
left for points west in the eleventh century.) The H:anaf¯ı and
the h:ad¯ıth,” traditionalists). The transition from “geographi-
Sha¯fiE¯ı madhhabs, as already mentioned, were infiltrated by
cal” to “personal” madhhabs came in response to the threat
the MuEtazilah and AshEar¯ıyah, respectively. This situation
of the philosophical theologians, who had succeeded in gain-
gave each of these two madhhabs an internal structure 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
3762
H:ANA¯BILAH
up of two antagonistic groups, fundamentally opposed to
movement from which all the madhhabs emerged. Ah:mad
each other on the theological level: one group belonging to
and al-Sha¯fiE¯ı were the “patron saints” of two traditionalist
the ahl al-h:ad¯ıth (traditionalists) from which it issued, and
madhhab guilds whose chief concern was not only to raise
the other belonging to the ahl al-kala¯m (rationalists). In
the prophetic traditions to the level of sacred scripture—in
Baghdad, there remained only one Sunn¯ı madhhab represen-
this, al-Sha¯fiE¯ı led the way, and Ah:mad followed in his foot-
tative of the ahl al-h:ad¯ıth alone, free of infiltration by either
steps—but also to fight for the primacy of faith and thus put
group of ahl al-kala¯m: the H:anba¯l¯ı madhhab.
a stop to the spread of rationalism.
Another factor to be considered is the reluctance of the
The H:anba¯l¯ı outlook is often regarded as basically legal-
religious intellectual to attack a fellow intellectual belonging
istic and therefore incompatible with the interior life of S:u¯f¯ı
to the same madhhab. This inhibition, from which a H:anaf¯ı
mysticism. The hostile attitude of Ibn H:anbal and his fol-
or Sha¯fiE¯ı jurisconsult might suffer vis-à-vis a fellow juriscon-
lowers, particularly Ibn al-Jawz¯ı and Ibn Taym¯ıyah, seem-
sult of the same madhhab who happened to be also a philo-
ingly gives credence to such a view. But such hostility, when
sophical theologian, did not afflict the H:anba¯l¯ı jurisconsult.
it existed, was directed toward certain S:u¯f¯ıs and certain S:u¯f¯ı
He felt free to fight not only any signs of rationalistic tenden-
practices. At no time has the H:anba¯l¯ı madhhab, or the fol-
cies within his own madhhab, but also any and all groups
lowers just mentioned, condemned Sufism as such, or all
hostile to the ahl al-h:ad¯ıth. The H:ana¯bilah fought as mem-
adepts of Sufism. The reason for this is clear and rather sim-
bers of the ahl al-h:ad¯ıth. Though their numbers were rela-
ple. Sufism, like the H:ana¯bilah, issued from the ahl al-h:ad¯ıth
tively small as members of the H:anba¯l¯ı madhhab, they repre-
movement, and the H:anba¯l¯ı madhhab boasted of many
sented the overwhelming majority of Sunn¯ı Islam as
S:u¯f¯ıs. Close to a third of the notices in Ibn Rajab’s biograph-
members of the traditionalist movement. Many a Sha¯fiE¯ı and
ical work on the H:anba¯l¯ı madhhab are devoted to S:u¯f¯ıs.
H:anaf¯ı traditionalist passed undetected in the ranks of the
Among the great H:anba¯l¯ı S:u¯f¯ıs are Ibn SamEu¯n (d. 997),
ahl al-h:ad¯ıth. A perusal of the biographical dictionaries of
al-H:araw¯ı al-Ans:a¯r¯ı (d. 1088), and EAbd al-Qa¯dir al-J¯ıla¯n¯ı
H:anaf¯ı and Sha¯fiE¯ı jurisconsults would show the preponder-
(d. 1166), head of the first S:u¯f¯ı order in Islam that has come
ance of traditionalist jurisconsults in their ranks, as com-
down to this day, which included among its members Ibn
pared with philosophical theologians.
Taym¯ıyah, a so-called enemy of Sufism. What the
The annalists, referring to struggles between antagonis-
H:ana¯bilah did indeed condemn in Sufism were S:u¯f¯ıs steeped
tic socioreligious groups, are apt to throw the historian off
in pantheism (ittih:a¯d¯ıyah) or incarnationism (h:ulu¯l¯ıyah).
track by the way they identify the groups. The terms used
Members of the H:anba¯l¯ı madhhab have been criticized
may well hide their true identity. H:anaf¯ı may be used for
as rigidly opposed to reason, as partisans of a literalist inter-
Mu Etazil¯ı, and Sha¯fi E¯ı for Ash Ear¯ı, while H:anba¯l¯ı remains
pretation of the QurDa¯n and h:ad¯ıth, professing the most rig-
a constant. This is why the H:ana¯bilah must be seen in the
idly dogmatic doctrines in comparison with the other madh-
light of their membership in the traditionalist movement,
habs, as steeped in obscurantism and crass anthropo-
which encompassed all four madhhabs. In this movement,
morphism, as fanatical and intolerant. These judgments by
the H:ana¯bilah played the role of spearhead. Because of the
Western Orientalists of the nineteenth and twentieth centu-
uniform structure of their madhhab, they were the group
ries are in great measure attributable to the paucity of printed
most frequently mentioned in the annals. It was easy to arrive
sources available at the time and to the one-sidedness of these
at the conclusion that of all the groups they were the most
sources, hostile to the H:ana¯bilah and utilized without testing
contentious, considering the relatively small size of their
the authors’ bias.
madhhab. In reality they were but a fraction of the tradition-
AH:MAD IBN H:ANBAL. Ah:mad ibn H:anbal, like al-Sha¯fiE¯ı be-
alist movement, the mere tip of the iceberg.
fore him, was of pure Arab stock, and like al-Sha¯fiE¯ı, whom
Other misconceptions regarding the H:anba¯l¯ı school
he greatly admired, he gave a preponderant place to the sun-
that have developed in Islamic studies over the years arise
nah of the Prophet as sacred scripture alongside the book of
from the uncritical use of sources hostile to the H:ana¯bilah
God, the QurDa¯n. His teachings form the doctrinal basis of
and from the neglect of sources that could have been used
the madhhab that bears his name.
to provide some control and a more balanced account. The
Life. Born in Baghdad in December 780, Ah:mad ibn
following misconceptions are perhaps those that die the
H:anbal died there in July 855. A biographer says of him: “He
hardest.
left Merv in his mother’s womb, was born in Baghdad, grew
Ah:mad ibn H:anbal is often represented as a disciple of
up there, and died there.” He was known as “the imam of
al-Sha¯fiE¯ı, a notion that can be construed to give two oppos-
Baghdad.” Profoundly interested in the study of h:ad¯ıth, he
ing views of their relationship. One—which would be true—
began to devote himself to it at the age of fifteen and made
is that there was a kinship of spirit between the two great
his way throughout the lands of the eastern caliphate in
imams. The other—which would be false—is that Ah:mad
search of its authoritative transmitters. He traveled in Iraq
must have had a falling-out with al-Sha¯fiE¯ı and that he must
(Kufa, and especially Basra), the Hejaz, Yemen, and Syria,
have rejected the Sha¯fiE¯ı school in order to found one of his
the regions of the so-called geographical schools of law. Be-
own. Both imams belonged to the traditionalist ahl al-h:ad¯ıth
tween the ages of twenty-three and thirty-four he made the
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3763
pilgrimage to Mecca five times, along with two pious retreats
strong traditionalist orientation, and law, based heavily on
in Medina.
the study of h:ad¯ıth, had become the queen of the Islamic sci-
ences. To make the collections of h:ad¯ıths more easily studied
Though a great admirer of al-Sha¯fiE¯ı, and one who was
for their legal content, the order was changed to accommo-
ready to lay down his life for the same religious ideals, Ibn
date students of law. Instead of arranging h:ad¯ıths according
H:anbal cannot be considered simply as the disciple of the
to their chains of transmitters (isna¯d, whence the term mus-
great imam. He studied under a great number of h:ad¯ıth ex-
nad), they were chosen for their legal content and arranged
perts of this day, and many transmitted h:ad¯ıths on his au-
according to the chapters of books on law. The new collec-
thority, among them the authors of the “six books” of
tions were referred to as “sound” (s:ah:¯ıh:), not in the sense
h:ad¯ıth: al-Bukha¯r¯ı, Muslim, and Abu¯ Da¯wu¯d directly;
that former collections were less so, but rather to emphasize
al-Tirmidh¯ı, al-Nasa¯D¯ı, and Ibn Ma¯jah indirectly, through
that the new collections were also sound, in spite of their in-
his disciples. Al-Sha¯fiE¯ı himself is said to have transmitted on
novative arrangement according to subject, rather than ac-
Ibn H:anbal’s authority. Ibn al-Jawz¯ı, in his biography of Ibn
cording to their authoritative transmitters.
H:anbal, gives the names of his teachers of law: Hushaym ibn
Bash¯ır (d. 799), a disciple of Ibra¯h¯ım al-NakhaE¯ı, and after
Great musnad collections date after as well as before the
Hushaym’s death, Sufya¯n ibn EUyaynah (d. 814). Among
so-called Six Books, and they specialize in one or more trans-
Ibn H:anbal’s other important teachers was EAbd al-Rah:ma¯n
mitters or groups of transmitters. Ah:mad’s Musnad is a col-
ibn Mahd¯ı (d. 814), in answer to whose request al-Sha¯fiE¯ı
lection of several musnads including those of the first four
had written his famous Epistle.
“Rightly Guided” (Ra¯shidu¯n) caliphs, the principal compan-
ions of the Prophet, the Ans:a¯r, the Meccans, the Medinese,
Ah:mad ibn H:anbal’s persistent passive resistance to the
the Kufans, the Basrans, and the Syrians.
Inquisition earned him the undying respect and admiration
of the following generations down to this day. His funeral,
Followers of Ibn H:anbal. Ah:mad left two sons, who
the scene of genuine popular emotion, was followed by a pro-
were half brothers: S:a¯lih: (818–880), qa¯d:¯ı (“judge”) of Isfa-
cession that numbered in the hundreds of thousands. His
han and a transmitter of his father’s legal opinions; and EAbd
tomb became one of the most visited places of pilgrimage.
Alla¯h (828–903), a transmitter of most of his father’s works.
Poets hailed him as the hero (fata¯) of Islam. The scars he car-
In addition to the sons, a number of disciples carried on the
ried to his grave were the badges of his bravery.
transmission of Ah:mad’s legal thought contained in his
masa¯ Dil, including: (1) al-Kawsaj, a native of Merv who set-
Works. Among Ah:mad’s works are the Radd Eala¯
tled in Nishapur and died there in 865; he was a source for
al-jahm¯ıyah wa-al-zana¯diqah, Kita¯b al-sunnah, and Kita¯b
al-Bukha¯r¯ı, al-Tirmidh¯ı, and Ish:a¯q ibn Ra¯hawayh; (2) al-
al-masa¯ Dil, which present answers to questions addressed to
Athram (d. 874 or 875), who arranged what he collected of
him on dogmatics, law, and ethics, and the Kita¯b al-s:ala¯t, on
the masa¯ Dil according to the chapters of law books; (3)
ritual prayer and its performance. The Kita¯b al-wara E, on as-
H:anbal ibn Ish:a¯q (d. 886), Ah:mad’s first cousin; (4)
ceticism, is quoted extensively by Abu¯ T:a¯lib al-Makk¯ı in his
al-Maymu¯n¯ı (d. 887), of Raqqah, a disciple of Ah:mad from
Qu¯t al-qulu¯b (Sustenance of the souls), and again by
820 to 842 (al-Marda¯w¯ı, in his Ins:a¯f, attributes to
al-Ghaza¯l¯ı, whose Ih:ya¯D Eulu¯m al-d¯ın (Revivification of the
al-Maymu¯n¯ı one sixteen-volume work and two other large
religious sciences) is based on al-Makk¯ı’s work.
volumes, containing Ah:mad’s masa¯Dil); (5) al-Marwaz¯ı
By far the most celebrated work of Ibn H:anbal is his
(d. 888), one of Ah:mad’s favorite disciples and the transmit-
Musnad, a title that designates a collection of h:ad¯ıths resting
ter of his Kita¯b al-wara E; (6) Abu¯ Da¯Du¯d al-Sijista¯n¯ı
on the authority of the persons by whom they have been
(d. 888), author of Kita¯b al-sunan, one of the “six books,”
transmitted, traced back to the Prophet himself and arranged
so highly regarded that he was often compared with his pro-
under the names of the first guarantor of the h:ad¯ıths. This
fessor Ah:mad in learning and piety; (7) Abu¯ H:a¯tim al-Ra¯z¯ı
arrangement is distinguished from the one followed by the
(d. 890), author of a characteristically H:anba¯l¯ı traditionalist
generation after that of Ah:mad ibn H:anbal and referred to
profession of faith ( Eaq¯ıdah) against the legitimacy of philo-
as the S:ah:¯ıh:s, or collections of “sound” h:ad¯ıths. It has often
sophical theology (kala¯m); (8) H:arb al-Kirma¯n¯ı (d. 893), a
been said that these books constitute a codification of h:ad¯ıths
S:u¯f¯ı, who transmitted masa¯Dil of Ah:mad and of Ibn
in Islam, and because the Musnad of Ibn H:anbal is not in-
Ra¯hawayh; (9) Ibra¯h¯ım al-H:arb¯ı (d. 898), a philologist and
cluded among the “six books,” the implication is that its con-
h:ad¯ıth expert who was Ah:mad’s disciple for twenty years and
tents were not reliable. In contrast, the two s:ah:¯ıh:s of
was often compared with him in learning and piety.
al-Bukha¯r¯ı and Muslim were seen as the most important
Tenth century. The tenth century ushered in the rise of
works on h:ad¯ıth and the most “sound.” This interpretation
H:anba¯l¯ı literature. The name that dominates the early part
is misleading.
of this period is that of Abu¯ Bakr al-Khalla¯l (d. 923). He was
In fact, legal studies were in the process of development
a student of al-Marwaz¯ı, had a teaching post in the mosque
in the newly founded colleges of law that were flourishing
of al-Mahd¯ı, and knew Ah:mad’s son EAbd Alla¯h personally.
at the time. Because of the recent achievements of al-Sha¯fiE¯ı
It is to his scholarship that the H:anba¯l¯ı madhhab owes its
and Ibn H:anbal, institutionalized education had taken on a
first corpus juris and the first biographical history of the mad-
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3764
H:ANA¯BILAH
hhab, T:abaqa¯t al-h:ana¯bilah, of which some folios have sur-
A¯l-A¯jurr¯ı authored a Kita¯b al-shar¯ı Eah on Islamic law. Al-
vived and are preserved in the Z:a¯hir¯ıyah, the National Li-
T:abaran¯ı wrote three famous mu Ejams, a Kita¯b al-sunnah,
brary of Damascus.
and a musnad of the Syrian h:ad¯ıth experts.
Two other names dominate the first half of this period:
Eleventh century. The eleventh century ushered in the
al-Barbaha¯r¯ı and al-Khiraq¯ı. Al-Barbaha¯r¯ı (d. 941), a disci-
final phase of the period that brought about the restoration
ple of al-Marwaz¯ı and the S:u¯f¯ı Sahl al-Tustar¯ı, was an activ-
of Sunn¯ı traditionalism following the collapse of the ratio-
ist who struggled against the Sh¯ıEah and the MuEtazilah and
nalist-inspired Inquisition. It was a century that witnessed
fought for the reform of the Sunn¯ı caliphate, now under the
the emergence of the H:ana¯bilah at the head of a movement
influence of the Buyids. A true traditionalist, al-Barbaha¯r¯ı
that was the mainstay of the caliphate. A H:anba¯l¯ı of this
was hostile to kala¯m and opposed al-AshEar¯ı, his contempo-
century, Ibn Baqqa¯l (d. 1048), expressed the matter in this
rary. It is said that al-AshEar¯ı wrote his Iba¯nah after a discus-
statement made in the caliphal court in the presence of the
sion with al-Barbaha¯r¯ı, which, if true, would explain partly
vizier H:a¯jib al-NuEma¯n: “The caliphate is a tent, and the
al-AshEar¯ı’s rallying to the banner of Ibn H:anbal.
H:ana¯bilah are its tent ropes; should the tent ropes fall down,
Al-Barbaha¯r¯ı is a key figure in the social and political history
the tent would topple over.” The implication was clear. The
of this period.
caliphate must give its support to traditionalism, whose ad-
Al-Khiraq¯ı (d. 946) gave the H:ana¯bilah one of its most
herents are the guardians of the source of its legitimacy.
important works, Al-mukhtas:ar f¯ı al-fiqh (The Epitome on
The name that leads the first half of this century is that
Law), on which the fifteenth-century H:anba¯l¯ı Yu¯suf ibn
of Ibn H:a¯mid (d. 1012), the greatest H:anba¯l¯ı master and
EAbd al-Ha¯d¯ı reports that three hundred commentaries were
jurisconsult of his time. His Kita¯b al-ja¯mi E, in four hundred
written over the centuries. Al-Khiraq¯ı is said to have written
volumes, treated the divergences in legal opinions among the
many other works that did not enjoy wide diffusion. The rea-
jurisconsults. He wrote extensively on theology and on law
son given is that he had left Baghdad, and his books, appar-
and its theory and methodology, but none of his works is
ently lacking the diffusion they would have received had he
extant.
remained there, were eventually destroyed when his house
burned. Among his disciples were three members of the
Al-Shar¯ıf Abu¯ EAl¯ı al-Ha¯shim¯ı (d. 1037), a disciple of
H:ana¯bilah famous in their day: Ibn Bat:t:ah, Abu¯ al-H:asan
Abu¯ al-H:asan al-Tam¯ım¯ı, wrote many works, among them
al-Tam¯ım¯ı, and Ibn SamEu¯n.
Kita¯b al-irsha¯d on law, and a commentary on al-Khiraq¯ı’s
epitome on law. He had a study circle in the mosque of
Other H:anba¯l¯ı followers of repute belonging to this pe-
Mans:u¯r for legal opinions and notarial work. His Eaq¯ıdah has
riod include Abu¯ Bakr al-Sijista¯n¯ı (d. 928), Abu¯
been preserved in his biographical notices.
Muh:ammad al-Ra¯z¯ı (d. 939), and Abu¯ Bakr al-Najja¯d
(d. 959), a S:u¯f¯ı and h:ad¯ıth expert. This period also witnessed
Abu¯ EAl¯ı al-EUkbar¯ı, known as Ibn Shiha¯b (d. 1037),
some of the most fervently Sunn¯ı professions of faith
a disciple of Ibn Bat:t:ah, was a H:anba¯l¯ı of broad culture, ex-
(Eaq¯ıdahs), a constant in H:anba¯l¯ı history.
pert in the fields of law, belles lettres, QurDanic science,
h:ad¯ıth, and poetry, and was known for his legal opinions.
The names that stand out in the second half of this cen-
He was also a copyist, a profession that did not simply fur-
tury are those of Ibn SamEu¯n, Ibn Bat:t:ah, and Ibn H:a¯mid.
nish him with his livelihood but actually made him rich. In
Ibn SamEu¯n was a famous H:anba¯l¯ı S:u¯f¯ı who had studied
his will he left one-third of his property for the benefit of
under the direction of a number of S:u¯f¯ıs, among them Abu¯
H:anba¯l¯ı students of law, but they received none of it: The
Bakr al-Shibl¯ı and al-H:us:r¯ı (d. 981). Ibn SamEu¯n studied
sultan is said to have confiscated the estate. Al-EUkbar¯ı, in
h:ad¯ıth under Ibn Ab¯ı Da¯wu¯d, and held a number of sessions
an autobiographical note, said that he earned 25,000 dir-
in which he dictated h:ad¯ıths. Highly regarded in his own
hams from copying manuscripts, a good part of this coming
madhhab, he had a reputation—and disciples—far beyond
from his specialty of copying the D¯ıwa¯n (Collected works)
it. He is mentioned in the twenty-first of the Maqa¯ma¯t (As-
of the poet al-Mutanabb¯ı in three nights, on paper that cost
semblies) of al-H:ar¯ır¯ı, “Al-Ra¯z¯ıyah.” The two AshEar¯ı schol-
him five dirhams, which he would then sell for a sum be-
ars, al-Ba¯qilla¯n¯ı (d. 1013) and al-Isfara¯Din¯ı (d. 1027), as a
tween 150 and 200 dirhams.
mark of high respect when greeting him, used to kiss his
hand. Ibn Bat:t:ah is known especially for his two works
The second half of this century is led by Qa¯d:¯ı Abu¯ YaEla¯
Al-iba¯nah al-kubra¯ and Al-iba¯nah al-s:ughra¯, the second of
(d. 1066), whose name is cited extensively in the works of
which was translated and studied by the eminent Islamicist
his successors. He was a favorite disciple of Ibn H:a¯mid, who
Henri Laoust. Other important H:anba¯l¯ı personalities of this
chose him from among his students to teach the others dur-
period include Abu¯ Bakr al-A¯jurr¯ı (d. 971) and al-T:abaran¯ı
ing the master’s absence on the pilgrimage to Mecca. With
(d. 971). Al-A¯jurr¯ı, a S:u¯f¯ı and h:ad¯ıth expert, is claimed by
Abu¯ YaEla¯ is at the beginning of the period of H:anba¯l¯ı histo-
both the H:anba¯l¯ı and Sha¯fiE¯ı madhhabs, a phenomenon of
ry better served by the sources: More of its literature has been
rather frequent occurrence, because both madhhabs are pro-
preserved in the libraries of the Islamic and Western worlds.
foundly traditionalist and may well have come into existence
Abu¯ YaEla¯ was a successful master jurisconsult under whose
as “personal madhhabs” at approximately the same time.
direction some of the great H:anba¯l¯ı intellectuals studied and
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H:ANA¯BILAH
3765
became master jurisconsults in turn. It is in this period that
Sunnism against the Buyid Sh¯ıEah. The Seljuks pillaging the
madrasahs began to flourish in Baghdad. This is also the peri-
inhabitants of Baghdad in 1055, said the shar¯ıf, should be
od in which rationalist influences succeeded in getting a
brought to justice as highway robbers, because the inhabi-
hearing among some of the leading lights of the H:ana¯bilah.
tants had no defense against them. Abu¯ JaEfar led a turbulent
Abu¯ YaEla¯ is one, and Ibn EAq¯ıl, who belongs to this period
life, which often put him under house arrest or in prison. His
and the next, is another. The parents of both intellectuals
biographers seem to think that he did not die a natural death.
were of the H:anaf¯ı madhhab, where the ideas of the
At his funeral, the popular masses, his powerful arm against
MuEtazilah may well have been familiar to members of the
enemies, cried out during the procession: “Invoke God’s
family circles. That Abu¯ YaEla¯ was influenced by
mercy upon the shar¯ıf—martyred, assassinated, poisoned.”
kala¯m-theology may be clearly seen in his Mu Etamad f¯ı us:u¯l
al-d¯ın (The reliable book on the fundamentals of religion),
The other students of Abu¯ YaEla¯ finished their careers
where the influence of AshEar¯ı doctrines is palpable, although
in the first half of the twelfth century. Some who had begun
the author avoids the term kala¯m in the title and uses the
their legal studies with him completed them after his death
more traditionalist term us:u¯l al-d¯ın for “theology.”
with one or another of his older disciples. Among the
H:ana¯bilah of this period are Abu¯ al-Fath: al-H:ulwa¯n¯ı,
Among Abu¯ YaEla¯’s many works, Al-mu Etamad survives
al-Mukharrim¯ı, and Ibn Ab¯ı YaEla¯. Al-H:ulwa¯n¯ı (d. 1112),
only in his abridged version; other important writings in-
like Abu¯ JaEfar, was a jurisconsult and ascetic. He studied law
clude Al-ah:ka¯m al-sult:a¯n¯ıyah, a treatise on government and
first with Abu¯ YaEla¯, then with the shar¯ıf and YaEqu¯b
public administration with the same title and, for the most
al-Barzab¯ın¯ı. He is the author of the Kita¯b al-mubtad¯ı f¯ı al-
part, the same text as the work of al-Ma¯ward¯ı (d. 1058);
fiqh, a textbook on law for beginners. Ibn Ab¯ı YaEla¯ (“son
Al- Eumdah f¯ı us:u¯l al-fiqh, on legal theory and methodology,
of Abu¯ YaEla¯,” d. 1131) was the second of Abu¯ YaEla¯’s three
still in manuscript (Cairo); and Kita¯b al-riwa¯yatayn, on posi-
sons, and his name attests to the great renown of the father
tive law and also unpublished (Istanbul). Abu¯ YaEla¯’s stand-
as well as to that of this particular son. Ibn Ab¯ı YaEla¯ is
ing in the H:anba¯l¯ı madhhab is such that he came to be re-
known especially for his biobibliographical history of the
ferred to simply as “the judge” (al-qa¯d:¯ı), the organizer of his
H:anba¯l¯ı madhhab from its beginnings down to his day.
madhhab and one of its great teachers.
A great H:anba¯l¯ı mystic of this period is the celebrated
Two of Abu¯ YaEla¯’s students especially helped to spread
EAbd Alla¯h al-Ans:a¯r¯ı al-H:araw¯ı (d. 1088), of Herat (Persia)
the madhhab beyond the confines of Baghdad. Qa¯d:¯ı H:arra¯n
as indicated by his name. He studied in his hometown and
(d. 1083), whom Abu¯ YaEla¯ appointed as his judicial repre-
also in Nishapur, T:u¯s, Bist:a¯m, and Rayy. The origins of his
sentative in H:arra¯n, was the author of works on law, legal
membership in the H:anba¯l¯ı madhhab are not known, but
theory and methodology, and theology, none of which has
there is no doubt that he was a H:anba¯l¯ı, and a pugnacious
survived. Abu¯ al-Faraj al-Sh¯ıra¯z¯ı (d. 1094), who is credited
one to boot. He made this clear in his declarations, as well
with carrying the H:anba¯l¯ı madhhab to Jerusalem and Da-
as in his writings, which include Dhamm al-kala¯m, a con-
mascus, wrote on law and legal theory and methodology, as
demnation of kala¯m-theology; Mana¯qib al-Ima¯m Ah:mad, a
well as on traditionalist theology, which involved him in re-
biographical work extolling the excellence of Ibn H:anbal’s
current altercations with Syrian rationalists of the AshEar¯ı
virtues; and Mana¯zil al-sa¯ Dir¯ın, the most important H:anba¯l¯ı
movement. Al-Sh¯ıra¯z¯ı stands at the head of a long line of
treatise on mysticism. The last-named work attracted many
H:anba¯l¯ı descendants known collectively as “the family of
commentaries, including one by the H:anba¯l¯ı jurisconsult
Ibn al-H:anba¯l¯ı.”
and mystic Ibn Qayyim al-Jawz¯ıyah, the disciple of Ibn
One of Abu¯ YaEla¯’s students who deserves special men-
Tay-m¯ıyah, himself a jurisconsult and theologian, and a
tion is the shar¯ıf Abu¯ JaEfar (d. 1077), an activist of the stamp
member of the Qa¯dir¯ıyah S:u¯f¯ı order. Al-Ans:a¯r¯ı also wrote
of al-Barbaha¯r¯ı who was in constant struggle against what he
a Qas:¯ıdah da¯l¯ıyah (Ode rhyming in da¯l [the eighth letter of
considered to be the heretical innovations of his period. His
the alphabet]), a profession of faith in defense of H:anba¯l¯ı be-
fight against corrupt practices—prostitution and illicit alco-
liefs; the title was later taken up by al-Kalwadha¯n¯ı for the
holic beverages—brought him into conflict with officials of
same purpose. The biographer Ibn Rajab cites some of
the Seljuk sultan, as well as with those of the caliph, who was
al-Ans:a¯r¯ı’s other verses in which he declares that “My madh-
his first cousin. He was intransigent in his attitude against
hab is the H:anba¯l¯ı madhhab,” and again, “I am a H:anba¯l¯ı
the two rationalist movements, the MuEtazilah and the
and shall be one as long as I live, and, on my death bed, my
AshEar¯ıyah, in their attempt to strengthen their footholds in
last will and testament to my fellow Muslims will be that
the capital. Among his writings, the best known is his Ru Du¯s
they follow the principles of Ibn H:anbal.” What al-Ans:a¯r¯ı
al-masa¯ Dil, a work on positive law in which he argues in favor
meant was that they should become traditionalists in opposi-
of the legal opinions of Ah:mad ibn H:anbal, a manuscript of
tion to the rationalism of the AshEar¯ı movement that he op-
which is in the Z:a¯hir¯ıyah in Damascus. Ibn EAq¯ıl, in his
posed: “Our God shall be seen sitting on his throne [i. e.,
Kita¯b al-funu¯n, has preserved a legal opinion of Shar¯ıf Abu¯
beatific vision]; his word is eternal [i. e., the QurDa¯n is not
JaEfar that throws some light on the Seljuk forces who in-
created]; his prophet is Arab. Anyone who says other than
vaded Baghdad in mid-century, long hailed as the saviors of
this is an AshEar¯ı!”
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H:ANA¯BILAH
YaEqu¯b al-Barzab¯ın¯ı (d. 1093) was a classmate of Shar¯ıf
the H:anba¯l¯ı vizier Ibn Hubayrah (d. 1165). The caliph
Abu¯ JaEfar. They completed their legal studies together, were
al-Mustaz:hir appointed al-D¯ınawar¯ı to the chair vacated by
both received as notaries by the chief qa¯d:¯ı Damaghan¯ı, and
the death of his professor al-Kalwadha¯n¯ı in the mosque of
then began to teach law during the lifetime of their master,
Mans:u¯r, and the event is reported by Ibn EAq¯ıl along with
Abu¯ YaEla¯. Al-Barzab¯ın¯ı wrote a ta El¯ıqah (summa) that was
the disputations on law that usually took place in honor of
the abridgment of that of his teacher Abu¯ YaEla¯; extracts from
the inauguration of the new professor of law.
it appear in the Dhayl of Ibn Rajab. T:alh:ah al-EA¯qu¯l¯ı
Abu¯ al-H:asan al-Za¯ghu¯n¯ı (d. 1132), a contemporary of
(d. 1118), who began his legal studies under Abu¯ YaEla¯, was
Ibn EAq¯ıl, was the H:anba¯l¯ı master jurisconsult who came
one of al-Barzab¯ın¯ı’s first students. Like both his teachers,
closest to Ibn EAq¯ıl in breadth of knowledge. The extensive
he too became a qa¯d:¯ı and professor of law; he taught two
list of his books given by Ibn Rajab includes works on posi-
works of Abu¯ YaEla¯ on the latter’s formal authorization and
tive law, disputed questions of law, decedents’ estates, theol-
had a post in the mosque of Mans:u¯r, where he held sessions
ogy, and legal theory and methodology, a collection of his
of legal disputation. Ibn Quda¯mah cites him in the Mughn¯ı
academic sermons, a history, collections of legal opinions
and his Ka¯f¯ı.
(fata¯wa¯), and h:ad¯ıth, none of which has survived. He had
Abu¯ SaEd al-Mukharrim¯ı (d. 1119), jurisconsult and
a chair for legal disputations and academic sermons in the
S:u¯f¯ı, headed the first H:anba¯l¯ı madrasah in Baghdad; hereto-
mosque of Mans:u¯r. Two great H:anba¯l¯ı scholars were his stu-
fore the madhhab’s institutions of learning had been mainly
dents: S:adaqah ibn al-H:usayn and Ibn al-Jawz¯ı.
mosque-colleges (masjids). His legal studies took place with
the qa¯d:¯ı Abu¯ YaEla¯, then with the shar¯ıf Abu¯ JaEfar, and final-
Among the original minds of the century stood the tow-
ly with the qa¯d:¯ı YaEqu¯b al-Barzab¯ın¯ı. He too was a qa¯d:¯ı in
ering figure of Ibn EAq¯ıl (d. 1119). His family background
the Ba¯b al-Azaj quarter on Baghdad’s east side, where he
was H:anaf¯ı-MuEtazil¯ı. At the age of sixteen he began his legal
built his madrasah sometime between 1102 and 1117. This
studies in the H:anba¯l¯ı madhhab. During his graduate years
was the madrasah that later became known as that of the
he studied MuEtazil¯ı kala¯m-theology privately and in secret.
H:anba¯l¯ı S:u¯f¯ı EAbd al-Qa¯dir al-J¯ıla¯n¯ı. Al-J¯ıla¯n¯ı enlarged it
After the death of his rich and powerful H:anba¯l¯ı patron, Abu¯
and made it into a madrasah and riba¯t: (monastery) for juris-
Mans:u¯r ibn Yu¯suf, in 1067, he was pursued by a faction of
consults and S:u¯f¯ıs. Ibn Rajab emphasizes that Abu¯ SaEd
his H:anba¯l¯ı madhhab and was forced to go into hiding for
al-Mukharrim¯ı stood at the head of a long line of S:u¯f¯ıs, as-
a period of five years. Finally in 1072, in order to regain his
cetics, and h:ad¯ıth masters. His name occurs in the S:u¯f¯ı pedi-
freedom, he signed a retraction in which he abjured the
grees of later H:anba¯l¯ı scholars.
MuEtazilah and the veneration he had shown for the great
mystic al-H:alla¯j in a treatise. Reflecting on this retraction in
Abu¯ Kha¯zim ibn Ab¯ı YaEla¯ (d. 1133), born one year be-
later life, Ibn EAq¯ıl said that his companions had misunder-
fore the death of his famous father, was the last of Abu¯ YaEla¯’s
stood his intention in studying under the direction of
three sons and bore the name of his paternal uncle, Abu¯
MuEtazil¯ı masters: “My H:anba¯l¯ı companions demanded that
Kha¯zim. He studied law, the disputed questions, and legal
I cease my relations with a certain group of intellectuals, and
theory and methodology with al-Barzab¯ın¯ı. He wrote on the
this prevented me from acquiring useful knowledge.” As for
disputed questions and issued a commentary on al-Khiraq¯ı’s
his treatise in veneration of al-H:alla¯j, it appears to have re-
Epitome.
mained in circulation among S:u¯f¯ıs of the H:anba¯l¯ı madhhab.
Abu¯ al-Khat:t:ab al-Kalwadha¯n¯ı (d. 1116) was one of the
With Ibn EAq¯ıl traditionalist thought reached new
great disciples of Abu¯ YaEla¯. Essentially a jurisconsult,
heights of achievement. His writings give evidence of a genu-
al-Kalwadha¯n¯ı excelled in law and its disputed questions.
ine attempt to achieve harmony between faith and reason.
His reputation in law was so great that the celebrated Sha¯fiE¯ı
His two outstanding works are Kita¯b al-funu¯n, of which only
jurisconsult and ambassador of the sultan Burkiya¯ru¯q to the
one of two hundred volumes has survived, and Al-wa¯d:ih: f¯ı
caliph would exclaim at the approach of al-Kalwadha¯n¯ı:
us:u¯l al-fiqh, a summa on legal theory and methodology writ-
“Here comes Law.” His writings include the unpublished
ten according to the scholastic method later to be used in the
Al-tamh¯ıd on legal theory and methodology (Z:ahir¯ıyah) and
Christian West.
Al-tahdh¯ıb f¯ı al-fara¯ Did:, on decedents’ estates, also unpub-
lished (Munich), which was criticized by the H:anba¯l¯ı vizier
Besides the schools of Harran, Damascus, and Herat,
Ibn Yu¯nus (d. 1197) in his Awha¯m Ab¯ı al-Khat:t:ab. Among
the H:ana¯bilah, by this time, had also spread to Isfahan,
his other works are the “Ode rhyming in da¯l” (Damascus,
where EAbd al-Rah:ma¯n ibn Mandah (d. 1077) was as much
1908), the profession of faith that is his only known work
an activist as the S:u¯f¯ı al-H:araw¯ı al-Ans:a¯r¯ı was in Herat.
treating of theology, and numerous treatments of positive
Among Ibn Mandah’s works is a refutation of the Jahm¯ıyah.
law.
Twelfth century. The H:anba¯l¯ı names that dominate the
The most brilliant and successful student of al-
twelfth century are those of Ibn Hubayrah, EAbd al-Qa¯dir
Kalwadha¯n¯ı was Abu¯ Bakr al-D¯ınawar¯ı (d. 1138), who was
al-J¯ıla¯n¯ı, and Ibn al-Jawz¯ı. Less famous, but no less interest-
in turn the professor of law of the well-known polymath Ibn
ing because of his membership in the H:anba¯l¯ı madhhab, is
al-Jawz¯ı (d. 1200), as well as of Ibn al-Muna¯ (d. 1187) and
the unusual figure of S:adaqah ibn al-H:usayn.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
H:ANA¯BILAH
3767
Ibn Hubayrah received his H:anba¯l¯ı education under
QurDa¯n and its sciences,” according to an autobiographical
Abu¯ al-H:usayn ibn al-Farra¯D (d. 1132), Ibn al-Za¯ghu¯n¯ı, and
note—at the age of thirteen. A famous preacher and sermon
Abu¯ Bakr al-D¯ınawar¯ı and studied the literary arts under
writer whose talents were highly praised by the Spanish Mus-
al-Jawa¯l¯ıq¯ı, the H:anba¯l¯ı grammarian who succeeded his
lim traveler Ibn Jubayr, Ibn al-Jawz¯ı said he preached his first
master al-Tibr¯ız¯ı to the post of grammarian in the Madrasah
sermon at the age of seventeen. Into the works of this poly-
Niz:a¯m¯ıyah. Ibn Hubayrah became vizier of Caliph
math passed a great amount of the writings of Ibn EAq¯ıl, Ibn
al-Muqtaf¯ı in 1149 and remained in that post under al-
Hubayrah, and others otherwise lost. He first studied law
Mustanjid for a total of sixteen years, until his death in 1165.
under the direction of Ibn al-Za¯ghu¯n¯ı, whom he was later
He founded a madrasah, endowed it, and established his own
to criticize; after Ibn al-Za¯ghu¯n¯ı’s death he studied with
library in it as a waqf in perpetuity. He wrote a work on
al-D¯ınawar¯ı, Abu¯ YaEla¯ the Minor, grandson of Qa¯d:¯ı Abu¯
grammar, Al-muqtas:id, an epitome of Ibn al-Sikk¯ıt’s Is:la¯h:
YaEla¯, and al-Nahrawa¯n¯ı, under whom he worked as repeti-
al-mant:iq, and a work on the five pillars of Islamic worship,
tor (mu E¯ıd), and whom he succeeded as professor of law in
Al- Eiba¯da¯t al-khams. But his most important work is his
his two madrasahs. By the year 1179, he held five professor-
Kita¯b al-ifs:a¯h: (Aleppo, 1928), a commentary on the h:ad¯ıth
ships of law in madrasahs of which he was also the adminis-
collections of al-Bukha¯r¯ı and Muslim, within which a whole
trator. That date also coincides with the date his history of
independent work on law was written as commentary on a
Baghdad, Al-muntaz:am, is terminated. With Ibn al-Jawz¯ı,
single one of its h:ad¯ıths. In preparation for the writing of
the H:anba¯l¯ı madhhab reached the apex of its influence in the
Kita¯b al-ifs:a¯h:, the vizier spent 113,000 dinars to invite schol-
Abbasid capital, owing in large measure to his own weight
ars from all parts for discussions on law. The work contains
with the caliph. Under the vizierate of the H:anba¯l¯ı Ibn
those doctrines on which there was unanimity among the
Yu¯nus (d. 1197), Ibn al-Jawz¯ı was once again active in public
four eponymous imams of the Sunn¯ı madhhabs as well as
life, but he lived the life of an exile in Wa¯sit: from 1194 to
questions that remained in dispute. The Kita¯b al-ifs:a¯h: was
1199, when he was allowed, through the intervention of the
copied and used far and wide.
caliph’s mother, to return to Baghdad. He died two years
E
later.
Abd al-Qa¯dir al-J¯ıla¯n¯ı is the famous H:anba¯l¯ı S:u¯f¯ı
whose S:u¯f¯ı brotherhood is still prosperous in the present day.
S:adaqah ibn al-H:usayn was the most atypical H:anba¯l¯ı
He studied law under al-Mukharrim¯ı, al-Kalwadha¯n¯ı, Ibn
intellectual, a veritable maverick of his madhhab. He was a
EAq¯ıl, and Abu¯ al-H:usayn ibn al-Farra¯D. In a recently pub-
jurisconsult, belletrist, poet, philosophical theologian, and
lished S:u¯f¯ı silsilah (“chain”) of initiation for Ibn Quda¯mah,
historian. Unfortunately, none of his works are extant. He
al-Mukharrim¯ı, previously known only as a jurisconsult, ap-
studied dialectic, kala¯m, decedents’ estates, and, in secret,
pears for the first time as the S:u¯f¯ı who passed on the S:u¯f¯ı
logic and philosophy. Unlike his contemporary Ibn al-Jawz¯ı,
cloak (khirqah) of initiation to EAbd al-Qa¯dir. It was also the
he lived a secluded life teaching in his mosque-college in the
madrasah of al-Mukharrim¯ı to which EAbd al-Qa¯dir suc-
Badr¯ıyah quarter (Ba¯b Badr) on Baghdad’s east side, where
ceeded as administrator, professor of law, and S:u¯f¯ı master;
he led the people in prayer, issued legal opinions to those
under his direction the institution was enlarged, and it has
who solicited them from him, and taught various subjects to
been maintained on Baghdad’s east side down to this day.
students who frequented his mosque. One of his works, on
He studied Sufism under the S:u¯f¯ı shaykh H:amma¯d
theology, is entitled D:awD al-sa¯r¯ı f¯ı ma Erifat al-Ba¯r¯ı (A torch
al-Dabba¯s (d. 1131), who was severely criticized by Ibn
in the night to light the way toward God); his history is a
EAq¯ıl. EAbd al-Qa¯dir wrote two well-known works: Al-
continuation of that of his teacher Ibn al-Za¯ghu¯n¯ı covering
ghunyah li-t:a¯libi t:ariq al-h:aqq (The seeker’s sufficiency in
the period from the latter’s death in 1132 to a period close
search of the truth), in which, basing his teachings on the
to his own death. Like the Muntaz:am of Ibn al-Jawz¯ı, it was
QurDa¯n and the sunnah, he included an Eaq¯ıdah of profound-
an annalistic and biographical work.
ly orthodox inspiration that is a succinct presentation of
H:anba¯l¯ı traditionalist beliefs. He was severely criticized by
Later period. From this point to the fall of Baghdad to
his H:anba¯l¯ı contemporary Ibn al-Jawz¯ı, no doubt because
the Mongols in the middle of the thirteenth century, the
of scholarly rivalry, but was ably defended by EAbd al-Ghan¯ı
H:ana¯bilah no longer boast of names comparable in reputa-
al-Maqdis¯ı, Ibn Quda¯mah, and Ibn Taym¯ıyah. The last two
tion to those just treated. Nevertheless, there are some figures
are known to have belonged to the S:u¯f¯ı order of EAbd
worthy of a place in the history of H:anba¯l¯ı thought. Ibn
al-Qa¯dir, and perhaps also EAbd al-Ghan¯ı, who, with his
al-Ghazza¯l (d. 1218), known as a sermon writer, wrote a trea-
cousin Ibn Quda¯mah, had studied with EAbd al-Qa¯dir for
tise on the mystic al-H:alla¯j in which he made use of Ibn
E
the period of forty days that preceded the S:u¯f¯ı master’s
Aq¯ıl’s earlier work on this mystic. Ibn Nuqt:ah (d. 1232) was
death.
a h:ad¯ıth expert and historian whose history, not extant, is
often cited as a source. Al-Qat:¯ıE¯ı (d. 1237), a disciple of Ibn
Ibn al-Jawz¯ı, whose life spanned all but thirteen years
al-Jawz¯ı, wrote a continuation of al-SamEa¯n¯ı’s (d. 1168) con-
of this twelfth century, was a jurisconsult, h:ad¯ıth expert, his-
tinuation of the History of Baghdad of al-Khat:¯ıb al-Baghda¯d¯ı
torian, preacher, and polemist. A prolific author, he wrote
(d. 1071). Al-EUlth¯ı (d. 1237) was a pious ascetic who criti-
his first work—a “bibliography of works pertaining to the
cized the policies of Caliph al-Na¯s:ir, the S:u¯f¯ı practices 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
3768
H:ANA¯BILAH
disciple of EAbd al-Qa¯dir al-J¯ıla¯n¯ı, and Ibn al-Jawz¯ı’s allegor-
Qawa¯ E¯ıd (Cairo, 1933) is an important work on jurispru-
ical interpretation of the divine attributes. Muh:y¯ı al-D¯ın
dence.
Yu¯suf (d. 1258), son of Ibn al-Jawz¯ı, was a S:u¯f¯ı and held the
Of the Muflih: family, Shams al-D¯ın ibn Muflih:
post of muhtasib (market superintendent) of Baghdad under
(d. 1361), a student of Ibn Taym¯ıyah, is the author of
Caliph al-Na¯s:ir. He was considered more expert than his fa-
Al-a¯da¯b al-shar E¯ıyah (3 vols., Cairo, 1929–1930), and the
ther in jurisprudence and dialectic. He wrote several works,
chief qa¯d:¯ı Burha¯n al-D¯ın ibn Muflih: (d. 1480) authored a
including Al-¯ıd:a¯h: f¯ı al-jadal (Dialectic Made Clear), which
history of the H:ana¯bilah, not extant. A member of the EAbd
is still in manuscript. While on an official visit in Damascus
al-Ha¯d¯ı family also deserves mention: Yu¯suf ibn EAbd
in 1254, he founded a madrasah called al-Jawz¯ıyah. Return-
al-Ha¯d¯ı (d. 1503), a prolific author, many of whose works
ing to Baghdad, he was killed, with his three sons, during the
are preserved in the Za¯hir¯ıyah. He was a voracious reader,
Mongol invasion four years later.
and his signature is found on the margins of a great many
With the fall of Baghdad, Damascus became the center
manuscripts in that library and elsewhere. One of his stu-
of learning for the H:anba¯l¯ı madhhab, whose masters had
dents in h:ad¯ıth, the H:anaf¯ı historian Ibn T:u¯lu¯n (d. 1546),
perfected their studies in Baghdad. Important H:anba¯l¯ı intel-
wrote his biography. Among the other H:anba¯l¯ı scholars wor-
lectual dynasties developed in Damascus over the years: the
thy of mention, the following may be cited: al-Marda¯w¯ı
descendants of the eleventh-century al-Sh¯ıra¯z¯ı who became
(d. 1481), author of Kita¯b al-ins:a¯f, a twelve-volume work on
known as the family of “Ibn al-H:anba¯l¯ı,” the Munajja¯ family
law, and Kita¯b al-tah:r¯ır, on legal theory and methodology;
founded by Waj¯ıh al-D¯ın AsEad ibn Munajja¯ (d. 1209), and
al-Huja¯w¯ı (d. 1561), whose Iqna¯ E is a basic manual on
the Quda¯mah family, also referred to as the Maqa¯disah (sg.,
H:anba¯l¯ı law; al-Bahu¯t¯ı (d. 1641), the well-known H:anba¯l¯ı
Maqdis¯ı), meaning those who came to Damascus from Pal-
author who taught at al-Azhar; Ibn al-EIma¯d (d. 1679), au-
estine (Jamma¯E¯ıl, a place near Jerusalem, Bayt al-Maqdis).
thor of a history, mainly biographical, from the year AH 1
The most well-known member of the third family is Muwaf-
to the year AH 1000 (622–1592 CE); EAbd al-Rah:ma¯n al-BaEl¯ı
faq al-D¯ın ibn Quda¯mah (d. 1223). D:iya¯D al-D¯ın
(d. 1778), S:u¯f¯ı disciple of EAbd al-Ghan¯ı al-Na¯bulus¯ı who
al-Maqdis¯ı (d. 1245), who had gone to Baghdad to perfect
introduced him to the Sufism of Ibn EArAb¯ı and Ibn
his studies, brought back to Damascus works with which he
al-Fa¯rid:.
later endowed the madrasah he founded in Baghdad called
The H:ana¯bilah, through Ibn Taym¯ıyah, influenced two
the D:iya¯D¯ıyah. Many of the works of this madrasah are now
modern movements, the Wahha¯b¯ıyah and the Salaf¯ıyah. It
in the Z:a¯hir¯ıyah in Damascus.
is through these two movements, in Arabia and Egypt respec-
tively, that works of the H:ana¯bilah and their teachings, espe-
Another exodus from H:arra¯n brought to Damascus the
cially those of Ibn Taym¯ıyah, were made known. And it is
Taym¯ıyah family, the most illustrious member of which was
in connection with the Wahha¯bi movement, which was mis-
Ah:mad ibn Taym¯ıyah (d. 1328). Two other members of the
represented and opposed by the Ottomans, that misconcep-
family were Fakhr al-D¯ın ibn Taym¯ıyah (d. 1226), a disciple
tions developed among modern scholars regarding the
of Ibn al-Jawz¯ı and professor of law in the madrasah founded
H:ana¯bilah.
by Nu¯r al-D¯ın in Harran; and Majd al-D¯ın ibn Taym¯ıyah
(d. 1254), nephew of Fakhr al-D¯ın and grandfather of the
SEE ALSO AshEar¯ıyah; H:ad¯ıth; Ibn EAbd al-Wahha¯b,
famous Ibn Taym¯ıyah. The son, EAbd al-H:al¯ım (d. 1283),
Muh:ammad; Ibn Taym¯ıyah; Kala¯m; Madhhab; MuEtazilah;
qa¯d:¯ı of Harran, was the one who fled from the Mongols and
Sha¯fiE¯ı, al-; Wahha¯b¯ıyah; Waqf.
took the family to Damascus. The famous son, Taq¯ı al-D¯ın
Ah:mad ibn Taym¯ıyah, the father, and the grandfather col-
BIBLIOGRAPHY
laborated, each after the other, on a work in the field of legal
Arabic Sources
theory and methodology called Al-musawwadah (The draft),
Ibn Ab¯ı YaEla¯. T:abaqa¯t al-h:ana¯bilah. 2 vols. Edited by M. H.
of which Ah:mad ibn Taym¯ıyah’s disciple, Shiha¯b al-d¯ın
Fiq¯ı. Cairo, 1952.
Ah:mad al-H:arra¯ni al-Dimashqi (d. 1344), made a fair copy,
Ibn al-EIma¯d al-H:anba¯l¯ı. Shadhara¯t al-dhahab f¯ı akhba¯r man
distinguishing between the contributions of the three au-
dhahab. 8 vols. Cairo, 1931–1933.
thors (Damascus, 1964).
Ibn al-Jawz¯ı. Mana¯qib al-ima¯m Ah:mad ibn H:anbal. Cairo, 1930.
Among Ah:mad ibn Taym¯ıyah’s disciples, by far the
Ibn al-Jawz¯ı. Al-muntaz:am f¯ı ta Dr¯ıkh al-mulu¯k wa-al-umam. 6
most famous was Ibn Qayyim al-Jawz¯ıyah, a S:u¯f¯ı like Ibn
vols. Edited by Fritz Krenkow. Hyderabad, 1939–1940.
Taym¯ıyah. Just as Ibn Taym¯ıyah wrote a commentary on
Ibn EAq¯ıl, Abu¯ al-Wafa¯ EAl¯ı. Kita¯b al-funu¯n. 2 vols. Edited by
the S:u¯f¯ı work of EAbd al-Qa¯dir, Futu¯h: al-ghayb, Ibn Qayyim
George Makdisi. Beirut, 1970–1971.
commented on the Mana¯zil al-sa¯ Dir¯ın of al-Ans:a¯r¯ı
Ibn Badran. Al-madkhal ila¯ madhhab al-ima¯m Ah:mad ibn H:anbal.
al-H:araw¯ı. He also wrote I Ela¯m al-muwaqqi E¯ın, on legal the-
Cairo, 1931.
ory and methodology, and a profession of faith in verse
Ibn Rajab, EAbd al-Rah:ma¯n ibn Ah:mad. Dhayl Eala¯ T:abaqa¯t
(rhyming in the letter nu¯n), Al-nu¯n¯ıyah. Ibn Rajab, a disciple
al-H:ana¯bilah. 2 vols. Edited by M. H. Fiqi. Cairo, 1953.
of Ibn Qayyim, wrote the well-known history of the
Shat:t:i, Jam¯ıl ibn EUmar al-. Mukhtas:ar T:abaqa¯t al-H:ana¯bilah.
H:ana¯bilah from 1068 as a continuation of Ibn Ab¯ı YaEla¯. His
Damascus, 1920.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HANDS
3769
Studies
the Five Pillars of Islam (shaha¯dah, “testifying” to the unity
Brockelmann, Carl. Geschichte der arabischen Literatur. 2d ed. 2
of God and the apostlehood of Muhammad; ´sala¯t, “ritual
vols. Leiden, 1943–1949.
prayer”; zaka¯t, “almsgiving”; ´sawm, “fasting”; h:ajj, “pilgrim-
Laoust, Henri. “Le H:anba¯l¯ısme sous le califat de Bagdad.” Revue
age”) or the five holy personages (Muh:ammad, Fat:imah,
des études islamiques 27 (1959): 67–128.
EAl¯ı, H:asan, and H:usayn).
Laoust, Henri. “Le H:anba¯l¯ısme sous les Mamlouks Bahrides.”
The frequent attribution of hands to deity in religions
Revue des études islamiques 28 (1960): 1–71.
both ancient and contemporary bears witness to a peculiar
Makdisi, George. “L’isnad initiatique soufi de Muwaffaq ad-Din
anthropomorphic persistence. In the Hindu religion, the
ibn Qudama.” In Louis Massignon, edited by Jean-François
arms and hands of S´iva seem furthermore to challenge the
Six, pp. 88–96. Paris, 1970.
preeminence of the primordial and creative word, which is
Makdisi, George. The Rise of Colleges: Institutions of Learning in
also at the core of creation in the Abrahamic traditions of Ju-
Islam and the West. Edinburgh, 1981.
daism, Christianity, and Islam. Similarly, although God is
Massignon, Louis. The Passion of al-Hallaj: Mystic and Martyr of
depicted as creating by means of speech in both the Bible and
Islam. 4 vols. Translated by Herbert Mason. Princeton, N.J.,
the QurDa¯n, in both he is also represented as having created
1982.
humankind, alone among creatures, with his hands. “When
Schacht, Joseph. The Origins of Muhammadan Jurisprudence. Ox-
thy Lord said to the angels, ‘See, I am creating a mortal of
ford, 1950.
a clay. When I have shaped him, and breathed my spirit in
him, fall you down, bowing before him!’ Then the angels
Sezgin, Fuat. Geschichte des arabischen Schrifttums. 9 vols. Leiden,
1967–1984.
bowed themselves all together, save Ibl¯ıs; he waxed proud,
and was one of the unbelievers. Said he, ‘Ibl¯ıs, what prevent-
GEORGE MAKDISI (1987)
ed thee to bow thyself before that I created with my own
hands?’” (QurDa¯n 38:72–76). Regardless of whether this pas-
sage is interpreted literally or symbolically, it testifies to a
HANDS
special link between God and humankind in which spirit,
are a key factor in what it means to be human,
clay, and molding hands figure centrally.
because they interact with the intelligence in probing, ma-
nipulating, and transforming matter for cultural ends. The
WORSHIP, PRAYER, AND MEDITATION. The most general
hands are also the most expressive and versatile members of
use of hands ritually is in prayer. In the Christian tradition,
the body for symbolic and ritual gestures and tasks, whether
many Protestants hold the hands palm to palm with fingers
social, religious, or magical. Hands give and receive, grasp
interlocked, as did ancient Romans and Sumerians. Roman
and relinquish; they strike, protect, punish, and caress.
Catholics have often preferred to place the palms together
Hands beckon, greet, and wave goodbye; they warn, admon-
with fingers pointing upward, a position found also in
ish, and direct; they also pull apart and dismantle, heal and
Hindu and Buddhist piety. Romans and Greeks prayed to
repair, assemble, divide and gather.
the deities of the underworld with hands pointing down-
AS SYMBOLS OF DEITY. The QurDa¯n speaks of God’s hand
ward. Many peoples touch altars and shrines with their hands
bestowing bounty and blessing as well as exercising power
while praying for blessings. Ancient Christians in the cata-
over all things (67:1). The hand is mentioned often in the
combs are known to have prayed with arms and hands
Bible as a symbol of God’s power and guidance. In Hindu
stretched out to the sides in imitation of crucifixion. In Mus-
iconography, some representations of deity—preeminently
lim petitionary prayer (du Ea¯D), the hands are held out in front
S´iva Na¯t:ara¯ja, lord of the dance—have multiple hands and
of the body with palms open upward; after the words have
arms, symbolizing omnicompetence; this meaning is further
been uttered, the palms are rubbed across the face. The clap-
enriched by the precise symbolism in Hindu thought of fin-
ping of hands in praise was known among the ancient He-
gers, palms, and other parts of the hand.
brews and Egyptians, and it is still practiced in certain ritual
contexts by Africans, Chinese, and Japanese. The Sioux were
In religious iconography overall, hands occur in a wide
known to raise their arms with the palms of the hands turned
variety of gestures. For example, Christ as cosmic ruler is de-
toward a sacred presence, after which they would lower the
picted with raised right hand, palm facing outward in a ges-
hands toward the earth. Raising the hands has sometimes
ture of benediction and peace. Images and pictures of the
been a gesture of adoration of deity, for example, when the
Buddha feature various mudra¯s, that is, signs or gestures
priest raises the Host and the chalice during the celebration
made by the hands—such as the “fear not” position, which
of the Christian Eucharist. Ancient Egyptians raised both
resembles the blessing of Christ. Other mudra¯s include ex-
hands with palms facing the shrine.
tending the hand toward the ground to call the earth to wit-
ness and “preaching the Dharma,” both hands raised in front
The Hindu and Buddhist ritual hand gestures known
of the chest. Even in aniconic Islam, the talisman known
as mudra¯s are the most highly elaborated in religious history.
sometimes as the EHand of Fat:imahD is a prominent anthro-
Mudra¯ as a sacred hand language is widely employed in the
pomorphic symbol of divine protection. Depending on
ritual, dance, drama, and iconography of South and South-
whether one is Sunn¯ı or Sh¯ıE¯ı, the fingers represent either
east Asia. The great Vajraya¯na stupa of Borobudur, in Cen-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3770
HANDS
tral Java, contains hundreds of sculptures and reliefs portray-
have been used in healing as well as in other magical opera-
ing Buddhas whose hands form mudra¯s symbolizing the
tions.
whole range of Buddhist teachings.
Decoration of the hands, such as by tattooing, is known
BLESSINGS, OATHS, AND CONSECRATIONS. The use of the
widely. Men of the Mentawai Islands, near Sumatra, tattoo
hand in blessing is widely known. In the Bible, the hand is
their hands in order to wipe out the evil influences of blood
raised over or toward those to be blessed (Lv. 9) and some-
spilled in their village. Coptic Christians in Egypt have tradi-
times placed on the head of a person (Gn. 48:14). A central
tionally worn on the back of the hand or on the wrist a tat-
Christian blessing is the sign of the cross made with the
tooed cross, employed for identification as a Christian in case
hands, a gesture performed slightly differently by Roman
of death among strangers in that predominantly Muslim
Catholics and Greek Orthodox: The former move the hand
country. At festive times, such as Arabian tribal weddings,
from the forehead to the breast and then from the left to the
women sometimes color their hands with henna. In many
right shoulder, whereas the latter perform the final motion
parts of India as well, women decorate their hands with
from right to left shoulder. The hand is also used in Chris-
henna on festive occasions. Hands are also frequently
tianity to sprinkle holy water, to baptize either by sprinkling
adorned with rings, intended for protection as well as for
or pouring, and to anoint.
fashion. In Java, men wear rings set with various stones be-
The laying on of hands in ordinations and other forms
lieved to act as powerful amulets against harmful spirits and
of consecration is known from the Bible and other sources.
spells as well as against more tangible dangers such as poison-
A similar gesture was performed in ancient Egypt, where the
ous snakebite. Javanese men commonly allow their thumb-
gods were believed to lay their hands on the head of the new
nails to grow very long in imitation of a mythical hero,
pharaoh. In some Christian groups, for example, among
Warkudara, who persisted steadfastly in all endeavors and
Baptists, a “right hand of fellowship” is extended by the
could not be cheated. He is depicted in shadow puppetry
members of the congregation to newly baptized communi-
(wayang kulit) with bladelike thumbnails, symbols of his
cants.
valor and fighting skills.
RITUAL AVOIDANCES AND MUTILATIONS. Washing the
A very prominent and widespread category of hand ges-
hands has been a widespread symbol of cleansing the self of
tures has existed in connection with oath taking; among
sin and guilt, and a symbol of ritual purity generally. Veiling
these are raising the hand, touching a sacred object (e.g.,
the hands has also been practiced, usually because their un-
Bible, altar, scepter, weapon), clasping hands, pointing at a
cleanness in the presence of sacred things threatens the effica-
holy thing, and touching one’s own breast. In medieval
cy of ritual. Sometimes covering the hands has symbolized
Islam, new caliphs were acknowledged and legitimized by the
a person’s inferior social or ritual status.
bay Eah, a survival of an ancient Arabian oath of allegiance
symbolized by raising the right hand and then clasping the
The left hand is widely considered to be unclean, and
hand of the ruler or his designated representative, with God
performing a task or keeping something in place with this
as witness.
hand is generally considered inappropriate. The reasons are
probably not so simple as that the left hand is reserved for
APOTROPAIC AND MAGICAL USES. The sign of the cross has
humble tasks, such as the toilet; perhaps such use is recom-
been made for a great variety of reasons, not the least of
mended because the left hand and the left side of the body
which has been to ward off demons and other evils. Another
generally are thought to be inherently inferior to the right.
potent hand gesture has been the sign of the “horns,” a fist
The predominance of the right hand among all peoples is
with the index and little finger extended, thought to be effi-
well known, and even when a child’s natural preference may
cacious against harmful spells and persons. Alternatively, a
be for the left hand, he or she is often trained to use the right
person who felt threatened by an occult danger might extend
hand instead. The auspicious character of the right hand is
all the fingers of a hand toward the antagonist (real or imag-
maintained in the English word dexterous (Lat., dextra,
ined) and say, “Five in the eye!” This archaic apotropaic ges-
“right”); the word sinister (Lat., sinistra, “left”), too, speaks
ture of the Mediterranean Basin is often expressed in North
for itself.
Africa and Egypt by means of a talisman in the shape of a
hand or by grains of wheat.
In predominantly Muslim regions such as Malaysia and
Indonesia, as well as in other Islamic countries, the right
Positive and negative imprints of human hands, for ex-
hand is used for greeting, gesturing, handing over or receiv-
ample, in red ochre, appear frequently in prehistoric cave art
ing objects, and touching others. It is considered extremely
as well as in many contexts since. Such imprints are often
rude as well as inauspicious to use the left hand for any of
thought to protect against the evil eye and other misfortunes.
those functions. In the QurDa¯n, God is said to give, on Resur-
Magical healing often features hand gestures and touch-
rection Day, each person’s book of deeds either into the right
es. Christ is reported to have healed by his touch (see, e.g.,
hand, symbolizing salvation, or into the left, indicating dam-
Mt. 9:20). Royal personages have also been known to heal
nation (69:19). When eating, especially from a common
with their hands, as for example the British monarch Charles
dish, Muslims use only the right hand. According to the Is-
II’s famous cures of scrofula. Even the hands of dead persons
lamic shar¯ı Eah, or law, the strict punishment for the habitual
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HANDSOME LAKE
3771
thief is amputation of the right hand, which precipitates a
loss of land and pride following the Revolutionary War. He
shameful condition that persists for life and in certain social
later suffered a debilitating illness, exacerbated by bouts of
groups condemns the guilty person to eating alone.
drunkenness, but was revivified by a series of dream-vision
Prehistoric imprints of human hands sometimes show
experiences and led the way to a national revitalization of In-
loss of fingers or joints, evidence perhaps of ritual deforma-
dian values.
tion of the hand, either undergone voluntarily or performed
Early in 1799 Handsome Lake was confined to bed with
as a punishment on captured enemies; both forms are known
a serious illness and seemed near death. During a series of
in ethnography. The severed hands or fingers both of dead
dream-vision experiences in June and August 1799 he re-
persons, such as those killed in battle or by execution or as-
ceived many messages from the Creator through four inter-
sassination, and of children who died in the womb or at birth
mediaries whom the prophet referred to as the Four Messen-
have been thought to possess extraordinary powers and
gers or the Four Angels. They instructed him about his
therefore have been used in a variety of magical rituals by
mission, guided him on a sky journey to the land of the
witches, medicine men, conjurers, and others. American In-
damned and the blessed, and promised him shamanic pow-
dians used to wear the hands or fingers of vanquished ene-
ers. Handsome Lake recovered, and his sense of physical and
mies as powerful medicine. In West Africa, the hand or fin-
spiritual rebirth intensified as he preached and worked for
ger of a deceased relative was often kept as a potent
reform.
ingredient in magical charms and spells. There are many
other magical and superstitious ideas and practices that in-
The earliest messages the prophet received condemned
volve the hands and that have only remote relevance, if any,
alcohol, witchcraft, abortion, and charms. The Creator was
to religious belief and symbolism, but closer connections
also displeased with wife beating and desertion by husbands,
with the hands’ quite remarkable profane qualities and abili-
as well as by adultery, undisclosed multimarriages, interfer-
ties: One example is chiromancy, the practice of “reading”
ence in marriages by mothers-in-law, and the neglect and
the hand and especially the palm for purposes of divining the
abuse of children and the elderly. Such activities reflected a
future fate of an individual—a tradition based upon the be-
serious breakdown in the traditional Iroquois way of life.
lief that the hand is the person in miniature.
Handsome Lake now called for a breakup of the longhouse
dwelling and instituted the building of single-family houses
SEE ALSO Human Body; Left and Right; Mudra¯; Touching.
following the Quaker model. More radically, he preached
that men must give up their rapidly declining occupations
B
of hunting and waging war and instead take up farming, the
IBLIOGRAPHY
J. A. MacCulloch’s article entitled “Hand,” in the Encyclopaedia
traditional domain of women. At the same time, he warned
of Religion and Ethics, edited by James Hastings, vol. 6 (Edin-
against the private ownership of property as destructive of
burgh, 1913), offers much factual material drawn from many
traditional Iroquois values, and he encouraged cooperative
periods and places. For a useful research tool, consult Betty
farming and other communal activities. He also condemned
J. Bäuml and Franz H. Bäuml’s A Dictionary of Gestures (Me-
the cruelty to farm animals evident among many whites.
tuchen, N. J., 1975); see pages 120–196 for a lengthy discus-
Fearful of the corrosive effects of white education on Iro-
sion of the hand together with a multilingual bibliography
quois traditions, he said that only a few Iroquois children
for additional sources.
should be educated, and those for the express purpose of en-
La main (Paris, 1968) by Jean Brun offers a sumptuously illustrat-
abling the Iroquois to deal with the whites in legal and politi-
ed and provocative essay on the hand. Also highly recom-
cal matters.
mended is E. Dale Saunders’s Mudrâ: A Study of Symbolic
Gestures in Japanese Buddhist Sculpture (New York, 1960).
As a prophet, Handsome Lake differed from the Native
Finally, Robert Hertz’s “The Pre-Eminence of the Right
American cultic and nativistic prophets. The cultic prophets
Hand,” in Right and Left: Essays on Dual Symbolic Classifica-
claimed that renewal would occur only when the people re-
tion, edited by Rodney Needham (Chicago, 1973),
turned to the sacrifices and rituals they had neglected. The
pp. 3–31, should be consulted.
divine would then send forth its power and restore them.
FREDERICK MATHEWSON DENNY (1987)
The nativistic prophets proclaimed that the whites would be
destroyed if the people rejected all white influences and re-
turned to the old ways. In contrast, Handsome Lake was an
ethical-eschatological prophet. He spoke in the name of a
HANDSOME LAKE (1735–1815) was a Seneca sha-
transcendent moral being who was seriously displeased with
man, prophet, and sachem of the Six Nations of the Iroquois;
the sins of his people and would either reward them or pun-
known in Iroquois as GanioE Daí IoE. He was born on the
ish them after death depending on whether they reformed
Genesee River opposite modern-day Avon, Livingston
themselves. The Creator did not promise that the whites
County, New York. Handsome Lake’s life mirrors the histo-
would be destroyed or driven away but rather said that per-
ry of the Iroquois people. Born at the zenith of Iroquois
sonal and social reforms would enable the Iroquois to be
power and influence, he participated in major battles against
strong enough to maintain their own independence and to
Indian and American opponents and witnessed his people’s
survive in a world increasingly controlled by whites. Reject-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3772
HAN FEI-TZU
ing both the assimilationism of the Mohawk Joseph Grant
to Handsome Lake’s early visions. Treats extensively the life
and the nativism of the Seneca Red Jacket, Handsome Lake
and teachings of the prophet.
presented the Iroquois with the will of the Creator: They
DONALD P. ST. JOHN (1987)
must either accept the gaiwiio (“good word”), that is, the rev-
elations and injunctions received by Handsome Lake, by re-
penting their deeds and embracing personal and social re-
form, or be lost in both a personal-eschatological and a
HAN FEI-TZU SEE HAN FEI ZI
sociohistorical sense.
Unlike the biblical prophets, Handsome Lake’s concern
with ethical behavior and eschatology was not accompanied
HAN FEI ZI (c. 280–233 BCE), or Master Han Fei, a Chi-
by a desacralization of nature. Although he rejected any cul-
nese philosopher of the late Warring States period (403–221
tic prescription for the ills of his people, Handsome Lake af-
BCE), was important as the main consolidator and most
firmed as integral to the Iroquois tradition the necessity of
forceful advocate of a set of earlier ideas later to be given the
maintaining correct relationships with the spirit forces
label of “legalism” (fajia). Historical accounts tell us that he
through ceremonial life. Only by enacting the moral and so-
was a noble scion of the relatively weak state of Han, and that
cioeconomic reforms enjoined by the gaiwiio could the Indi-
he created his writings in response to the ineptitude of Han’s
an tradition be fully effective.
governance after failing to gain the ear of its ruler. He would
Corresponding to Handsome Lake’s integration of es-
later be sent as an envoy to the powerful western state of Qin,
chatological and cosmic elements was his idea of the holy as
where he would eventually succumb to political intrigue and
both a transcendent moral being and an immanent presence
be forced to commit suicide just twelve years prior to the
and power. The present-day Longhouse religion, or Hand-
Qin’s unification of the Chinese world. The book of Han
some Lake religion, while basing itself on the prophet’s
Fei Zi is comprised of fifty-five individual essays and anec-
teachings, incorporates them into a religious structure that
dotal collections, most of which were likely written by Han
includes shamanic institutions and practices, agricultural and
Fei prior to his journey to Qin and eventually compiled into
gathering ceremonies, and organizational meetings such as
a single work bearing the author’s name; with a few excep-
the Six Nations Conference.
tions, the bulk of the work is considered to be authentic. Han
Fei is known as much for his lucid writing and persuasive
B
style of argumentation as for his philosophy itself, and his
IBLIOGRAPHY
Fenton, William N., ed. Parker on the Iroquois. Syracuse, N.Y.,
writings are full of some of early China’s most engaging and
1968. Contains a short life of Handsome Lake along with an
illustrative stories and analogies.
English translation of the gaiwiio as recited by Edward Corn-
Han Fei’s main “legalist” precursors included Shang
planter.
Yang (c. 390–338 BCE), Shen Buhai (c. 400–337 BCE), and
St. John, Donald P. “The Dream-Vision Experience of the Iro-
Shen Dao (fl. fourth century BCE), who, in the traditional,
quois: Its Religious Meaning.” Ph.D. diss., Fordham Univer-
if overly neat, categorization of their main ideas, respectively
sity, 1981. Places Handsome Lake’s dream-visions and their
proffered such notions as rulership through strict enforce-
impact within an Iroquois religious history largely influenced
ment of clear laws (fa), management of officials through bu-
by dreams. Examines his shamanic and prophetic roles and
reaucratic method (shu), and reliance on advantageous posi-
the implications of the acceptance of his message as norma-
tion (shi), all of which would, to one degree or another, find
tive revelation.
their way into Han Fei’s thought. Han Fei was also loosely
Tooker, Elisabeth. “On the New Religion of Handsome Lake.”
associated with the Huang-Lao tradition, and he was influ-
Anthropological Quarterly 41 (October 1968): 187–200. Ex-
enced by the book of Laozi (Dao de jing), from which he and
plains the success of Handsome Lake and his choice of values
his predecessors borrowed the term nonaction (wuwei) to de-
in terms of the economic and social changes in moving from
scribe the stance of the ideal ruler. Most directly, Han Fei
a mixed hunting-gathering-agricultural way of life to a heavi-
was also ostensibly a student of the Confucian philosopher
ly agricultural one. Questions Wallace’s revitalization model.
Xunzi, though if this is true he would end up radically de-
Wallace, Anthony F. C. “Cultural Composition of the Handsome
parting from his teacher on many fronts.
Lake Religion.” In Symposium on Cherokee and Iroquois Cul-
ture, edited by William N. Fenton and John Gulick. Wash-
If Han Fei inherited anything from Xunzi, it was cer-
ington, D.C., 1961. Examines the themes and values found
tainly the idea that human nature, if left to its own devices,
in the teachings of Handsome Lake and relates his activities
would only lead the people toward struggle and chaos, as hu-
to the founding of the Handsome Lake religion. Sees the
mans tended to act out of their own self-interest (as demon-
prophet’s success in terms of its response to the demoralized
strated, for Han Fei, by the fact that people normally con-
condition of the Seneca.
gratulated each other when a son was born, but sometimes
Wallace, Anthony F. C. The Death and Rebirth of the Seneca. New
killed the child if it was a “useless” daughter). Both employed
York, 1972. A thorough study of the history of the Seneca,
the analogy that one rarely finds perfectly straight or perfect-
containing valuable excerpts from Quaker journals relating
ly rounded wood in nature, and so just as one needs carpen-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HAN FEI ZI
3773
try tools to fashion wood into arrows or wheels, the ruler
able system of rewards and punishments—the “two handles”
likewise needs analogous devices to mold human behavior in
of the state—strictly applied to all members of society. If
order to achieve political order and stability. Yet whereas for
people inherently tended to act out of their own self-interest,
Xunzi such devices lay first and foremost in education
then surely it was only the enticement of rewards or abhor-
through ritual, music, and moral suasion, for Han Fei it was
rence for punishments that would encourage them to take
only the coercive force of punishments and the attraction of
appropriate action or deter them from committing misdeeds.
rewards that would do the trick, as he viewed the Confucian
Equally crucial, according to Han Fei, was that these “two
virtues of humanity and propriety (renyi) as unteachable as-
handles” lie firmly within the grasp of the ruler himself, and
pects of human nature that only a small minority of people
that none of his real power ever be relegated to his ministers.
possessed. Thus only the rule of might could possibly bring
The method by which the ruler could thus take full advan-
the whole state in line: “For the sage rules not by relying on
tage of his might and position involved the practice of
people to do good for him, but rather utilizes their inability
matching “names” with “realities” (xingming), of letting the
to do wrong. . . .The ruler of method does not follow after
ministers do all the work within their specifically delimited
chance goodness, but rather implements the way of inevita-
jurisdictions—each appropriate to his individual talents—
bility” (Xianxue). Likewise, Han Fei cautions the ruler
and judging their performances solely on how well their ac-
against aiming to “win over the people’s hearts,” because the
tual accomplishments lived up to their proposals or allotted
people, like children, do not understand what is ultimately
tasks. And to ensure the efficacy of this method and thus
good for them and what hardships must be endured in order
avoid the possibility that ministers would act out of interests
to achieve it.
other than those of the ruler, an impartial and invariable sys-
tem of promotion and censure based wholly on this method
Han Fei’s writings often take the form of polemic
was required.
against common views and practices supported or encour-
Thus the key to successful rulership for Han Fei lay in
aged by his opponents, and they concentrate on showing the
the ruler acting at all times in accordance with inviolable
contradictions inherent in these rival philosophies, the two
standards and never involving himself in hands-on adminis-
most prominent being those of the Confucians and the
tration or making political decisions on a personal basis. The
Mohists. For instance, Han Fei vigorously called into ques-
legal methods at the ruler’s disposal are the precision tools
tion their common insistence that the rulers of the present
of governance that even the wisest of rulers may not forsake,
adhere to the ways of the ancient sage kings, on the grounds
lest he risk the loss of his power and stability. In this regard,
both that those ways were too remote to be known (as evi-
Han Fei (following Shen Buhai) took the Dao and nonaction
denced by their contradictory philosophies attributed to the
of the Laozi and made them even more explicitly stand for
same ancient models) and that it was foolish to blindly follow
the principles of wise governance, in which he poetically de-
the ways of the past in the first place, given that former cir-
scribed the ideal ruler as a purposefully mysterious and un-
cumstances no longer hold true today. “Thus the sage aims
knowable entity who simply waited in quiescent tranquility
neither to cultivate the ancient nor to emulate anything of
for affairs to take care of themselves: “Empty, he knows the
constant admissibility” (Wudu); by showing how circum-
true nature of realities; still, he is the source of rectitude for
stances continually change and have always done so, Han Fei
those in motion” (Zhu dao). For Han Fei, such terms by no
advocates a sense of historical perspective over against his ri-
means symbolized a state of lofty nebulousness—something
vals’ views of historical constancy. Thus, rather than wasting
he expressly opposed—but always translated into a concrete
time listening to the praises of the former kings, Han Fei’s
and effective means of political orchestration.
ruler would give credence only to practical wisdom on how
to achieve order in the present. Indeed, Han Fei saw it as a
Although Han Fei himself would meet with an unfortu-
common tendency for rulers to become beguiled by clever
nate end in Qin, many of the ideas espoused in his writings
persuaders acting out of their own self-interest and thereby
would later be adopted into the “legalist” policies of the
reward values and promote characteristics that did not serve
short-lived Qin dynasty (221–206 BCE). After undergoing a
the good of the state, an obvious recipe for chaos. Given this,
certain amount of modification, they would soon come to
the issue of practical applicability was always his litmus test
be reconciled and blended with Confucian thought to form
by which to judge the value of any doctrine. An example of
a core component of the orthodox “Confucianism” of the
this is his argument against the policy of welfare, one that
Western Han (206 BCE–9 CE) and subsequent dynasties,
fails because taxing the wealthy to give to the poor only en-
thereby living on, in a somewhat different form, to carry
courages wastefulness and indolence at the expense of indus-
their influence throughout imperial China, and even, in yet
triousness and frugality; in similar fashion, he also decries the
other forms, on into the present day.
valuing of personal integrity to the detriment of social good,
S
scholastic erudition at the cost of agricultural production,
EE ALSO Legalism.
and private vengeance at the expense of military valor.
BIBLIOGRAPHY
At the heart of Han Fei’s own program for wealth,
Goldin, Paul. “Han Fei’s Doctrine of Self-Interest.” Asian Philoso-
strength, and social order lay a clear set of laws and an invari-
phy 11, no. 3 (2001): 151–160.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3774
H:ANUKKAH
Landers, James R. “Han Fei’s Legalism and Its Impact on the His-
is to be found in pagan festivals of light in midwinter.
tory of China.” In Critical Essays on Chinese Literature, edited
The prayers for H:anukkah refer only to the victory, but in
by William H. Nienhauser Jr., pp. 101–112. Hong Kong,
practice the kindling of the lights is the main feature of the
1976.
festival.
Levi, Jean. “Han fei tzu.” In Early Chinese Texts: A Bibliographical
It has long been the custom for each member of the
Guide, edited by Michael Loewe, pp. 115–124. Berkeley,
household to kindle the H:anukkah lights in an eight-
Calif., 1993.
branched candelabrum frequently called a menorah (though
Liao, W. K., trans. The Complete Works of Han Fei Tzu: A Classic
the menorah in the Temple had only seven branches) but
of Chinese Legalism. 2 vols. London, 1939–1959. A complete
nowadays also known as a hanukkiyyah. The lights are kin-
translation of the entire text.
dled in the synagogue as well as in the home. The older prac-
Liu, Yongping. Origins of Chinese Law: Penal and Administrative
tice was to use only olive oil, and this is still customary
Law in its Early Development. Hong Kong, 1998. See chapter
among the more pious, but the majority of Jews use candles
six on “The Legalists’ Theories of Law.”
for the H:anukkah lights. Rabbinical authorities have dis-
Lundahl, Bertil. Han Fei Zi: The Man and the Work. Stockholm,
cussed whether electric lights may be used for this purpose,
1992.
the consensus being to permit them. One light is kindled on
Waley, Arthur. Three Ways of Thought in Ancient China. London,
the first night, two on the second night, three on the third
1939; Garden City, N.Y., 1956. Includes translated sections
night, and so on until all eight are lit. In order to avoid light-
and discussion of Han Fei’s thought.
ing the candles one from the other, an additional candle
Wang, Hsiao-po, and Leo S. Chang. The Philosophical Founda-
known as the shammash (“retainer”) is used to light the oth-
tions of Han Fei’s Political Theory. Honolulu, 1986.
ers. A declaration is recited:
Watson, Burton. Han Fei Tzu: Basic Writings. New York, 1964.
We kindle these lights on account of the miracles, the
An excellent translation of twelve chapters plus introduction.
deliverances, and the wonders which thou didst work
Yang, Kuan. “Han Fei’s Theory of the ‘Rule of Law’ Played a Pro-
for our ancestors, by means of thy holy priests. During
gressive Role.” Chinese Studies in Philosophy 10, no. 1 (1978):
all the eight days of H:anukkah these lights are sacred,
4–18.
neither is it permitted to make any profane use of them;
but we are only to look at them, in order that we may
SCOTT COOK (2005)
give thanks unto thy name for thy miracles, deliver-
ances, and wonders.
A popular H:anukkah hymn is Ma Eoz tsur (O fortress rock),
H:ANUKKAH (“dedication”) is the Jewish winter festival
sung to a familiar melody said to have been originally that
that falls on the twenty-fifth of the month of Kislev and lasts
of a German drinking song.
for eight days. It celebrates the victory of the Maccabees over
Medieval Jewish thinkers understood the H:anukkah
the forces of Antiochus after a three-year battle in the second
lights as representing spiritual illumination. The festival is a
century BCE. The major sources on the festival’s origin are
time for intensive study of the Torah as well as for almsgiv-
two apocryphal books, 1 Maccabees and 2 Maccabees. It is
ing. H:anukkah is consequently treated as a more “spiritual”
stated there (2 Mc. 10:6–8) that the altar was rededicated and
festival than the boisterous Purim, so that although fasting
the festival of eight days introduced because during the war
is forbidden on H:anukkah, there is no special festive meal.
the Jews were unable to celebrate the eight-day festival of
The Torah is read on each day of the festival; the passages
Sukkot. Thus in the earliest period there is no reference to
chosen are from the account of the gifts brought by the
H:anukkah as a feast of lights. That it became such is due to
princes at the dedication of the Tabernacle (Nm. 7) and the
the Talmudic legend (B.T., Shab. 21b) that the Maccabees
command to kindle the light of the menorah (Nm. 8:1–7).
found only one small jar of oil for the kindling of the meno-
The Prophetic reading on the Sabbath of H:anukkah is from
rah (“candelabrum”) in the Temple. This was sealed with the
the vision of the menorah seen by Zechariah (Zec. 2). An ad-
seal of the high priest but contained only sufficient oil to
dition to each of the daily prayers thanks God for delivering
burn for a single night. By a miracle the oil lasted for eight
the strong into the hands of the weak, the many into the
nights. It was consequently ordained that lights be kindled
hands of the few, the impure into the hands of the pure, and
on the eight nights of H:anukkah. However, it is stated in
the wicked into the hands of the righteous.
the Talmud (B.T., Shab. 21b) that the Shammaites and Hil-
lelites, at the beginning of the present era, debated whether
It is nowadays customary for H:anukkah presents to be
the lights were to be kindled in descending order (eight the
given to children. This practice is found in none of the early
first night, seven the second, etc.) or in ascending order (one
sources and seems certain to have been introduced to offset
the first night, two the second, etc.). If this statement is his-
the giving of Christmas presents at this season of the year.
torically correct, it demonstrates either that the legend of the
Children and some adults play a game with a spinning
oil was already known at that time or that, at least, there was
top (dreidel) on each side of which is a different letter repre-
an association of H:anukkah and light even at this early peri-
senting a move in the game. These letters are the initial let-
od. According to some historians, the origin of the festival
ters of the Hebrew words making up the sentence “A 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
HAOMA
3775
miracle happened there.” To the consternation of the more
Indra threw his thunderbolt to stop him, injuring the boy’s
conventional rabbis, cardplaying is often indulged in on
chin. Angered by this act, the wind god took Hanuma¯n into
H:anukkah.
a cave to shelter him. But when Va¯yu disappeared the people
in the world were no longer able to breathe. At the request
The Talmudic rabbis stress the need for proclaiming the
of the gods, Brahma¯ entered the cave and healed Hanuma¯n’s
miracle by kindling the H:anukkah lights outside the door
wounds. The other gods also blessed Hanuma¯n and con-
of the home, but eventually this practice was discouraged be-
ferred on him various boons, including eloquence of expres-
cause it could be misinterpreted by non-Jews as a desire to
sion. Because of his injury, which left his jaw swollen, the
demonstrate Jewish reluctance to live among their gentile
child was known as Hanuma¯n, “having a large jaw.”
neighbors. The less obtrusive practice of kindling the lights
near the door but inside the home became the norm. In
In folk traditions Hanuma¯n is worshiped as a deity with
modern Israel it is far from unusual to see huge H:anukkah
magical powers and the ability to conquer evil spirits. As an
candelabra on top of public buildings and synagogues.
unmarried god who never spilled his seed he is especially
popular with body builders, because it is believed that one
BIBLIOGRAPHY
must be celibate in order to have a strong body. In the Jain
Lehrman, Simon Maurice. A Guide to H:anukkah and Purim. Lon-
Ra¯ma¯yan:as, Hanuma¯n is not a bachelor, but is married to
don, 1958.
the daughters of Khara and Sugr¯ıva. Whereas in the
Shaw, Oliver. The Origins of the Festival of H:anukkah. Edinburgh,
Ra¯ma¯yan:a of Va¯lm¯ıki Hanuma¯n plays the role of the minis-
1930. A discussion of the history of the festival.
ter, the messenger, and the trusted servant of Ra¯ma, in the
later bhakti Ra¯ma¯yan:as Hanuma¯n is described as the su-
LOUIS JACOBS (1987)
preme devotee of Ra¯ma, and is therefore considered the
model of devotion. It is believed that Hanuma¯n first wrote
the story of Ra¯ma, but that he threw it into the ocean to give
HANUMA¯N is the name of a Hindu monkey god widely
an opportunity for Va¯lm¯ıki’s Ra¯ma¯yan:a to gain prominence.
venerated throughout India. One of the principal characters
SEE ALSO Ra¯ma¯yan:a.
of the Hindu epic Ra¯ma¯yan:a, Hanuma¯n is also called Sun-
dara (“beautiful”), and the fifth book of the Ra¯ma¯yan:a, in
BIBLIOGRAPHY
which Hanuma¯n plays a central role, is called Sundara Ka¯n:d:a
Aryan, K. C., and Subhasini Aryan. Hanuma¯n in Art and Mytholo-
(Book of the Beautiful One). Here Hanuma¯n, a minister for
gy. Delhi, n.d.
the monkey king Sugr¯ıva, first comes to know of Ra¯ma, who
Sastri, Hari Prasad, trans. The Ra¯ma¯yan:a of Va¯lm¯ıki. 3 vols. Lon-
is searching for his wife, S¯ıta¯, who has been kidnapped.
don, 1962.
Hanuma¯n negotiates friendship between Ra¯ma and Sugr¯ıva
and later flies across the ocean to Lanka in order to locate
New Sources
S¯ıta¯. Finding her under an a´soka tree, he presents Ra¯ma’s sig-
Ludvik, Catherine. Hanumana in the Ramayana of Valmiki and the
Ramacaritamanasa of Tulasi Dasa. Delhi, 1994.
net ring as a token of recognition, conveys Ra¯ma’s message
of consolation, and assures her that Ra¯ma will come to rescue
VELCHERU NARAYANA RAO (1987)
her. He then destroys a large part of Lanka, but is captured
Revised Bibliography
and brought before the demon king Ra¯van:a. When
Hanuma¯n coils his long tail and sits on it at a level higher
than that of Ra¯van:a, the king orders that an oil-soaked cloth
HAOMA. Both a “being worthy of worship” (yazata), or
be wrapped around Hanuma¯n’s tail and then ignited.
deified personification, and a substance ingested during Zo-
Hanuma¯n flies about with his fiery tail and burns large parts
roastrian ritual sacrifices, haoma has an exact parallel in the
of the city. He returns to Ra¯ma to bring the message from
soma of ancient India: *sauma, from the verb sav (“to press,
S¯ıta¯. During the ensuing battle, Hanuma¯n is sent to the
to crush”), is the reconstructed Indo-Iranian form. What the
mountains to bring sanj¯ıvini (“reviving”) herbs for Ra¯ma’s
substance was originally—a plant or its sap, or a hallucino-
brother Laks:man:a, who is wounded. Unable to identify the
genic mushroom such as Amanita muscaria (Wasson,
herbs, Hanuma¯n brings the entire mountain.
1968)—is not certain. What is certain, however, is that the
Indo-Iranian form serves as evidence of a common ritual
There are several stories of Hanuma¯n’s miraculous and
background in Iran and India. We also know that in both
divine birth. His mother was the apsaras Anjana¯, who was
countries the original substance has been substituted with
married to Kesari, but who conceived Hanuma¯n when Va¯yu,
another; for centuries Zoroastrians have continued to use a
the wind god, overcome by her beauty, made love to her. An-
species of Ephedra in their ritual sacrifices. This plant grows
other story tells of Va¯yu entering into Anjana¯’s body through
in many regions of Central Asia and Iran and yields a juice
her ear, thus causing Hanuma¯n’s conception.
with hallucinogenic properties. Haoma must have been both
When Hanuma¯n was born he was so hungry that his
a hallucinogen and a stimulant: it was reported in the ancient
mother’s milk could not satisfy him. He therefore flew into
texts to give strength, victory, health, and wisdom and to in-
the sky to eat the sun, which he thought was a fruit. The god
duce an ecstatic state.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3776
H:AQ¯IQAH MUH:AMMAD¯IYAH
The cult of haoma, later to become an essential part of
H:ARAM AND H:AWT:AH. Arabian society may be
Zoroastrian rites, was originally denounced by Zarathushtra,
described as a conglomeration of individual tribal units nor-
who refers to it in the Ga¯tha¯s in negative terms: Haoma is
mally in a state of war, truce, or alliance with other tribal
the “urine” of an intoxicating drug (Yasna 48.10). Several
units, whether these tribes are settled in villages and towns
scholars have opposed such an interpretation, maintaining
or are migratory herders. Unarmed traders, artisans, and
that neither animal sacrifice nor haoma was ever denounced
peasants are subject to the noble (shar¯ıf) tribes, who consider
by the prophet (R. C. Zaehner, Marijan Molé, and Mary
them weak (d:a E¯ıf) and ignoble. Occasions inevitably arise
Boyce), but their arguments are not convincing. The com-
when tribes, even if at war, must meet on neutral ground in
plex of rites, myths, and legends connected with haoma be-
physical security: to attend markets, to make political ar-
longs to the pre-Zoroastrian Indo-Iranian tradition and is at
rangements such as a truce, and for purposes of religion.
the center of a scenario dominated by the warlike god Indra,
Since tribal lords find it hard to accept the authority of their
who, in Zoroastrianism, was relegated to the rank of demon.
peers, when it becomes necessary for someone to preside over
It is most likely, then, that the acceptance and use of the drug
tribal arbitrations, to provide a secure forum for their meet-
was a reintegration that occurred in the religion after the
ings and even to impose certain sanctions upon them, they
time of the prophet. In the later texts of the Avesta, Haoma,
require an authority with supernatural backing to preside in
like other beings readmitted to the cult, is a yazata to whom
territory not subject to tribal law. Consequently, they turn
a hymn, the Ho¯m Yasht (Yasna 9–11), is dedicated. The
to a family regarded as having holy attributes, deriving su-
hymn is recited during one of the most important parts of
preme authority from a divine source, and so exercising the
the complex ceremony of the Yasna. At the end of the recita-
functions committed to it through a prophet or saint.
tion, the officiating priest drinks haoma that has already been
The institution known in ancient Arabia as h:aram (and
prepared and consecrated ritually according to meticulous
probably also mah:ram), and in parts of contemporary south
rules of purification, presumably in order to induce an ecstat-
Arabia as h:awt:ah, is closely associated with such holy houses.
ic state.
It is a sacred enclave containing a shrine, administered in
SEE ALSO Soma.
Sha¯fiE¯ı territory by a lord called a mans:ab (or sometimes
mans:u¯b), subject to divine law and independent of the sur-
BIBLIOGRAPHY
rounding tribal territory (ah:-ba¯t:). The inviolability of the sa-
Boyce, Mary. “Haoma, Priest of the Sacrifice.” In W. B. Henning
cred enclave is guaranteed by its tribal supporters (ans:a¯r) as
Memorial Volume, edited by Mary Boyce and Ilya Ger-
in the case of Medina and, for example, Ans:a¯r Mawla¯
shevitch, pp. 62–80. London, 1970.
al-Daw¯ılah in Wa¯d¯ı Had:ramawt. H:aram and h:awt:ah, the
Brough, John. “Soma and Amanita Muscaria.” Bulletin of the
terms for the inviolable sacred enclave, appear to be related
School of Oriental and African Studies 34 (1971): 331–362.
semantically to mah:jar and h:ima¯, terms for interdicted pas-
Flattery, David Stophlet, and Martin Schwartz, Haoma and Har-
tures: the root of each of these commences with the root let-
maline. Berkeley, 1989.
ter h:a¯D. In addition, the h:ima¯ of al-T:a¯’if appears to have had
religious associations.
Gershevitch, Ilya. “An Iranianist’s View of the Soma Controver-
sy.” In Mémorial Jean de Menasce, edited by Philippe Gi-
The hijrah of northern Zaydi Yemen, while distinct
gnoux and A. Tafazzoli, pp. 45–75. Louvain, 1974.
from h:aram and h:awt:ah, is an institution of related pattern.
Henry, Victor. “Esquisse d’une liturgie indo-éranienne.” In
Although it is not attested in the first Islamic centuries, it
L’Agnis:t:oma, description complète de la forme du sacrifice de
seems to be foreshadowed in certain pre-Islamic inscriptions.
Soma, edited by Willem Caland and Victor Henry, vol. 2,
For example, in the expression “wbDshEb dhhmdn whgrhmw
pp. 469–490. Paris, 1907.
wDErbhmw” (“the tribes of Hamdan and their protected per-
Modi, Jivanji Jamshedji. The Religious Ceremonies and Customs of
sons [hijar] and their tribal [bedouin] Arabs”), the term hijar
the Parsees. 2d ed. Bombay, 1937. See pages 300ff.
(sg., hijrah) means both the protected persons and the place
Nyberg, H. S. Irans forntida religioner. Stockholm, 1937. Trans-
where they reside.
lated as Die Religionen des alten Iran (1938; 2d ed., Osna-
The sacred enclave in its most primitive form is proba-
brück, 1966).
bly exemplified by the h:awt:ah of Mughshin (northeast of
Wasson, R. Gordon. Soma: Divine Mushroom of Immortality. New
Z:afa¯r, on the edge of the Arabian sands), where to cut bush
York, 1968.
or to kill hares brings misfortune. As in the simple desert
Wasson, R. Gordon. Soma and the Fly-agaric. Cambridge, Mass.,
h:awt:ah, bush may not be cut nor may birds or animals be
1972. A rejoinder to Brough (1971).
slain in the Meccan h:aram, a highly developed institution.
GHERARDO GNOLI (1987)
H:rm and mh:rm, translated as “sanctuary,” are attested
Translated from Italian by Roger DeGaris
in the Sabaic Dictionary (Louvain, 1982). Mah:ram Bilq¯ıs,
the name the Arabs give to the ruins of the pre-Islamic tem-
ple of Ilumquh at Ma¯rib, is well known. The sanctuary of
H:AQ¯IQAH MUH:AMMAD¯IYAH SEE NU¯R
the god Dhu¯ Sama¯w¯ı at al-H:azm of the Yemenite Jawf was
MUH:AMMAD
set in a sacred enclave: the inscription identifying it refers 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
H:ARAM AND H:AWT:AH
3777
a mah:ram and mns:bt. Mns:bt means a place of ans:a¯b or
As any offense against the mans:ab or persons under his
boundary stones which, as is known, marked the Meccan
protection is regarded as infringing on respect to him, an as-
h:aram, and when Muh:ammad founded the h:aram at Yathrib
tute mans:ab can attain great power by playing off one tribe
(the pre-Islamic name of Medina) he had its bounds marked
against another. He may even succeed in forming a small
out in the same way. Oaths were taken by the Ans:a¯b al-
theocratic state. Given the tribes’ need for a supreme authori-
KaEbah and sacrifices made to them. The h:awt:ah is also
ty deriving power from a divine source, the theocratic state
marked out with boundary cairns, and on entering it one dis-
seems a natural development in Arabia, and it is thought that
mounts out of respect for it.
the pre-Islamic mukarribs ruled over theocracies. Leaving
INVIOLABILITY OF THE ENCLAVES. The tribes recognized the
aside questions of revelation, there are obvious political par-
inviolability of the h:aram or h:awt:ah to such an extent that
allels between this pattern and the process whereby
in ancient times the Quraysh would raid outside Mecca but
Muh:ammad established himself in Yathrib.
find safety by returning to its h:aram, a pattern also followed
HIJRAH. At this point the hijrah must be reconsidered in
by the tribes of Musaylimah’s h:aram. It cannot, however, be
terms of its Yemeni usage and as Muh:ammad’s Hijrah, now-
assumed that they thereby escaped scot-free, for, to judge
adays usually translated as his “migration” from Mecca to
from procedure at the h:awt:ah in our times, a case would still
Medina. “Muh:ammad’s hijrah chiefly involves the concept
be brought by the injured party against those tribes; this may
of seeking protection with powerful armed tribes, even if hij-
indeed almost be deduced from episodes connected with
rah does [also] mean one’s physical transference from one
Musaylimah’s h:aram.
place to another” (Serjeant and Lewcock, 1983, p. 40b). He
The deed of Muh:ammad’s foundation of the Yathrib
left the protection of his own tribe, Quraysh, for that of the
h:aram, which subsequently became Mad¯ınat al-Nab¯ı, “the
arms-bearing tribes of Yathrib. In the Yemen sayyids or oth-
prophet’s town,” is conveyed in documents F and H of the
ers (e.g. the Masha¯yikh Bayt al-Ah:mar, who are the hijrah
“Eight Documents” (the so-called Constitution of Medina).
of the H:a¯shid confederation) may seek tribal protection. The
The regulations they contain, along with those quoted by the
tribes assemble and decide to grant hijrah on the basis of the
historian Wa¯qid¯ı and the geographer Ya¯qu¯t, can also reason-
applicant’s sanctity, learning, and other qualities. A person
ably be considered to represent the law of the pre-Islamic era.
thus protected does not fight or contribute to blood-wit or
Document F states that “this writing does not intervene be-
any levy (ghurm) the tribe imposes on itself for war, blood-
tween a wrongdoer and one committing a criminal act.” In
wit, or entertainment. The hijrah, if a man of religion, is con-
his geographical dictionary the MuEjam, Ya¯qu¯t says, “Who-
sidered an ultimate arbiter (marja E) and an example to be im-
soever enters it [the Meccan h:aram] is secure, and he who
itated (qudwah), judging in quarrels, marriage, and divorce,
commits an aggression in any other territory, and then takes
and writing amulets for people and cattle. So hijrahs often
refuge in it, is safe when he enters it and when he leaves it
become centers of religious learning. Sanaa city is muhajjar,
the punishments are applied to him.” Similarly, the mans:ab
that is, protected by seven large tribal groups in its vicinity.
will take a murderer who has sought refuge in the h:awt:ah
A tribesman slaying there must restore the city’s respect
under his protection and conduct the man back to his tribe;
(tahj¯ır) by paying a fine and slaughtering an Eaqirah
the two tribes affected will then have the case brought to the
(“sacrificial animal”) at the gate of the city. The prophet
mans:ab for arbitration.
Muh:ammad became the ultimate arbiter (marja E) at Yathrib,
Murder in the h:aram or h:awt:ah is a heinous crime: the
exercising functions not dissimilar to those of the hijar
murder of the caliph EUthma¯n in the Medinese h:aram was
sayyids and mans:abs of h:awt:ahs, although he did not write
pointed to as a major offense by his relative MuEa¯wiyah. In
amulets.
such a case the mans:ab of the h:awt:ah writes to the chief of
The pre-Islamic h:aram would be protected by the god
the offending clan and the chiefs of all of the other tribes,
whose shrine it contained. In Mecca this was the KaEbah,
making them responsible for dealing with the crime. The
which the h:ad¯ıth suggests was a tent, probably a symbolic
guilty clan hastily sends the mans:ab a propitiatory gift, suqt:a¯n
form of the square black tent known in the south as karbah.
(corresponding to sarf wa- Eadl in the “Eight Documents”).
It was the sanctuary of Alla¯h of Quraysh, known as Quraysh
All the h:awt:ah tribes then assemble at the mans:ab’s house,
Alla¯h. With the growth of Quraysh power in Arabia a pan-
and the headman of the guilty clan, or even the mans:ab him-
theon seems to have accrued to the original cult. Infringe-
self, will take the murderer’s dagger and slash his brow with
ment of the h:aram laws brought divine punishment because
it until it bleeds, to demonstrate that the man’s honor (wijh)
the h:aram was regarded as able to defend itself by supernatu-
has been besmirched. This symbolic action is referred to in
ral means, as Yathrib did at the Battle of the Trench, follow-
a Minean inscription and also in the biography (s¯ırah) of the
ing which the Prophet established his h:aram there.
prophet Muh:ammad, where it is called tajb¯ıh and is accom-
panied by blackening the face. To expiate the offense the
The annual pilgrimage to the Meccan h:aram was the
guilty tribe must execute one of its own members, not neces-
major event of the year; entertainment was provided through
sarily the murderer, or else all of the other tribes will unite
a tax levied for the purpose and through private contribu-
to attack it until atonement is exacted by slayings adequate
tions. The pilgrims came in chanting the talbiyah, verses ad-
to the seriousness of the crime of violation.
dressing the god, as today they would call out “Ya Hu¯d!” 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
3778
HARAPPA
chant the tahw¯ıd to the prophet Hu¯d at his annual pilgrim-
solely by the use of the historical-critical method, that is, by
age. The Meccan pilgrimage was of a pattern common to the
impartial study of the extant Christian literature, to the ex-
Arabian Peninsula to judge by an inscription which details
clusion of all metahistorical sources and standards of judg-
regulations for the pilgrimage to Almaqah at Ma¯rib. There
ment such as authoritative church dogma or belief in an in-
the god TaDlab is to receive tithes from which he will provide
fallible teaching office or an inerrant Bible.
a banquet. Animals under TaDlab’s protection are not to be
hunted.
History, for Harnack, meant above all documentary his-
tory. Building on the seminal studies of early Christianity by
Islam abolished the gods of paganism and left no part-
F. C. Baur (1792–1860) and Albrecht Ritschl (1822–1889),
ner to Alla¯h, but the sacred enclaves have remained, the
he established early church history on secure textual founda-
h:awt:ahs with their pilgrimages. Those pilgrimages are either
tions. Many of his more than sixteen hundred publications
annual events or are made out of season for special private
were critical editions of patristic texts, and he supervised the
requests of the saints whose tombs are usually found in the
publication of hundreds of others, chiefly in the series “Texte
h:awt:ahs: the pilgrims circumambulate the tombs, grasping
und Untersuchungen zur Geschichte der altchristlichen Li-
the four corner-posts as they pass. To this day also the
teratur” (1882–), of which he was a founder. He summarized
mans:ab must provide from his revenues for a feast at pilgrim-
the results of this textual scholarship in his Geschichte der al-
age time and entertain visitors throughout the year.
tchristlichen Literatur bis Eusebius (1893–1904).
Harnack wrote penetrating studies of monasticism and
BIBLIOGRAPHY
of church polity in Christianity’s first two centuries. He also
Kister, M. J. Studies in Ja¯hiliyya and Early Islam. London, 1980.
A collection of articles, in which see especially “Mecca and
wrote what is still the foundational history of the early Chris-
Tamim: Aspects of Their Relations” and “Some Reports
tian missionary enterprise, Die Mission und Ausbreitung des
Concerning Mecca: From Ja¯hiliyya to Early Islam.”
Christentums in den ersten drei Jahrhunderten (1902; translat-
Serjeant, R. B. South Arabian Hunt. London, 1976.
ed as The Mission and Expansion of Christianity in the First
Three Centuries, 1908). His true métier, however, was not
Serjeant, R. B. Studies in Arabian History and Civilisation. Lon-
institutional history but the history of doctrine—research
don, 1981. A collection of articles, in which see especially
that culminated in his monumental Lehrbuch der Dog-
“Hu¯d and Other Pre-Islamic Prophets of H:ad:ramawt,”
“H:aram and H:awt:ah: The Sacred Enclave in Arabia,” “The
mengeschichte (1885–1890; translated as History of Dogma,
‘Constitution of Medina,’ ” and “The Sunnah Ja¯mi Eah: Pacts
1894–1899). Dogma, in Harnack’s narrow definition, re-
with the Yathrib Jews and the Tah:r¯ım of Yathrib.”
ferred exclusively to the trinitarian and christological dogmas
Serjeant, R. B., with Ronald Lewcock, eds. S:an Ea¯ D; An Arabian Is-
formulated by general church councils in the fourth and fifth
lamic City. London, 1983.
centuries. Whereas Ritschl had stressed the gradual de-
judaization of Christianity as the central factor in the devel-
R. B. SERJEANT (1987)
opment of early Christian doctrine, Harnack emphasized the
progressive hellenization of Christianity, holding that Chris-
tian dogma was “a work of the Greek spirit on the soil of the
HARAPPA S
gospel.” This did not mean that the gospel (the original
EE INDUS VALLEY RELIGION
teaching of Jesus) had entirely disappeared into dogma, or
that the dogmas of the Trinity and the Incarnation were
sheer speculation, but that Greek philosophy of religion and
HARNACK, ADOLF VON (1851–1930), was a Ger-
its attendant intellectualism had shaped Christian dogmatic
man Protestant church historian and theologian. Carl
thought from its inception. Thus Christian faith came to be
Gustav Adolf von Harnack was born in Dorpat (now Tartu),
dependent on metaphysics and, most shocking of all to
in the Russian province of Livonia, where his father, Theo-
Harnack, a “fancied Christ” had been put in the place of the
dosius Harnack (1817–1889), was a professor of theology at
real, historical one.
the German-dominated university. He was educated at the
In Harnack’s judgment, moreover, the mainline Protes-
universities of Dorpat and Leipzig, received the Ph.D. in
tant reformers had failed to break decisively with “dogmatic
1873, and began lecturing on church history at Leipzig in
Christianity,” though their root religious principles actually
1874. In 1879 he went, as full professor, to Giessen, in 1886
undermined the authority of all dogma. Martin Luther, for
to Marburg, and in 1888 to the University of Berlin, where
example, had delivered the Christian faith from moralism,
he taught until his retirement in 1921, thereafter lecturing
ritualism, hierarchicalism, and philosophical speculation, yet
as emeritus professor until the spring of 1929.
he continued to adhere to the old dogmas, even grounding
Harnack was the premier historian in modern times of
his piety on them, and thus gave them a new vitality and au-
early Christianity and, with Ernst Troeltsch (1865–1923),
thority within the Evangelical church. The result of this “un-
the foremost spokesman of a liberal Protestantism that
finished Reformation” was a Protestantism beset by ordi-
sought to “overcome dogma by history.” He insisted that the
nance, doctrine, and ceremony. What was urgently required,
rise and development of Christianity could be understood
therefore, was a “critical reduction of dogma,” to be carried
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HARRIS, WILLIAM WADE
3779
out in fidelity to the animating concerns of Reformation reli-
ertheless, his reputation as the greatest modern student of the
gion and to be achieved by a rigorous historical criticism that
ancient church is secure, and his insistence that Christianity
would distinguish between the timeless “kernel” of Chris-
must be interpreted by the historical method has been up-
tianity and its timebound “husks.” Harnack took up this task
held.
in his most popular book, Das Wesen des Christentums (1900;
translated as What Is Christianity?, 1903), based on lectures
BIBLIOGRAPHY
to students of all faculties at Berlin in 1899–1900.
The indispensable biography is that by his daughter, Agnes von
Zahn-Harnack: Adolf von Harnack (1936; 2d ed., Berlin,
The “essence of Christianity”—its element of perma-
1951). His collected essays and speeches were published
nent validity as distinguished from its transient historical
under the title Reden und Aufsätze, 7 vols. (Giessen, 1904–
forms—is the gospel, above all as Jesus proclaimed it but also
1930). Friedrich Smend compiled a complete listing of his
as it has repeatedly found expression in the course of Chris-
writings, Adolf von Harnack: Verzeichnis seiner Schriften
tian history. Appropriating the leading theological themes of
(Leipzig, 1927), supplemented by Verzeichnis seiner Schriften
his mentor, Ritschl, Harnack contended that the gospel is a
(1927–1930) (Leipzig, 1931).
simple and self-authenticating phenomenon, centering on
Harnack’s thought has been discussed most fully by Karl H. Neu-
the rule of the holy God in the trusting heart, on the experi-
feld, S.J., in two works: Adolf von Harnack: Theologie als
ence of God as loving father and thus the assurance of the
Suche nach der Kirche (Paderborn, 1977) and Adolf von
infinite value of the human soul, and on an ethical life
Harnacks Konflikt mit der Kirche (Innsbruck, 1979). The best
marked by an abiding disposition to the good, under God’s
treatment to date in English is by G. Wayne Glick, The Real-
grace, and by neighborly love and mercy. Hence the gospel
ity of Christianity: A Study of Adolf von Harnack as Historian
is essentially timeless, and it addresses a human nature that,
and Theologian (New York, 1967), to be supplemented by
religiously viewed, is also unchanging—ever yearning for
Wilhelm Pauck’s Harnack and Troeltsch: Two Historical
“the presence of the Eternal in time” and so for a vindication
Theologians (Oxford, 1968), a masterly essay by a former stu-
dent of Harnack at Berlin. Harnack’s interpretation of Lu-
of the ultimate worth of the human spirit over against an in-
ther and of Reformation thought is considered by Jaroslav
different natural order. This gospel, accordingly, requires no
Pelikan in his essay “Adolf von Harnack on Luther,” in Inter-
metaphysical foundations, no articulation in binding dog-
preters of Luther: Essays in Honor of Wilhelm Pauck, edited by
mas, no elaborate ritual, and no institutional guarantees. The
Pelikan (Philadelphia, 1968), pp. 253–274. Harnack’s in-
religion of the Christian gospel, Harnack concluded, is not
debtedness to Albrecht Ritschl and his controversy with Karl
only “undogmatic” and “perennial,” but also shows itself to
Barth are discussed, respectively, by E. P. Meijering in
be a “cultural” religion in the proper sense, namely, one
Theologische Urteile über die Dogmengeschichte: Ritschls Ein-
uniquely responsive to modern humanity’s insistent quest for
fluss auf von Harnack (Leiden, 1978) and by H. Martin
the meaning of life.
Rumscheidt in Revelation and Theology: An Analysis of the
Barth-Harnack Correspondence of 1923 (Cambridge, 1972).
Controversy surrounded Harnack throughout his ca-
New Sources
reer. The most bitter conflict broke out in 1892, when he
Forni, Guglielmo. The Essence of Christianity: The Hermeneutical
proposed that the Apostles’ Creed be replaced in liturgical
Question in the Protestant and Modernist Debate (1897–
worship by a shorter confession of faith based on Reforma-
1904). Atlanta, 1995.
tion principles and on the results of modern historical schol-
Pilhofer, Peter. “Harnack and Goodspeed: Two Readers of Codex
arship. Though denied all official recognition by the Evan-
Parisinus Graecus 450.” Second Century: A Journal of Early
gelical church, he was the most widely honored theologian
Christian Studies 5, no. 4 (1985–1986): 233–242.
of his time. In 1890 he was elected to the Prussian Academy
of Sciences and in 1900, on the occasion of its two-
Pillay, Gerald J. “The Relation between Church History and Gen-
eral History: Reflections on Adolf von Harnack’s View.”
hundredth anniversary, he wrote the academy’s official histo-
Studia historiae ecclesiasticae 20, no. 2 (1994): 156–168.
ry. He was a founder and the first president (1903–1911) of
the Evangelical-Social Congress. From 1905 to 1921 he was
Rollmann, Hans. “Adolf von Harnack and the ‘History of Reli-
director general of the Royal Library in Berlin. He served as
gions’ as a University Discipline.” In Religious Studies,
the first president (1911–1930) of the Kaiser Wilhelm Gesel-
pp. 85–103. Atlanta, 1991.
lschaft for the Advancement of the Sciences (now called the
White, L Michael. “Adolf Harnack and the ‘Expansion’ of Early
Max Planck Gesellschaft). In 1914 he was raised to the digni-
Christianity: A Reappraisal of Social History.” Second Centu-
ty of hereditary nobility by Kaiser Wilhelm II.
ry: A Journal of Early Christian Studies 5, no. 2 (1985–1986):
97–127.
Harnack’s theology went into eclipse soon after his
DAVID W. LOTZ (1987)
death, largely owing to its repudiation by Karl Barth (1886–
Revised Bibliography
1968) and other leaders of the regnant Protestant neoortho-
doxy. Church historians and theologians otherwise sympa-
thetic to Harnack’s program have criticized his narrow defi-
nition of dogma, his thesis of hellenization, and his cardinal
HARRIS, WILLIAM WADE (c. 1865–1928), was
notion of a “timeless gospel” for a “timeless humanity.” Nev-
the leader of a mass movement to Christianity in Africa 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
3780
HARRIS, WILLIAM WADE
inspired creation of an African Christian church. The proph-
Although some of the Ivorians who had been worship-
et Harris created the largest mass movement to Christianity
ing autonomously were initially drawn to the Protestant mis-
in the history of the African continent and revolutionized the
sionaries, they became disaffected when the Protestants at-
religious life of the southern Ivory Coast. He paved the way
tacked fundamental social institutions such as polygamy and
for the growth of the Catholic church and the establishment
sought to undermine the power of Harris’s disciples. In 1926
of the Protestant church and for the creation of several indig-
a Protestant delegation returned from a visit to Harris in Li-
enous religious institutions. Most significant among these is
beria with a message telling his converts to join the Protes-
the Harrist Church of the Ivory Coast, which institutional-
tant church, but in 1928 an Ivorian delegation went to tell
ized his teachings. His impact was unique among the move-
the prophet of their grievances against the missionaries. This
ments to Christianity led by African prophets in that it re-
group returned from Liberia with a “last will and testament”
flected totally indigenous initiative in a population not
from Harris that supported their desire to worship indepen-
previously Christianized by missionaries.
dently. John Ahui, the young member of the delegation
A Grebo from southeastern Liberia, Harris was familiar
whom Harris chose to continue his mission, perpetuated the
with Western customs and literate in both English and
prophet’s teachings and founded the Harrist Church of the
Grebo as a result of mission schooling. He became an Episco-
Ivory Coast, of which he remains the patriarch.
palian lay preacher, taught in a mission school, directed a
Harris’s message to the Ivorians was both spiritual and
boarding school, and worked as a government interpreter.
secular. He urged them to stop worshiping the nature spirits
When antagonism between the Grebo and the Liberian
that had failed to protect them from conquest by the French
government broke out, Harris led several acts of rebellion
and instead to worship the omnipotent creator god who
against the government. In 1909 he was imprisoned for trea-
would bring them prosperity, a return to their state of sover-
son for leading an alleged coup d’état attempt. During his
eignty, and access to the knowledge and technology of their
imprisonment he had a vision of the angel Gabriel that con-
conquerers. He offered them his own example as an African
vinced him he was God’s last prophet, charged with the di-
who, as a result of his schooling and resultant professional
vine mission of bringing Christianity to all those people not
positions, could function in the world of the Europeans and
yet converted. In 1913, after his release from prison, Harris
Americans as well as in an African milieu. Thus the unprece-
went to the Ivory Coast, where his message was well received.
dented movement of religious conversion that missionaries
The Ivorians, who found their traditional spiritual guardians
characterized as a “tidal wave” or “avalanche” to Christianity
ineffective in warding off the colonial onslaught, welcomed
also had a secular influence; Harris’s movement inspired
Harris’s message of a stronger spiritual force.
Ivorians to learn the pragmatic tactics necessary to regain
Harris told them to destroy the altars, masks, and other
their sovereignty and to create new institutions within which
material representations associated with their indigenous re-
to do so.
ligion and to worship the Christian god as he taught them.
Because he inspired Ivorians to such manifestations of
In little more than one year, he had baptized what colonial
collective indigenous initiative, which the colonial adminis-
officials estimated at from 100,000 to 120,000 people; Cath-
tration perceived as a direct threat to its control over its sub-
olic missionaries, who had been summoned by the colonial
jects, Harris was expelled from the Ivory Coast in 1914.
government to inculcate loyalty to France among its new
Those who persevered in worshiping as Harris had taught
subjects, had succeeded in baptizing only four hundred peo-
them were persecuted by the colonial officials, often with the
ple in the previous two decades.
assistance of the Catholic missionaries.
To complete the Christianization of those he baptized,
Harris sent them to the Catholic missions and to his Protes-
The Harrist church appealed to Ivorians because it rep-
tant disciples from Sierra Leone and the Gold Coast (now
resented a form of Christianity based on indigenous organi-
Ghana) who were working in the Ivory Coast. In areas where
zational, conceptual, and ritual structures. Harris had such
there were neither missions nor disciples, Harris delegated
appeal to the Ivorians not only because he considered the
village leaders to teach their fellow villagers what they had
conceptual structures and preoccupations of the traditional
learned from him.
religion but also because he offered desirable solutions to the
immediate problems engendered by the colonial situation.
The Catholic missions were inundated with Harris’s
Additionally, Harris’s style of presentation corresponded to
converts, and his African Protestant disciples continued to
the indigenous mold pioneered by priests of the traditional
convert and teach multitudes in the prophet’s name. When
nature spirits.
a Protestant missionary from Europe arrived in the Ivory
Coast in 1924, expecting to find no Ivorian Protestants be-
That the prophet Harris was a native Liberian is signifi-
cause there had been no European Protestant missionaries
cant because of Liberia’s special meaning in Africa. Created
there, he encountered tens of thousands of Ivorians worship-
by African Americans seeking freedom from the oppression
ing autonomously, calling themselves Harrist Protestants
of American racism, Liberia was a symbol of the possibility
and exhorting him to send the “teachers with Bibles” Harris
of the redemption of Africa from European exploitation by
had said would come to teach them the word of God.
and for Africans and their descendants abroad.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HARRISON, JANE E.
3781
Influential African American leaders in Liberia, such as
lution did not necessarily result in progress. In the introduc-
Edward Wilmot Blyden, believed that African Americans
tion to Themis she characterized the gods of Homer, the
could share with the Africans the benefits of Western knowl-
sculptors, and the mythographers as “like a bouquet of cut
edge and experience, to be synthesized with the Africans’
flowers, whose bloom is brief, because they have been severed
own wisdom and techniques for the creation of a new sover-
from their roots.” The goal of Prolegomena was to discover
eignty. It is therefore particularly appropriate that William
those roots.
Wade Harris, a symbol of African potential for the Ivorians,
should have brought his message from Liberia, a symbol of
Harrison was always open to new influences: in the in-
African potential and freedom from oppression.
troduction to Themis Bergson and Durkheim appear, joined
in the preface to the second edition (1927) by Freud, who,
SEE ALSO African Religions, article on New Religious
together with Gilbert Murray, had convinced her that “the
Movements.
full-blown god, the Olympian, has a biological function
which could never be adequately filled by the [eniautos-] dai-
B
mon [that is, the ‘year-spirit’] who lies behind each and every
IBLIOGRAPHY
The Prophet Harris by Gordon Mackay Haliburton (London,
primitive god.” The analysis of the year-spirit, together with
1971) is a biography of the Liberian prophet based on both
his ritual, is the goal of Themis. Harrison did not abandon
the oral tradition and archival data. René Bureau’s Le pro-
belief in the eniautos-daimon, of whose importance field an-
phète Harris et la religion harriste (Abidjan, 1971) is a descrip-
thropologists were by this time supplying evidence, but she
tion of the current structure and functioning of the Harrist
now acknowledged that the Olympians were not merely the
church today. My book The Religious Revolution in the Ivory
products of art and literature and that they served a religious
Coast: The Prophet Harris and the Harris Church (Chapel
function. The balance had already been corrected in Epilego-
Hill, N.C., 1983) is the first complete analysis of the growth
mena, whose publication preceded the second edition of
and evolution of the Harrist church out of the phenomenal
Themis. In Epilegomena the influence of Freud and Jung is
mass movement to Christianity created by William Wade
everywhere apparent, together with that of “the greatest of
Harris. For an analysis of other religious movements that
arose from varying interpretations of the prophet Harris’s
Russian philosophers,” Vladimir SolovDev.
message by different populations and leaders (e.g., Crast-
For a variety of reasons Themis was not well received.
chotche, the Deima church, the churches of Bodjo Aké,
It presented so many new ideas, and drew on so many disci-
Jonas Zaka, Bébéh Gra, and Papa Nouveau in the Ivory
Coast, and the Church of the Twelve Apostles in Ghana), see
plines, that even workers in the field who sympathized with
my study “The Message as the Medium: The Harrist
Harrison’s approach to her subject confessed themselves puz-
Churches of the Ivory Coast and Ghana,” in African Chris-
zled by some of the work. The introduction to Themis claims
tianity: Patterns of Religious Continuity, edited by George
to give a simple account of the book’s contents, but the ac-
Bond, Walton Johnson, and me (New York, 1979).
count merely highlights the complexity. Harrison had an in-
satiable appetite for new material, for fresh light on the world
SHEILA S. WALKER (1987)
and its ways. When she wrote Themis her ideas, stimulated
by the new material, were still in ferment. The book’s plan
and argument are less clear than its author supposed at the
HARRISON, JANE E. (1850–1928), English authori-
time of publication. In addition, some readers found the
ty on ancient Greek religion. Harrison, one of the first female
book threatening. Prolegomena concerns ancient Greece, and
students of the University of Cambridge, taught classics
indeed a period long antedating the Greek classics. Themis
throughout her career at Newnham College, Cambridge.
may be concerned with explaining certain Greek cults and
Her reputation rests primarily on three works: Prolegomena
rituals, but its thesis of the development of deities from the
to the History of Greek Religion (1903), Themis (1912), and
collective representations of group rituals evidently had a
Epilegomena (1921).
wider relevance. Harrison, an agnostic and a lifelong member
of the Rationalist Association, had come to value the reli-
Prolegomena, published when its author was fifty-three
gious impulse as an attempt to “apprehend life as one, as in-
years old, testifies to her recognition of the importance of the
divisible, yet as perennial movement and change.” But all
still comparatively new disciplines of archaeology and an-
dogmas and creeds and the gods associated with them were
thropology at a time when most teachers of the Greek and
in her eyes “the eidola of man’s marketplace . . . dead men,
Latin classics were convinced not only that the objects of
hollow ghosts.”
their study contained nothing of the “primitive” but also that
the behavior of “primitive” societies could teach them noth-
Epilegomena exhibits a change. Its preface states the
ing relevant to their studies. For Harrison, the living essence
book’s goal as not merely to summarize the results of many
of Greek religion was not the Olympians, so prominent in
years’ work on the origins of Greek religion but to indicate
the literature and in the major temples of Greece, but the an-
the bearing of these results on religious questions of today.
cient rituals, performed long after their original significance
Its third chapter, “The Religion of Today,” presents an ascet-
was forgotten. In the spirit of the anthropology of her day,
ic view of life which commands her approval. Epilegomena
she was both evolutionist and comparatist, but for her, evo-
most clearly charts Harrison’s intellectual development; read
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3782
HARTLAND, E. SIDNEY
before Prolegomena and Themis, it clarifies the views ex-
chology. But it is a psychology that must be reconstructed
pressed in her earlier books.
from the simplest and most archaic phenomena that anthro-
Breadth of vision, empathy, and enthusiasm character-
pological research can discover. The pursuit of this method
ize Harrison’s work. Its fate is inevitably linked with that of
led Hartland from Celts and Teutons to other European
the anthropologists, psychologists, and philosophers whose
peoples and, beyond them, to Pacific islanders and American
thought stimulated and molded her own. Some of her con-
Indians, among others. The result was that stories familiar
clusions, inevitably, are now of merely historic interest, but
to some of Hartland’s Western contemporaries were traced
the subsequent development of the study of Greek religion
to a more primitive state of society and a more archaic plane
has been profoundly influenced by her work.
of thought.
In criticizing such writers as Hartland, Mauss pointed
BIBLIOGRAPHY
out that they explained the form of religious institutions by
Each of Harrison’s three principal works on Greek religion is cur-
appealing to individual mental processes to the neglect of so-
rently available in a reprint edition: Prolegomena (1903; re-
cial needs and interrelationships among institutions. This
print, Atlantic Highlands, N.J., 1981), Themis (1912; re-
premise fell into disfavor late in Hartland’s life with the rise
print, Boston, 1963), and Epilegomena (1921; reprint, New
of a socially and culturally oriented anthropology. Similarly
Hyde Park, N.Y., 1962). A standard biography is Jessie G.
the emphasis on intensive local fieldwork made the compara-
Stewart’s Jane Ellen Harrison: A Portrait from Letters (Lon-
tive method applied by Hartland seem antiquated.
don, 1959).
New Sources
BIBLIOGRAPHY
Burnside, Carol Emma. “Jane Ellen Harrison’s Contribution to
The Science of Fairy Tales (London, 1891) offers a most readable
the Study of Religion.” Religion 24 (1994): 67–72.
entry to Hartland’s thinking about traditional oral literature
Carpentier, Martha C. “Jane Ellen Harrison and the Ritual Theo-
and to his application of the comparative method, while the
ry.” Journal of Ritual Studies 8 (1994): 11–26.
three volumes of The Legend of Perseus (London, 1894–
Peacock, Sandra J. “An Awful Warmth about Her Heart: The Per-
1896) show his sustained and detailed attempt to trace the
sonal in Jane Harrison’s Ideas on Religion.” In Cambridge
appearances of a single story and to relate them to “custom”
Ritualists Reconsidered, pp. 167–184. Atlanta, 1991.
and “superstition.” Both these early works invite comparison
with later ventures toward a science of mythology. Hart-
A. W. H. ADKINS (1987)
land’s opinions on a range of religious topics are convenient-
Revised Bibliography
ly collected in Ritual and Belief: Studies in the History of Reli-
gion (London, 1914).
KENNETH MADDOCK (1987)
HARTLAND, E. SIDNEY (1848–1927), was an En-
glish folklorist and armchair anthropologist. Hartland is a
good example of the polymaths produced by the Victorian
era, contributing prolifically to a wide range of topics but
HARVA, UNO (1882–1949), was a Finnish scholar of
practically forgotten today. Although he wrote books on
religion and a specialist in the religious traditions of Finno-
primitive law, primitive society, and the priority of matrilin-
Ugric and Siberian peoples. Harva became one of the first
eal kinship, Hartland’s favorite subject was religion, and his
advocates for comparative religion studies in Finland during
opinions obtained attention not only in his native Britain
the first decade of the twentieth century (Finland was a grand
but from such leading figures of the day as the French com-
duchy of Russia until 1917). Harva dedicated his academic
parativist Marcel Mauss and the Austrian theorist and histo-
endeavors to advance pluralistic cultural values in the name
rian of religion Wilhelm Schmidt.
of the Enlightenment and an awareness of the accomplish-
ments of the Finns and other Finno-Ugric peoples as agents
Among Hartland’s contributions to the study of religion
of history. Under the tutelage of Edward Westermarck,
may be mentioned his theory of magic and religion. He con-
Harva was introduced to the theories of cultural evolution
sidered that the early humans’ awe and wonder were aroused
and the methods of ethnographic fieldwork prevalent in con-
by their sense of a power behind appearances. Through per-
temporary British social anthropology. Westermarck, who
sonification early humankind shaped gods or spirits with hu-
held positions at both the University of Helsinki and the
manlike dispositions, making it natural to attempt to placate
London School of Economics, had carried out extensive
or control them ritually. Thus, although magic and religion
fieldwork in Morocco, beginning in 1898. Westermarck had
can be distinguished—the one using coercive ritual proce-
worked closely with such prominent figures in anthropology
dures, the other propitiatory—they spring from the same
as Charles Seligman and Alfred Cort Haddon; he instructed
psychological root and are interwoven in human practice.
his Finnish disciples to collect firsthand ethnographic data
A like reductionism appears in Hartland’s study of Celt-
on which to base comparative analyses of ethnoreligious ma-
ic and Teutonic fairy tales. Assuming the unity of the human
terials. Unlike his fellow Finnish Westermarckians who em-
imagination, he held that questions concerning the nature
barked on anthropological studies of non-European cultures,
and distribution of these tales lead into the domain of psy-
Harva chose to specialize in the oral traditions and ethnic re-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HARVA, UNO
3783
ligions of peoples belonging to the Uralic language family.
panies in Helsinki to produce a series of monographs on the
In addition, the science of ethnography had become a stan-
indigenous religions of the peoples related to the Finns (in
dard approach in Finland in the 1830s, when Finnish lin-
Finnish, Suomen suvun uskonnot, 1918). Krohn asked Harva
guists traveled in Russia and Siberia to collect linguistic data
to write three volumes—on the religions of the Permians, the
with which to substantiate the theory of M. A. Castrén of
Mari (Cheremiss), and the Saami (Lapp) peoples. The first
the Altaic origin of Finnish language.
two monographs were published in Finnish in 1914 and the
Harva was initiated into Finno-Ugric studies by Kaarle
one on the Saami in 1915. In 1913 Harva defended his doc-
Krohn, a professor of folklore at the University of Helsinki
toral dissertation, a study of the water gods of the Finno-
between 1898 and 1928. Krohn’s paradigmatic Finnish, geo-
Ugric peoples (Die Wassergottheiten der finnisch-ugrischen
graphic-historical method had received worldwide attention
Völker; 1913). After the intense and extremely productive
among folklore scholars. Harva was an adherent of both the
first years of his academic career, Harva was invited to con-
Krohnian geographic-historical paradigm and the Wester-
tribute to the Mythology of All Races (1916). The volume on
marckian empiricism and comparativism. His aim was to un-
Finno-Ugric and Siberian mythology was written by the
ravel the origins and development of early forms of religion
spring of 1916 but was not published until 1927.
among the peoples speaking Uralic languages. He adopted
Harva was a historian of religion, an ethnologist, and
the theory that the kinship between different Finno-Ugric
a folklorist. He explored mythic structures in the ancient cos-
peoples was based not only on language but also on other
mologies of peoples living in the vast geographical area ex-
cultural factors. The theory implied that the beliefs and prac-
tending from Scandinavia in the west to the Bering Straits
tices that still prevailed among other technologically and so-
in the east and to the old areas of Central Asia and Asia
cially “less developed” Finno-Ugric peoples living in Russia
Minor in the south. He showed morphologically related
and in Siberia could shed light on religious evolution among
themes in the mythic narratives of shamanic hunters, cattle-
the Finns and Hungarians. Harva created a comparative-
breeding agriculturalists, and nomadic pastoralists. These in-
typological method by which to explore the forms and struc-
cluded center of the world (axis mundi) symbolism and anal-
tures of religious expression and the processes of transition
yses of motives in Mother Goddess (Magna Mater) tradi-
from the cultural stage of hunting and fishing to the agricul-
tions; they also dealt with themes and motives in shamanistic
tural stage. The theory was concerned with indigenous reli-
traditions, such as the significance of the shaman costume,
gious elements; only marginal attention was given to the
the shaman’s tree, and his ascent to the sky. Harva’s achieve-
spread of organized world religions. Geographically, Harva’s
ments as a student of myth, cosmology, and ritual have been
field of vision extended from the Finnic peoples in the cul-
valued highly by Mircea Eliade, Bronislaw Malinowski, and
tural area of the Baltic Sea and the Saami living in the Lap-
Weston LaBarre among others.
land territory across northern Sweden, Norway, Finland, and
Russia to the Permians (Udmurt and Komi), the Volga Finns
In his works Der Baum des Lebens (1922); Finno-Ugric,
(Meadow and Hill Mari), and Mordvinians (Ersä and
Siberian [Mythology] (1927); and Die religiösen Vorstellungen
Moksa) as well as the Ob-Ugrian ethnic groups (Khanty and
der altaischen Völker (1938; translated into French in 1954
Mansi) in Siberia. Harva conducted fieldwork among the
and 1959 and into Japanese in 1971 and 1981), Harva creat-
Udmurt (previously Votyaks) and the Mari (Cheremiss) in
ed a distinctive way of systematizing mythological and reli-
1911 and 1913 and among the Ket (Yenisei Ostiaks) and the
gious materials. He identified in the traditional religions of
Evenk (Tungus) in Siberia in 1917.
all peoples a fundamental body of structure beliefs that dom-
Born in 1882 in Ypäjä, in southwestern Finland, Harva
inated premodern thought and behavior. Harva did not draw
first trained as a theologian and even served as a priest for
a sharp distinction between the notion of religion and that
one year in a small parish in central Finland. His father was
of tradition. According to him, any popular, or nontheologi-
a minister of the Evangelical Lutheran Church and an active
cal, religion is based on the oral transmission of local knowl-
member of the evangelical revivalist movement. Harva, how-
edge revolving around ritual interaction between people and
ever, experienced a spiritual crisis and resigned his position
invisible terrestrial and celestial forces. Such components as
in 1907 to return to Helsinki to pursue further academic
beliefs in gods and souls, veneration of the dead, hero cults,
studies in comparative religion. In addition to participating
animated and anthropomorphized natural phenomena, ge-
in a seminar led by Westermarck, Harva was invited by Kaar-
nius loci of sacred places in inhabited and uninhabited areas,
le Krohn to contribute articles on Saami (Lapp) shamanism
or the location of ritual behavior during the critical boundary
to the Encyclopaedia of Religion and Ethics (1928). The editor
points of the annual economic cycle are integral to any indig-
of the encyclopedia, James Hastings, had approached Kaarle
enous religious tradition.
Krohn in 1904 as “the highest authority on the ancient reli-
Harva was a rationalist who looked for order and sys-
gions of the Finns” to contribute to the encyclopedia. (Let-
tematic structure in the empirical materials under scrutiny.
ters of Kaarle Krohn, James Hastings to Kaarle Krohn, June
In his mature years he felt a reluctance to engage in theoreti-
10, 1904).
cal discussions of religion. However, he was not methodolog-
Krohn organized opportunities for other scholars as well
ically naive. His work reflected the anthropogeographic ideas
and signed a contract with one of the major publishing com-
put forward by the German geographer Friedrich Ratzel
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3784
H:ASAN AL-BAS:R¯I
(1844–1904), and he became an adherent of the culture-
Harva (Holmberg), Uno. Der Baum des Lebens. Annales Ac-
historical school in ethnology. He adopted the tenets of logi-
ademiae Scientiarum Fennicae B 16: 3. Helsinki, Finland,
cal empiricism as his epistemological point of departure. He
1922. Republished as Der Baum des Lebens: Göttingen und
was fascinated by the idea of finding an explanation of folk-
Baumkult. Bern, 1996.
religious beliefs and practices in the work of biologists. On
Harva (Holmberg), Uno. “Über die Jagdriten der nördlichen
some occasions, however, this fascination led him astray.
Völker Asiens und Europas.” Journal de la Société finno-
Drawing on association psychology, he believed he could un-
ougrienne 41 (1925): 1–53.
cover the working of the ordinary mind. In explaining, for
Harva (Holmberg), Uno. Die Religion der Tscheremissen. FF Com-
instance, folk narratives about a mythical milk-stealing being
munications 61. Helsinki, Finland, 1926.
in the Finnish and Scandinavian agrarian belief tradition, he
Harva (Holmberg), Uno. Finno-Ugric, Siberian. The Mythology
reduced the belief to the perception of ball lightning. Simi-
of All Races, 13 vols. Edited by Canon John Arnott MacCul-
larly, beliefs in haunting by dead beings were generated by
loch; consulting ed., George Foot Moore. Boston, 1927.
the sounds of specific birds. Harva considered that belief tra-
Harva (Holmberg), Uno. Die religiösen Vorstellungen der altaischen
ditions are firmly founded on human auditions and visions;
Völker. FF Communications 125. Helsinki, Finland, 1938.
due to a lack of real (i.e., scientific) knowledge about phe-
Harva (Holmberg), Uno. Die religiösen Vorstellungen der Mord-
nomena in the biotic world, however, people tend to draw
winen. FF Communications 142. Helsinki, Finland, 1952.
false conclusions about the origin of such phenomena.
Harva (Holmberg), Uno. Les représentations religieuses des peuples
altaïques: Traduit de l’allemand par Jean-Louis Perret.
Harva’s remarkable contributions to comparative reli-
L’espèce humaine 15. Paris, 1959.
gion led to a discussion regarding the establishment of a uni-
Harva (Holmberg), Uno. Shamanizumu: Arutai-kei sho minzoku
versity chair in the discipline in Finland. this did not happen,
no sekaizo¯. Tokyo, 1971.
however, and the only permanent position Harva held dur-
Honko, Lauri. “Uno Harva.” In Biographica: Nordic Folklorists of
ing his academic career was a professorship in sociology at
the Past, edited by Dag Strömbäck. Arv. Tidskrift för
the University of Turku between 1926 and 1949. After being
Nordisk Folklivsforskning 25–26: 57–66. Stockholm, 1970.
invited to the professorship in 1926, he abandoned his Swed-
LaBarre, Weston. The Ghost Dance: The Origins of Religion. New
ish name, Holmberg, and changed it to Harva in 1927. As
York, 1978.
a sociologist he lectured and wrote on Finno-Ugric systems
Letters of Kaarle Krohn. Literary Archives, Finnish Literature So-
of relationship, on marriage customs (especially the relation-
ciety. Helsinki, Finland.
ship between the kin of the bride and the bridegroom), on
Malinowski, Bronislaw. Sex, Culture, and Myth. New York, 1962.
gender distinctions and the position of women in the social
structure of various Finno-Ugric societies, and most specifi-
VEIKKO ANTTONEN (2005)
cally on calendar systems and the popular reckoning of time.
Harva’s major theoretical concern was the relationship be-
tween the individual and the social collective in archaic socie-
H:ASAN AL-BAS:R¯I (AH 21–110/642–728 CE) was a fa-
ties. While he emphasized the collective nature of social life
mous Muslim ascetic of the generation following the prophet
in archaic cultures in the manner of Émile Durkheim (1858–
Muh:ammad. The son of a freed slave, he was born in Medi-
1917), he was nevertheless more influenced by the work of
na and brought up in nearby Wa¯d¯ı al-Qura¯. During the First
Lucien Lévy-Bruhl (1857–1939).
Civil War, which resulted in the rise of the Umayyad caliph-
ate, H:asan moved to Basra, where he settled permanently
SEE ALSO Finno-Ugric Religions.
after a brief career as holy warrior in what is now Afghanistan
and as secretary to the governor of Khorasan.
BIBLIOGRAPHY
To a simple religious spirit such as H:asan, the social and
Anttonen, Veikko. Uno Harva ja suomalainen uskontotiede (Uno
Harva and the science of religion in Finland). Helsinki, Fin-
economic changes accompanying the schisms and coups
land, 1987.
d’état within Islam amounted to an excess of worldliness.
Thus he reacted much more sharply to this disease in the
Anttonen, Veikko. “Uno Harva’s Studies on Religious Rituals of
the Mari.” Acta Ethnographica Academiae Scientiarum Hun-
hearts and behavior of the people than he did to the tyranny
garicae 35, nos. 3–4 (1989): 319–332.
of the Umayyad government, then personified in al-H:ajja¯j,
the governor of Iraq. Though openly critical of the Umay-
Anttonen, Veikko. “Uno (Holmberg-)Harva as Field-
yads, H:asan refused to “bid them good and forbid them evil”
Ethnographer.” In Uralic Mythology and Folklore, edited by
Mihály Hoppál and Juha Pentikäinen, pp. 33–48. Eth-
(because, he said, their swords were faster than our tongues)
nologica Uralica 1. Budapest, Hungary, and Helsinki, Fin-
or to participate in uprisings against them. Likewise, he ad-
land, 1989.
vised others not to oppose by the sword a punishment or test
Harva (Holmberg), Uno. Die Wassergottheiten der finnisch-
from God, such as the tyrant al-H:ajja¯j, but to face it with
ugrischen Völker. Mémoires de la Société finno-ougrienne 32.
patience and repentance: God, said H:asan, brings change
Helsinki, Finland, 1913. Republished as Das Wasser des Le-
and relief through these means rather than through hasty re-
bens: Göttingen und Wasserkult [Überarbeitet, egänzt und
sort to violence. Thus, a Kha¯rij¯ı who tries to right a wrong
herausgegeben von Kurt Derungs]. Bern, 1997.
(through violence) commits a greater wrong.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HASIDISM: AN OVERVIEW
3785
Although he was an acknowledged expert in the Islamic
7, part 1, (Leiden, 1915), pp. 114–129. In his pioneering
religious sciences of tafs¯ır (QurDanic exegesis), fiqh (jurispru-
Essai sur les origines du lexique technique de la mystique musul-
dence), and h:ad¯ıth (traditions of the Prophet), and he was
mane (Paris, 1922), pp. 152–175, Louis Massignon empha-
also said to have lectured and written books on these sub-
sizes H:asan’s ascetic side, in contrast to the idealistic tradi-
jects, H:asan’s fame rests on his pietistic and dogmatic con-
tion prevailing in Kufa. Helmut Ritter’s “Studien zur
cerns. Here his interest lay not in theological doctrine but
Geschichte der islamischen Frömmigkeit: 1, H:asan
el-Basr¯ı,” Der Islam 21 (1933): 1–83, provides an excellent
in the quality of faith and action, in the inner, genuinely sin-
analysis along with the edited text of H:asan’s letter to EAbd
cere, pious life of the heart translated into an outer, morally
al-Malik, which has formed the basis for later studies. Joseph
upright, ascetic mode of living. Equipped with extensive
van Ess’s Anfänge muslimischer Theologie (Beirut, 1977) and
knowledge and a living memory of the practice of the Proph-
Michael Cook’s Early Muslim Dogma: A Source-Critical
et’s companions, an attractive personality, an eloquent
Study (New York, 1981) are almost exclusively concerned
tongue, and most of all, a fearful heart and an upright charac-
with H:asan’s theological views.
ter, H:asan engaged in preaching against worldliness and its
HASAN QASIM MURAD (1987)
resulting hypocrisy. His sermons and letters are grim re-
minders of the transience of worldly life, the permanent
value of the life in the hereafter, and the inevitability of death
and divine retribution, as well as moving exhortations to fear
HASIDISM
God and foster sincere faith and upright conduct. The
This entry consists of the following articles:
muna¯fiqu¯n, those worldlings with skin-deep faith and readi-
AN OVERVIEW
ness to sin, were morally aberrant believers in acute danger
HABAD HASIDISM
SATMAR HASIDISM
of hellfire and hence urgently in need of help.
H:asan’s doctrine of qadar (free will) was also morally in-
spired, directed as it was against the sinners’ deterministic ra-
HASIDISM: AN OVERVIEW
tionalizations. Challenged by Caliph EAbd al-Malik to de-
Hasidism is the common appellation of a Jewish pietistic
fend and define his position, he indicated that humans have
movement that developed in eastern Europe in the second
power (qudrah) to choose freely; that good and guidance
half of the eighteenth century, became, before the end of that
come from God, who has foreknowledge of both good and
century, a major force in modern Judaism, and has remained
evil (the latter coming from humans or the devil); that God’s
as such. Previous Hasidic movements in Jewish history—
predestination is not coercive nor his foreknowledge prohibi-
mainly the Ashkenazic Hasidism of medieval Germany
tive for human free choice. The reports that H:asan recanted
(twelfth–thirteenth centuries) and the early h:asidim of the
his belief in free will were probably later attempts by the or-
tannaitic period (first–second centuries CE)—will not be dis-
thodox Sunn¯ıs to clear his reputation of what had come to
cussed here. Rather, the movement at hand is that called, in
be regarded as heresy, although the possibility remains that
the writings of the opponents of Hasidism and some histori-
he did partially modify his position.
ans, “Beshtian Hasidism,” a sobriquet that refers to the
movement’s founder, YisraDel ben EliEezer, known as the
The fact that both the S:u¯f¯ıs and the MuEtazilah regard-
BeSHT (an acronym for BaEal Shem Tov, “Master of the
ed H:asan as one of their forerunners is a mark of his impor-
Good Name”).
tance and influence as an ascetic and a theologian. It is even
ROOTS OF THE MOVEMENT. Hasidism did not emerge, as
more remarkable that the Sunn¯ıs take pains to count him
most other Jewish religious movements did, from the schools
among their own predecessors despite his novel attitudes in
of the higher social strata and leading intellectuals. Its first
matters of piety and dogma. And it is a measure of his imme-
teachers belonged to a social group of popular preachers who
diate impact that on the day H:asan died, evening prayers
used to wander from one community to the other, usually
could not be held in the mosques because the whole city of
among the smaller and poorer Jewish communities in Podo-
Basra was busy attending his funeral.
lia and the neighboring areas. Many of these preachers were
suspected of Shabbatean tendencies, and they found their au-
BIBLIOGRAPHY
dience among the small merchants and the poor in peripheri-
Besides numerous fragments of sermons (mawa Eiz) and a few bits
al areas. This fact influenced the later development of the
and pieces of his QurDanic exegesis, some of H:asan’s letters
Hasidic movement. Even after Hasidism grew dominant in
(rasa Dil) have survived, including those addressed to caliphs
E
larger communities, it remained faithful to the social groups
Abd al-Malik and EUmar II. In addition, H:asan has been fre-
that supported it in its early beginnings, and an awareness
quently quoted as an authority in tafs¯ır, h:ad¯ıth, and fiqh lit-
of the religious needs of the uneducated and the poor became
erature, as well as a¯da¯b (belles lettres) and akhla¯q (ethics, par-
ticularly exhortative).
one of the traits of the movement.
The earliest basic source on H:asan’s life and thought is Ibn SaEd’s
Attempts to describe Hasidism as a movement of social
Kita¯b al-t:abaqa¯t al-kab¯ır, edited by Edward Sachau and oth-
rebellion of the poor against the rich, the downtrodden mass-
ers as Biographien Muh:ammads, seiner Gefährten und der
es against the leaders, have failed. There is no evidence that
späteren Träger des Islams bis zum Jahre 320 des Flucht, vol.
the Hasidic teachers intended to change the social 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
3786
HASIDISM: AN OVERVIEW
of Jewish communities. But Hasidism did emphasize the
Luria of Safad (1534–1572) that were used extensively by the
ability of the lower social groups to actively participate and
Shabbateans.
achieve a high position in Jewish religious practice.
The other side of the Shabbatean response to the con-
The religious background for the appearance of the Ha-
version was a retreat to ultraorthodoxy or cryptoorthodoxy,
sidic movement is the Shabbatean crisis. While various histo-
often with some pietistic (“Hasidic”) elements. Explaining
rians differ in their descriptions of the main reasons for the
that the crisis of the Shabbatean endeavor was caused by the
emergence of Hasidism and in their evaluation of the social
insufficient spiritual support the messiah received from his
and cultural reasons for its success, there is little doubt that
followers, these Shabbateans adopted a way of life that em-
the movement served as an answer to the most profound reli-
phasized continued practice of repentance, self-negation, and
gious crisis that affected Judaism from the late seventeenth
insistence on strict adherence to every detail of Jewish reli-
through the eighteenth centuries. Gershom Scholem de-
gious law. Groups of such h:asidim appeared in several Jewish
scribed Hasidism as the neutralization of the messianic ele-
communities in eastern Europe that were the centers for spir-
ment in Judaism after the Shabbatean crisis, and while some
itual seeking. Not all of their members were Shabbateans,
scholars insisted that there are messianic elements in Hasi-
and the Shabbateans themselves were divided in many ways.
dism, none disputed the direct relationship between Hasidic
But when the new Hasidic movement emerged, it did so
theology and the Shabbatean sects that flourished in eastern
against the background of several groups or sects of h:asidim
Europe in the eighteenth century.
that had already become a common phenomenon in the
major centers of Jewish culture in eastern Europe.
Jewish theologians of the seventeenth and eighteenth
centuries, many of whom persisted in believing in the messia-
The relationship of Hasidism to Shabbateanism and the
nism of Shabbetai Tsevi, had to develop a theology that
Frankist movement is complicated. On the one hand, an
would explain the paradox of a messiah committing the
early Hasidic legend tells how in the BeSHT’s participation
worst possible transgression against orthodox Judaism—
in the Lvov disputation of 1759, he defended Judaism from
Shabbetai Tsevi’s conversion to Islam in 1666. Various the-
the accusations of the Frankists. On the other hand, another
ologies were developed, some of which called upon the be-
Hasidic tradition quotes the BeSHT as lamenting the con-
lievers to follow the messiah and convert to Islam, thereby
version of the Frankists following that disputation, claiming
creating a “coalition” between Judaism and Islam against
that as long as a limb is connected to the divine body of the
Christianity; others maintained that belief in Shabbetai Tsevi
Shekhinah it can be cured, but once severed it is lost forever.
could be continued within Judaism provided the believer ex-
In a similar vein, there are found motifs of understanding
press his attachment to the new messianic, redemptive period
and closeness to the Shabbatean experience coupled with
that began with the appearance of Shabbetai Tsevi. These ex-
fierce negation and rejection of the Shabbatean message. The
pressions eventually covered a whole range of possibilities,
BeSHT is described as trying to save the soul of Shabbetai
from the most anarchistic, antinomian ones of the Frankist
Tsevi from Hell, where he saw him stretched out on a table
movement in Poland in the middle of the eighteenth century
with Jesus Christ; Shabbetai Tsevi then tried to pull the
to the mild celebrations of TishEah be-Av (the ninth day of
Besht down, and only by a great effort did the BeSHT suc-
the month of Av, the day of the destruction of the Temple
ceed in extricating himself. It seems that though the condem-
and a day of fasting, which the Shabbateans turned into a
nation of Shabbateanism by the H:asidim was absolute, the
celebration of Shabbetai Tsevi’s birthday).
idea that the Shabbateans could and should be saved also per-
sisted in Hasidic circles. Members of the Bratslav sect of Has-
Among the various expressions of the continued belief
idism believed that their leader, Nah:man of Bratslav, was
in Shabbetai Tsevi as the Messiah, two are of interest in un-
destined to correct the religious damage done by the Shab-
derstanding the beginnings of Hasidism: the most radical
batean movement.
one and the most orthodox one. The radical Frankist move-
HISTORY. The history of the early Hasidic movement can be
ment, which proclaimed that in the new messianic world the
divided into four main periods, each a major step in its devel-
way to preserve the Torah was to destroy it, was regarded as
opment.
a sign of a deep crisis in Jewish religion and education. The
Frankists, before converting to Christianity, participated in
1. The circle of the BeSHT (c. 1740–1760). The
a religious dispute (in Kamenets in 1757 and in Lvov in
BeSHT seems to have been in contact with a group of wan-
1759) during which they were reported to have directed a
dering preachers, like himself, who in their homiletics
blood libel (accusation of a murder for ritual purposes)
preached a new kind of worship and presented a new concep-
against their Jewish coreligionists. This aberrational move-
tion of the role of the elect in Jewish religion. They were qab-
ment, which included some very tempting ideas that cap-
balists, following the main mystical symbols of the Lurianic
tured the hearts of many, signified the need for a reformula-
school but emphasizing the achievements of the individual
tion of Jewish organized religious life as well as for the
and his ability to assist his brethren in religious matters. De-
formulation of new answers to basic theological questions,
vequt (communion with God) was one of the main subjects
especially the interpretation of qabbalistic symbols from the
they preached, stressing humankind’s ability to attain cons-
thirteenth century Zohar and from the teachings of Isaac
tant communion with God. It is possible that parallel 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
HASIDISM: AN OVERVIEW
3787
BeSHT’s circle of adherents there were other pietistic groups
Dov Ber, published by his disciples, and then many other
in some of the major centers of Jewish culture in eastern Eu-
collections of sermons by his followers. The only work pub-
rope. Some of these circles were influenced by various Shab-
lished in this period in the form of an ethical work and not
batean ideas; all were aware of the Shabbatean crisis.
the usual collection of sermons was ShneDur Zalman’s TanyaD
(see below). By the beginning of the nineteenth century the
2. The first Hasidic center in Mezhirich (1760–
Hasidic movement had an organized leadership, prolific lit-
1772). After the BeSHT’s death, the leadership of the Ha-
erature, well-defined communities and areas of influence,
sidic movement was assumed by his disciple, Dov Ber of
and an established standing in the general framework of Jew-
Mezhirich (now Miedzyrzecz, Poland). He held “court” in
E
ish life.
his home, where many young Jewish intellectuals as well as
common people gathered to listen to his sermons. These
4. The development of Hasidic “houses” or “lines of
were transcribed by his disciples and later published in sever-
succession” (shoshalot). To a very large extent this process
al versions. The court of Dov Ber (called the maggid, i.e.,
has continued to the present. Many of Dov Ber’s disciples
“preacher”) was described, among others, in the autobiogra-
served as founders of several Hasidic communities when
phy of Salomon Maimon, who had visited it in his youth.
their disciples scattered and each established his own “house”
In this period begins the history of Hasidism as an organized
and community. The custom of passing Hasidic leadership
movement, led by an accepted authority.
from father to son or, in some cases, son-in-law, became
more and more frequent, until it was universally accepted
3. The disciples of Dov Ber (1773–1812). This is the
that the new leader had to be from the family of the previous
most important period, in which Hasidism became a major
leader. These “houses” usually bore the names of the towns
force within Judaism. Several of Dov Ber’s disciples created
in which they were established, even after the center was
“courts” like that of their teacher, and led Eedot
moved to another country—Poland, for instance, where
(“communities”), around which thousands, and then tens of
many centers were located in Warsaw before the Second
thousands, of adherents gathered, accepting the leadership of
World War—or to another continent such as to the United
that disciple and making their community an alternative so-
States or Israel, where many of the centers are today. The his-
cial and religious organization of Jews, distinct from the he-
tory of Hasidism has since fragmented into the separate his-
gemony of the traditional rabbinate. Elimelekh of Lizhensk
tories of various houses or schools. Only two of the commu-
(now Lezajsk, Poland), ShneDur Zalman of Lyady (Belarus),
nities have preserved their specific ideological and
Menah:em Mendel of Vitebsk, and, to some extent, Nah:man
organizational profile, remaining distinct from all others,
of Bratslav belong to this category. In this period of Hasidic
throughout this period—Habad Hasidism, founded by
theory of the tsaddiq was developed and began to shape both
ShneDur Zalman of Lyady, and Bratslav Hasidism, the fol-
Hasidic thought and social organization. At this same time
lowers of Nah:man of Bratslav, the BeSHT’s great-grandson.
the H:asidim became a distinct group, not only because of
The rift between H:asidim and their opponents has obtained
the internal development of Hasidism, but also because of
until this day; most Jews of east European descent belong to
the growing opposition to it from the school of Eliyyahu ben
family lines of either H:asidim or mitnaggedim (“op-
Shelomoh Zalman, the “Gaon of Vilna,” which published
ponents”).
several pamphlets against Hasidic ideology and practice, de-
nouncing them as heretics and excommunicating them, even
SPREAD OF THE MOVEMENT. The spread of Hasidism after
trying to enlist the help of the Russian government against
the death of Dov Ber in 1772 occurred at the same time that
their leaders (especially ShneDur Zalman of Lyady, founder
the opposition to the emerging Hasidic movement was grow-
of the Habad sect). This fierce opposition was motivated
ing. After that year, for a period of nearly fifty years, their
both by fears that the H:asidim were going to undermine the
opponents orchestrated repeated declarations excommuni-
traditional Jewish social structure, which was based on the
cating the Hasidic leaders and several times enlisted the help
prestige of the scholars and Talmudists, and by the fear of
of the Russian government in their efforts, claiming that the
another Shabbatean movement. There is no doubt that the
H:asidim, as heretics, were undermining the foundations of
growing opposition to Hasidism contributed significantly to
the state. The documents concerning this organized opposi-
the internal cohesion of the Hasidic communities and creat-
tion have been collected by Mordecai Wilensky and analyzed
ed clear lines of demarcation between areas in which the
in a detailed, two-volume study.
H:asidim became dominant and areas governed by their op-
ponents.
The persecution by their opponents did not halt the
spread of the movement, which gathered momentum and
It was in this period that Hasidic literature was initially
gained new communities and adherents in the end of the
published. The first works were those of YaEaqov Yosef of
eighteenth century and the first half of the nineteenth centu-
Polonnoye, the BeSHT’s greatest disciple, whose volumi-
ry. The disciples of Dov Ber and their disciples established
nous collections of sermons include most of the existing ma-
the great Hasidic houses. Levi Yitshaq established an impor-
terial concerning the teachings of the BeSHT (the first Ha-
tant Hasidic community in Berdichev, while Menah:em
sidic work published was YaEaqov Yosef’s Toledot Ya Eaqov
Nahum built the house of Chernobyl, which was continued
Yosef, Korets, 1780). These were followed by the sermons of
by his son, Mordechai Twersky, and went on for many 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
3788
HASIDISM: AN OVERVIEW
erations. YisraDel of Rizhyn (now Ruzhin, Ukraine), a descen-
symbols of Lurianic mysticism, especially that of shevirat ha-
dant of Dov Ber, built the Rizhyn-Sadigora house; his four
kelim (“the breaking of the divine vessels”), the description
sons who followed him made it into one of the most impor-
of the catastrophe within the divine world that is the origin
tant and eminent Hasidic communities in Russia. Mosheh
of evil, according to Luria. The idea of tsimtsum (divine self-
Hayyim Efrayim of Sedlikov (now Sudylkow, Poland), a
contraction) was elaborated by the H:asidim (especially by
grandson of the BeSHT, did not lead a community, but his
Dov Ber), but in a completely different manner than in
book, Degel mah:aneh Efrayim, a work of Hasidic sermons
Luria’s original thought. According to Luria, this was the
that often relies on direct traditions of the BeSHT, was influ-
drastic process of divine contraction away from the world,
ential. In Poland and Lithuania Hasidism became a major
which vacated the space in which the cosmos was going to
force through the work of Shelomoh ben MeDir of Karlin and
be created from the divine light of the godhead, the first exile
H:ayyim H:aiqel of Amdur (Indura). Hasidic communities in
of God. According to Hasidism, however, this was a neces-
the Land of Israel were established in Safad and Tiberias by
sary process, for the world could not absorb the full power
Manah:em Mendel of Vitebsk and Avraham ben Aleksander
of the undiluted divine light. The act of tsimtsum, the con-
Kats of Kalisz who migrated to the Land of Israel in 1777.
traction of that light, was intended to facilitate the accep-
In the beginning of the nineteenth century a group of great
tance of divine light, in a less concentrated form, by the righ-
leaders gave renewed impetus to the spread of Hasidism,
teous in the created world. Instead of the original Lurianic
among them YaEaqov Yitsh:aq (“the Seer of Lublin”), YaEaqov
idea of a mythological catastrophe, the H:asidim presented
Yitsh:aq ben Asher of Pshischa (now Przysucha, Poland), and
a theology in which this process was the result of divine be-
Avraham YehoshuEa Heschel of Apt in Moldavia (now Opa-
nevolence toward the faithful.
tow, Poland). Manah:em Morgenstern established the great
house of Pshischa-Kozk, and Shalom Rokeah the Belz
The H:asidim also deemphasized the Lurianic concept
H:asidim. Mosheh Teitelbaum, a disciple of YaEaqov Yitsh:aq
of tiqqun (restoration), the process by which messianic re-
of Lublin, created the powerful and influential Satmar Hasi-
demption is enhanced by the collective efforts of the Jewish
dism in Hungary. By the middle of the nineteenth century
people as a whole; they preferred instead the concept of deve-
Hasidism was the dominant force in most Jewish communi-
qut (communion with God), a process of individual redemp-
ties in eastern Europe, and most Hasidic houses continued
tion by which a person uplifts his own soul into contact with
their existence and development until the Holocaust.
the divine powers. The description of the ten qabbalistic sefi-
rot, the ten divine hypostases, is closer in Hasidic works to
THEOLOGY AND ETHICS. It is nearly impossible to describe
the thirteenth-century system of the Zohar than to the much
Hasidic theology and ethics as being distinct from previous
more complicated system of Luria.
Jewish ideologies because Hasidic teachers preached their
ideas in the form of sermons, which included all layers of ear-
Extent of messianism in Hasidism. There is an em-
lier Jewish thought. Almost all the main ideas and trends
phasis in Hasidic literature on personal religious achievement
found in early-eighteenth-century Hebrew homiletical litera-
rather than on the general, national, and cosmic impact of
ture also appear in Hasidic thought, and attempts to define
religious life. The redemptive element, while still strong in
specifically Hasidic ideas, or even emphases, usually fail be-
Hasidism, often emphasizes the redemption of the individu-
cause similar examples can easily be produced from earlier
al’s soul rather than that of the nation or of the cosmos as
homiletical literature. A second difficulty is that every Ha-
a whole. This is a slight departure from Lurianic Qabbalah,
sidic teacher developed his own theology and ethics and his
but not all Hasidic teachers shared this view, and some non-
own list of priorities that may distinguish him or his group
Hasidic writers, who either predated Hasidism or belonged
but never characterize all the hundreds of teachers and writ-
to the opponents of Hasidism, also often stressed the empha-
ers who created Hasidic literature. It is unfeasible to general-
sis on the individual in qabbalistic symbolism.
ize from one or a group of Hasidic teachers to the movement
The place of the messianic element in Hasidic thought
as a whole. Every definition is therefore a necessarily subjec-
has been a subject of controversy among contemporary
tive one. Thus only a few general outlines, qualified by the
scholars. In a detailed study in 1955, Ben Zion Dinur tried
preceding statements, can be presented concerning Hasidic
to prove that the H:asidim, following the BeSHT himself, de-
theology.
veloped an esoteric messianic system that was hidden in most
Relationship to Lurianic Qabbalah. Hasidism relies
of their works but served as the main purpose and drive be-
on qabbalistic terminology and is largely based on Lurianic
hind Hasidic preaching and the expansion of its influence.
Qabbalah. In many specific formulations, however, the
This approach was severely criticized by Gershom Scholem,
H:asidim seem to have preferred the simpler symbolism of
who saw in Hasidism the neutralization of the Lurianic and
the Zohar (the main qabbalistic work written in northern
Shabbatean acute messianism and a new emphasis on indi-
Spain in the late thirteenth century) to that of H:ayyim Vital
vidual redemption through the process of communion with
(1543–1620), the disciple of Luria who wrote the main body
God. Isaiah Tishby recently analyzed early Hasidic texts and
of Lurianic teachings.
found that many of them include more messianic elements
Hasidic theology, like other qabbalistic schools of the
than Scholem suggested. There is no doubt that, on the
eighteenth century, downplayed the most dramatic mythical
whole, early Hasidism rejected the more extreme messianic
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HASIDISM: AN OVERVIEW
3789
tendencies; the works of Dov Ber can be characterized as
as teachings accessible to everybody and offered to all righ-
neutralizing the messianic drive. But Hasidic teachers in
teous Jews; later it was merged with the doctrine of the
their various works reveal differing attitudes, and some of
tsaddiq.
them may have had stronger messianic inclinations than the
Hasidism as revival of traditional spirituality. The
Maggid and even the BeSHT.
spiritual side of religious life holds a central place in Hasidic
In the early nineteenth century there was a renewed
teachings, following the traditions of medieval Hebrew ethi-
messianic enthusiasm with Hasidism. Nah:man of Bratslav
cal and homiletical literature. Great emphasis is placed on
developed a messianic system (see below), and under the im-
the correct qabbalistic intentions in prayers (kavvanot), on
pact of Napoleon’s invasion of Russia in 1812 are found sev-
spiritual repentance, on the love and fear of God, and on so-
eral Hasidic leaders engaged in messianic activity. In contem-
cial justice and love for fellow people. While very few new
porary Hasidism the Habad sect seems to be deeply
ideas on these subjects are to be found in the vast Hasidic
motivated by an acute belief in an imminent messianic re-
literature, the movement undoubtedly represents a revival of
demption, concentrating its activities on enhancing this pro-
these spiritual values within the framework of everyday reli-
cess by strict adherence to religious commandments.
gious life. In this respect, then, there is no basis to the fre-
Hasidic approach to God. In early Hasidic literature
quent descriptions of Hasidism as an original phenomenon
there is an emphasis on direct, emotional worship of God
that changed the face of traditional Judaism; but it can be
and a deemphasis on contact with God through constant
claimed that the H:asidim collected many spiritualistic ideas
study of the Torah and Talmud and diligent observance of
and practices from previous Jewish sources and brought
the particulars concerning the performance of the mitsvot.
them to the foreground of their teachings and Jewish wor-
This does not mean that the H:asidim did not study the
ship in a more central way than before. In this sense their
Torah or that they disregarded the mitsvot, as their oppo-
endeavor can be described as “revivalistic.”
nents often claimed; rather, the H:asidim stressed the impor-
THE DOCTRINE OF THE TSADDIQ. While these ideas charac-
tance of mystical contact with God through devequt, usually
terize Hasidism, they do not distinguish the Hasidic move-
attained while praying but also achieved when a person is
ment from previous Jewish religious movements or from the
working for his livelihood or engaged in any other physical
other religious movements of that time, even that of the mit-
activity.
naggedim. Many of these ideas are found, and emphasized,
in late eighteenth-century and early nineteenth-century non-
There are many precedents for this attitude in pre-
Hasidic Jewish works of ethics and homiletics. Hasidism,
Hasidic Jewish thought, and there are many exceptions to
however, can be defined as a separate movement, different
it among Hasidic teachers. Still, it seems that on the whole,
from all others preceding or contemporary to it, because of
H:asidim perceived a wider range of modes of worship as ac-
its doctrine of the tsaddiq (“righteous man”), which sets clear
ceptable and commendable than did their detractors, and
boundaries, in theory and in practice, between H:asidim and
that the mystical aspect of everyday religious life is more
non-H:asidim.
prominent among the H:asidim. This attitude led to the pre-
vailing conception of Hasidism as oriented toward the needs
The theory of the tsaddiq presented Judaism with a new
of the simple believers, the uneducated, and even the igno-
concept of religious leadership that was both charismatic and
rant—a conception based primarily on very late (end of the
mystically motivated. According to this theory, in every gen-
nineteenth and early twentieth centuries) collections of sto-
eration there are some righteous persons who can and
ries and one that is considerably exaggerated.
should, by their outstanding mystical worship, correct the
sins and transgressions of lesser-endowed people. The H:asid
Good and evil. Hasidic teachers, more than non-
(follower) has only limited ability to approach the godhead
H:asidim, contributed to the development of a conception of
and to carry out difficult religious tasks, especially the correc-
the way to fight evil within one’s soul that is different from
tion of evil, including that in his own thoughts and deeds.
the prevailing Lurianic one. On the one hand, Lurianic the-
The leader, the righteous tsaddiq, whose soul emanated from
ology described a common source for good and evil, claiming
a very high place in the divine realm, is the one to carry out
that both emanate from the godhead; but, according to
these tasks for his generation and especially for his followers,
Luria, evil cannot exist unless it is in close contact with the
the members of the Hasidic community that he leads. Thus
good and derives sustenance from it. In order to overcome
the tsaddiq is an intermediary between the Hasid and God,
evil, the righteous must separate good from evil, thus making
bringing before the heavenly powers (the qabbalistic sefirot)
the latter’s existence impossible. Shabbatean thinkers, on the
the prayers and religious achievements of his community. He
other hand, emphasized that evil can be overcome from with-
receives forgiveness for the sins of his followers and effects
in by correcting it. Dov Ber of Mezhirich and other Hasidic
the elevation of the evil within them, transmuting it into
teachers insisted that evil can and should be overcome by ab-
good at the common source of both in the divine realm.
sorbing it, uplifting and making it again a part of goodness,
believing that the spiritual stature of the “corrected” or “re-
The tsaddiq himself does not contain any evil; the sins
pentant” evil is higher than that of the elements that were
he uplifts and corrects are those of his community. One de-
always good. In early Hasidic works this theory is presented
scription of this transaction—found in the works of 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
3790
HASIDISM: AN OVERVIEW
formulator of this theory, Elimelekh of Lizhensk, a disciple
The theory of the tsaddiq was the focal point of Hasidic
of Dov Ber—is that the sins of the community appear to the
theology, shaping to a very large extent Hasidic social organi-
tsaddiq as evil thoughts that he then uplifts and rehabilitates
zations and ways of worship as well. According to this theory,
into good thoughts. This theory demands that the tsaddiq be
the tsaddiq not only provides the H:asidim with spiritual re-
in constant movement between good and evil, heaven and
demption for their souls but also promises them the basic
earth (ratso D va-shov, “ran and returned,” after Ezekiel 1:14).
earthly needs—their livelihood, delivery from illness, and as-
He has to be close to the evil that he is to correct, subjecting
surances that they will have children (banei, h:ayyei, mezonei;
himself to the process of a “fall” (yeridah) or “smallness” (qat-
literally, “my sons, my life, my food”). The H:asidim, for
nut, a term used in Lurianic theology only to refer to the di-
their part, have to give the tsaddiq spiritual support; their be-
vine powers when they descend from their high dominion).
lief in his superhuman role enables him to achieve his spiritu-
When he uplifts evil and turns it into goodness, he is united
al tasks. They are also obligated to supply the tsaddiq’s every-
with the divine powers in a state of “greatness” (gadlut). This
day needs so that he may support himself and his family.
dynamism is the most characteristic aspect of the tsaddiq
The tsaddiq became the center of the Hasidic communi-
concept, and there is no difficulty in ascertaining the source
ty. His court was their meeting place several times each year;
from which the H:asidim, probably unwittingly, derived it.
his room became the place where they brought their com-
Even before Shabbetai Tsevi’s conversion to Islam, his
plaints and requests; his blessing was believed to ensure both
“prophet,” Natan of Gaza, described his messianic role as an
earthly and heavenly success. The H:asidim congregated to
intermediary between the godhead and evil on earth. The
listen to the tsaddiq’s prayers and sermons, worshiped with
changing moods of Shabbetai Tsevi, probably caused by a
him with great qabbalistic “intentions” (kavvanot), and prac-
manic-depressive state, were explained as resulting from his
ticed the religious commandments, often with joy and hap-
constant movement between his source and origin among
piness. The task of uplifting evil was thus taken from the
the sefirot and the realm of the devil on earth. After his con-
shoulders of the individual Jew and consigned to the tsaddiq
version, Shabbatean theologians explained that in order to
as the representative of the community and the intermediary
overcome evil the Messiah had to merge with it and destroy
power between heaven and earth.
or correct it from within. There are close parallels between
Not all the tsaddiqim accepted this role. There were sev-
the Shabbatean concept of the Messiah and the Hasidic con-
eral leaders who were uncomfortable with this mode of wor-
cept of the tsaddiq, and there can be little doubt that the
ship; they left their communities and secluded themselves.
H:asidim created their system on the heels of Shabbatean
Notwithstanding these exceptions, the basic Hasidic atti-
theology.
tudes to social organization and everyday worship were de-
Nevertheless, the Hasidic concept of the tsaddiq is not
veloped according to the lines drawn by the doctrine of the
messianic in the same sense as its Shabbatean precursor. The
tsaddiq.
tsaddiq is undoubtedly a quasi-messianic figure, but his influ-
The most important variant to this doctrine grew out
ence is limited in time and place—he “redeems” only his
of Bratslav Hasidism, founded by Nah:man of Bratslav
own community in his own lifetime. The redemption that
(1772–1810), the grandson of the BeSHT’s daughter.
the tsaddiq accomplishes is not the general, national, and cos-
Nah:man’s life passed in conflict with other tsaddiqim; he re-
mic redemption of Shabbateanism. Rather, he effects indi-
fused to accept their authority even over their own commu-
vidual redemption of the souls in his community—those of
nities. When he died his followers chose not to nominate an-
his followers—only while he is alive; after his death his suc-
other tsaddiq but continue, to this very day, to believe that
cessor (his son or relative) will continue in this task, while
Nah:man was the “true tsaddiq” (tsaddiq ha-emet) and that
at the same time dozens of other tsaddiqim are performing
the Messiah, who will redeem Israel, will be his reincarna-
the same task for other communities in other places. It may
tion. In the Bratslav doctrine of the tsaddiq there is, to a very
be stated that Hasidism broke down the Shabbatean concept
large extent, a return to the Shabbatean concept of one re-
of the messiah into small fragments, each of which is the tsad-
deemer for all; the redemption therefore assumes historical
diq for his own time and place. Instead of one messianic fig-
dimensions.
ure who inaugurates the historical redemption, Hasidism
provides a process of constant redemption of the souls of the
Another important variant is that of the Habad Hasi-
believers, a process carried out by every tsaddiq within the
dism, founded by ShneDur Zalman of Lyady (1745–1813),
boundaries of his time and place. When viewed in terms of
a disciple of Dov Ber. From this school is obtained the most
a messianic movement, Hasidism destroyed the basis for any
detailed information concerning the organization of a tsad-
large, messianic upsurge, replacing it with the small, everyday
diq’s court. At the same time, Habad Hasidic works seem to
process of individual redemption. It is possible that the vehe-
minimize the redemptive role of the tsaddiq, especially as
ment opposition of the Hasidic movement as a whole, with
outlined in the works offered to the public as a whole, such
very few exceptions, to modern Jewish nationalism and Zi-
as ShneDur Zalman’s TanyaD. Habad developed a highly cen-
onism should be understood in this light. If individual re-
tralized global organization headed by the tsaddiq, with an
demption is assured by faithfulness to the tsaddiq, the impor-
emphasis on the teaching of Jewish ethics and practice of the
tance of national redemption is diminished.
mitsvot and basic qabbalistic theology, relegating the more
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HASIDISM: AN OVERVIEW
3791
developed messianic and redemptive elements in their theol-
The studies of scholars such as Gershom Scholem, Jo-
ogy to esoteric groups among the Habad adherents. Habad
seph G. Weiss, Isaiah Tishby, Mendel Pierkaz, and others in
is reputed to insist on a more intellectual version of Hasi-
the last generation restored the serious study of Hasidism and
dism, but many other communities share this same trend.
based it on philological, historical, and ideological scrutiny
of the Hasidic texts themselves. Hasidism is the latest chapter
The doctrine of the tsaddiq also contributed to the
in the history of Jewish mysticism, in which qabbalistic sym-
emergence of a special kind of hagiographic literature, for the
bols became central to a wide, popular movement that pro-
tsaddiq could easily serve as a religious hero to stories of this
duced a new type of religious leadership and introduced reli-
kind. A body of legends in which the BeSHT was a central
gious-mystical values to modern Orthodox Judaism.
hero was collected early in the nineteenth century under the
title Shivh:ei ha-Besht: (In praise of the BeSHT), following the
SEE ALSO Judaism, article on Judaism in Northern and
earlier example of Shivh:ei ha-Ari, which was about Isaac
Eastern Europe to 1500.
Luria. The tales told by Nah:man of Bratslav in his last years
were published as Sippurei ha-ma Easiot le-rabbi Nah:man, sto-
BIBLIOGRAPHY
ries describing in a veiled manner the spiritual conflicts and
Several important book-length studies of Hasidism are to be
messianic drives of Nah:man. Many stories were told by the
found in English. Simon Dubnow’s classic Geschichte des
H:asidim about their leaders, but these began to be published
Chassidismus, 2 vols. (Berlin, 1931), is still the best factual
only in the last third of the nineteenth century, mostly by
description of the development of early Hasidism. A brief
non-Hasidic authors, editors, and publishers, and later by
but profound description of Hasidic mysticism is to be found
some Hasidic publishers. Many of these stories are nothing
in “Hasidism: The Last Phase,” the last chapter in Gershom
but adaptations of ancient Jewish folktales in which the spe-
Scholem’s Major Trends in Jewish Mysticsm, 2d ed. (New
York, 1954), pp. 325–350; the reader may use previous
cific tsaddiqim are inserted as heroes. Hasidism throughout
chapters in this book to study main qabbalistic terminology
its history, including contemporary Hasidism, chose the ser-
and symbols. Scholem’s studies of Hasidic concepts of com-
mon to be its basic literary genre and mode of expression.
munion with God and messianism can be found in his col-
This vast body of homiletical literature is the basic and often
lection of essays, The Messianic Idea in Judaism and Other Es-
the only source for Hasidic theology and practice. Some tsad-
says on Jewish Spirituality (New York 1971), pp. 176–250.
diqim prepared, or their disciples collected, brief anthologies
The Hasidic idea of the intermediary between God and humanity
of the sayings of the leaders, and a few tsaddiqim wrote ethi-
is studied in Samuel H. Dresner’s book The Zaddik (Lon-
cal works, such as Tanya D, but the dominance of homiletical
don, 1960), and the biography of one of the creators of this
literature in authentic Hasidic literature is uncontested.
idea, Nah:man of Bratslav, is presented in a profound book
by Arthur Green, Tormented Master (University, Ala., 1980).
MISCONCEPTIONS ABOUT HASIDISM. In popular works
An anthology of early Hasidic texts in English translation is
about Hasidism that focus on material derived from late Ha-
to be found in my book The Teachings of Hasidism (New
sidic hagiography and collections of sayings of Hasidic teach-
York, 1983). A selection from the works of an early Hasidic
ers culled from their homiletical works and sermons, Hasi-
master has been translated and edited by Arthur Green in
dism is often described as a popular movement concentrated
Upright Practices: The Light of the Eyes, by Manah:em Nah:um
around charismatic leaders who impress their believers by
of Chernobyl (New York, 1982). The most important collec-
various miracles and exemplary ethical behavior, without any
tion of Hasidic stories about the BeSHT is In Praise of the
theological or mystical basis. In some accounts even the strict
Baal Shem Tov, translated and edited by Dan Ben-Amos and
adherence of H:asidim to the commandments of Judaism is
Jerome R. Mintz (Bloomington, Ind., 1970).
missing, and Hasidism appears as a kind of “ethical Judaism”
Many articles about specific problems in Hasidic history and
based on enthusiastic celebration of festivals and social
thought were written in English. The most important ones
ethics.
are those of Joseph G. Weiss, especially “Via Passiva in Early
Hasidism,” Journal of Jewish Studies 11 (1960): 137–155,
This erroneous image of Hasidism is the product of the
and “The Kavvanoth of Prayer in Early Hasidism,” Journal
literature written by Jewish writers in Hebrew and Yiddish
of Jewish Studies 9 (1958): 163–192. A recent study of the
in the early twentieth century, such as Shalom Asch, Yitshaq
theory of Hasidic leadership is to be found in Arthur Green’s
Loeb Perez, and Yehudah Steinberg, who portrayed Hasi-
“The Zaddiq as Axis Mundi in Later Judaism,” Journal of the
dism in nostalgic terms after having left traditional Judaism
American Academy of Religion 45 (September 1977):
327–347.
and embraced Western ways of life. Some scholars and writ-
ers, from Martin Buber to Elie Wiesel, followed them to an
Most of the scholarly work concerning the history and theology
extent, perpetuating the image of Hasidism as pure, spiritual
of Hasidism was written in Hebrew. Among the most impor-
tant books are Rivka Schatz Uffenheimer’s Hasidism as Mys-
Judaism that expresses love of Israel, love of God, and love
ticism (in Hebrew with English summary; Jerusalem, 1968)
toward every human being. In their descriptions, modern
and her Maggid devarav le-Ya Eaqov (Jerusalem, 1976), a criti-
writers have tended to emphasize public behavior in the Ha-
cal edition of Dov Ber’s collection of sermons. A general sur-
sidic courts and to neglect the mystical, quabbalistic theology
vey of the works of the main Hasidic teachers is presented
and the theoretical basis of the worship of the tsaddiq in
in Samuel A. Horodetzky’s He-h:asidut veha-h:asidim, 4 vols.
Hasidism.
in 2 (Tel Aviv, 1951). The history of the controversies
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3792
HASIDISM: HABAD HASIDISM
around the Hasidic movement, and scholarly edition of the
HASIDISM: HABAD HASIDISM
relevant texts, is included in Mordecai Wilensky’s H:asidim
Habad is a distinctive Hasidic school founded by ShneDur
ve-mitnaggedim, 2 vols. (Jerusalem, 1970). The relationship
Zalman of Lyady (1745–1813) and led by a dynasty of his
between Hasidism and its sources in earlier Hebrew ethical
descendants, the Schneersohn family. Because his son Dov
and homiletical literature is studied in detail in Mendel Pie-
Ber (1773–1827) settled in the Belorussian town of Lu-
karz’s Bi-yemei tsemihat he-H:asidut (Jerusalem, 1978). A
bavitch and established a Hasidic center there, the Habad
study of Nah:man of Bratslav’s life, works, and main ideas is
movement is also widely known as Lubavitcher Hasidism.
to be found in Joseph G. Weiss’s Meh:qarim be-H:asidut Bres-
lav (Jerusalem, 1970) and Mendel Piekarz’s H:asidut Breslav
The most recent head of the movement was Menachem
(Jerusalem, 1972). A theological discussion of the theology
Mendel Schneerson (1902–1994), seventh in the line of suc-
of Habad Hasidism in the second generation is presented in
cession. There has been no replacement. Given the move-
Rachel Elior’s Torat ha-elohut ba-dor ha-sheni shel H:asidut
ment’s belief in Schneerson as a messianic figure, a future re-
H:abad (Jerusalem, 1982). A detailed study of Hasidic narra-
placement is unlikely. From its New York headquarters the
tive literature is to be found in my book Ha-sippur he-H:asidi
movement directs a vast array of religious, educational, and
(Jerusalem, 1975).
media ventures throughout the world.
A selection of articles on Hasidic history and thought in Hebrew
As a theological system, Habad represents the apex of
(some with English summaries) is listed below.
a cosmic mysticism within Judaism. Only God has real exis-
Elior, Rachel. “The Controversy over the Leadership of the
tence; all else, including the existence of the person as a sepa-
H:aBad Movement.” Tarbiz 49 (1979–1980): 166–186.
rate being, is illusory. The purpose of the spiritual life, assid-
Etkes, Emanuel. “Shit:ato u-faEalo shel R. H:ayyim mi-Volozhin
uously and systematically cultivated in Habad, is to bring the
Ki-teguvat ha-h:evah ha-mitnaggdit he-H:asidut.” Proceedings
devotee to the realization of this truth in heart and conduct
of the American Academy for Jewish Research 38/39 (1970–
1971): 1–45.
as well as in mind. Habad teaches, however, that the true
Gries, Z. “The Hassidic Conduct (Hanhagot) Literature from the
conversion is first and foremost an intellectual one. Whereas
Mid-Eighteenth Century to the 1830s.” Zion 46 (1981):
other Hasidic leaders emphasized the emotional experience
199–236, 278–305.
of God through practice, the moral life, and the virtues of
Scholem, Gershom G. “New Material on Israel Loebel and His
simplicity, ShneDur Zalman and his followers taught a highly
Anti-Hassidic Polemics.” Zion 20 (1955): 153–162.
abstract mystical theology and praised the virtues of contem-
Shmeruk, Chone. “Tales about RDAdam Baal Shem in the Ver-
plation and detachment. The name Habad (H:aBaD), which
sions of Shivh:ei ha-Besht:.” Zion 28 (1963): 86–105.
is an acronym for h:okhmah, binah, and da Eat (three aspects
Tishby, Isaiah. “The Messianic Idea and Messianic Trends in the
of the mental function), is indicative of this.
Growth of Hassidism.” Zion 32 (1967): 1–45.
Habad thought teaches that divinity is equally present
Weiss, Joseph G. “Beginnings of Hassidism.” Zion 16 (1951):
throughout the universe, and that the existence of the uni-
46–105.
verse itself is but an effulgence of light that comes from the
Weiss, Joseph G. “Some Aspects of Rabbi Nah:man of Bratzlav’s
eternal and unchanged One. This radiance, also identified
Allegorical Self-Interpretation.” Tarbiz 27 (1958): 358–371.
with the creative speech of God, takes on the form of cre-
New Sources
ation, and through it the One dons the garb of multiplicity.
Altshuler, Mor. The Messianic Secret of Hasidism (in Hebrew).
It does so in order that the presence of divinity will be con-
Haifa, Israel, 2002.
firmed even in the seemingly “lowliest” places, a gradation
Assaf, David. The Regal Way: The Life and Times of Rabbi Israel
that would have no meaning if not for the existence of the
of Ruzhin. Translated by David Louvish. Stanford Series in
corporeal world. The spreading forth of divine energy into
Jewish History and Culture. Stanford, 2002.
the furthermost corners of being is a constant process, with-
Brill, Alan. Thinking God: The Mysticism of Rabbi Zadok of Lublin.
out which the universe would lose even its semblance of
New York, 2002.
reality.
Fishkoff, Sue. The Rebbe’s Army: Inside the World of Chabad-
Lubavitch. New York, 2003.
The religious life is both a participation in this constant
Kanarfogel, Ephraim. Peering through the Lattices: Mystical, Magi-
spreading forth of divinity, through the bodily fulfillment of
cal, and Pietistic Dimensions in the Tosafist Period. Detroit,
the divine commandments, and a reversal of the process, in
2000.
which all things are “uplifted” and returned to their source
Magid, Shaul, ed. God’s Voice from the Void: Old and New Studies
in God through inward devotion and contemplative prayer.
in Bratslav Hasidism. Albany, 2002.
Habad is in part a reaction to the extreme early Hasidic em-
Schachter-Shalomi, Zalman. Wrapped in a Holy Flame: Teachings
phasis on prayer and inwardness alone as religious values. It
and Tales of the Hasidic Masters. Edited by Nataniel M.
insists that the physical enactment of the commandments,
Miles-Yepez. San Francisco, 2003.
even without understanding, has cosmic implications. There
Steinsaltz, Adin. Opening the Tanya: Discovering the Moral and
is also a great emphasis on Torah study in Habad circles, in-
Mystical Teachings of a Classic Work of Kabbalah. Translated
cluding the study of Habad theological works, again in con-
by Yaacov Tauber. San Francisco, 2003.
trast to the conduct of some other Hasidic groups. Study and
JOSEPH DAN (1987)
deed are taken as the activist side of the religious life, ever
Revised Bibliography
to be balanced with inwardness and contemplation.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HASIDISM: SATMAR HASIDISM
3793
Beginning in the early twentieth century, Habad took
glish and published by Kehot, the Lubavitch publishing
a leading role in the preservation of traditional piety, whose
house, including ShneDur Zalman’s TanyaD (Brooklyn, N.Y.,
hold over Jewry was weakening, and in providing an avenue
1956). On the Messiah controversy, see David Berger’s The
of return to tradition for Jews reared outside it. The previous
Rebbe, the Messiah, and the Scandal of Orthodox Indifference
Lubavitcher rebbe, Yosef Yitsh:aq Schneersohn (1880–1950),
(Portland, Ore., 2001), and for the Habad response, Chaim
was the leading rabbinic figure in Russia after sovietization
Rapoport’s The Messiah Problem: Berger, the Angel, and the
Scandal of Reckless Indiscrimination (Ilford, U.K., 2002).
and fought valiantly for the survival of religious Jewry there.
After his exile in 1927 and a period of residence in Latvia
ARTHUR GREEN (1987)
and Poland, the Lubavitch community settled in Brooklyn
SHAUL MAGID (2005)
in 1941 and later in the town of Kefar Habad in Israel. Both
centers remain vibrant. Particularly since the mid-1960s,
large numbers of previously unaffiliated American Jews have
HASIDISM: SATMAR HASIDISM
joined to swell the ranks of this movement, making it the
The school of Hasidic practice known as Satmar Hasidism
most prominent Hasidic group on the American scene. Dur-
arose in Satu-Mare (Satmar), Transylvania, in the decades
ing that same period, an openness to the uses of technology,
immediately preceding the Holocaust and rose to promi-
the integration of modern techniques of education and pub-
nence primarily in the postwar years. It is identified chiefly
lic relations, and a vague modernization of style, though
with the personality of YoDel Teitelbaum (1888–1982), who
carefully circumscribed within the bounds of Jewish law,
was rabbi in Satmar and, after his rescue from Hungary in
have raised questions about Habad in some more traditional-
1944, in the Williamsburg section of Brooklyn, New York.
ist Hasidic circles.
In a larger sense, Satmar may be said to represent the
In the latter half of the twentieth century, Habad invest-
distinctive Hasidic style that developed in northern Hungary
ed much of its energy in promoting the impending messianic
and Transylvania in the nineteenth century. Lying outside
era, touting its leader Schneersohn as the messiah. This activ-
the original heartland of Hasidism, Hungarian Jewry was
ity increased as their leader became infirm and no longer able
dominated by a learned and pious rabbinate that saw itself
to communicate. Schneersohn’s own position on his messi-
locked in a life-and-death struggle with the forces of assimila-
anic vocation has never been clarified. After his death on
tion and religious reform, forces that were far stronger in
June 12, 1994, the movement underwent a spiritual crisis.
Western-looking Hungary than they were in Poland and the
One faction continued to believe he was the messiah and
Ukraine. Here Hasidism served as a goad to the revitalization
would “rise up” and redeem Israel and the world. Another
of Orthodoxy, resulting in a bitter and sometimes fanatical
faction took a more agnostic approach. Few in leadership po-
tone that was absent from Hasidism in other areas.
sitions in contemporary Habad openly state that their rebbe
was (and is) not the messiah. The development and conse-
After the Holocaust, the Satmar rabbinical court in
quences of this remain to be seen.
Brooklyn became a center for the many thousands of pious
Hungarian Jews who had escaped the war only by the coinci-
This situation has sparked a vehement debate in Ortho-
dence of living in the last country to come under the domi-
dox Jewish circles about whether Habad messianism now
nance of the “final solution” and its executors. In Brooklyn,
constitutes a Jewish heresy. David Berger, an Orthodox Jew-
the Jewish life of prewar Hungary was reestablished almost
ish historian, penned a fiercely polemical book, The Rebbe,
unchanged, and the Satmar rabbi was especially known for
the Messiah, and the Scandal of Orthodox Indifference (2001),
his generous aid in the resettling of this Jewry. He was also
arguing that Habad messianism is indeed a Jewish heresy and
known for his unswerving and increasingly bitter opposition
should be shunned by all those who adhere to traditional Ju-
to Zionism, the state of Israel, and all forms of Judaism that
daism. Habad countered with a book-length rebuttal of Ber-
differed from his own ultraorthodox way of life. His writings,
ger’s accusations, The Messiah Problem: Berger, the Angel, and
while reflecting great rabbinic erudition, are polemical in
the Scandal of Reckless Indiscrimination (2002). The contro-
character, including the often repeated charge that the Holo-
versy constitutes one of the most serious and substantive de-
caust was divine punishment for the evil deeds of Zionist and
bates in traditional Judaism.
assimilationist Jews. In this sense Satmar represents a “last
stand” of certain traditional Jewish attitudes, but he is looked
BIBLIOGRAPHY
upon with hostility by most other Jewish groups, including
Habad thought is clearly summarized and presented by Louis Ja-
other Hasidim, as being overly self-righteous and unrealisti-
cobs in Seeker of Unity: The Life and Works of Aaron Starossel-
cally antagonistic to the modern world.
je (New York, 1966), as well as in the introduction and notes
to his translation of Dov Ber of Lubavitch’s Tract on Ecstacy
BIBLIOGRAPHY
(London, 1963). An excellent and highly original presenta-
Two sociological studies have examined the Satmar community
tion is Rachel Elior’s “HaBaD as a Contemplative System,”
in its American setting. These are George G. Kranzler’s Wil-
in the collection Jewish Spirituality (New York, 1986–1987),
liamsburg, a Jewish Community in Transition (New York,
edited by Arthur Green, vol. 14 in the World Spirituality se-
1961) and the more specifically focused The Hasidic Commu-
ries. Several classics of Habad thought are translated into En-
nity of Williamsburg (New York, 1969) by Solomon Poll.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3794
HASIDUT ASHKENAZ
New Sources
ligion and an impetus for the extension of knowledge of
Goetschel, Roland. “La diabolisation du sionisme dans las écrits
peoples and cultures the world over, thus transcending the
de R. Joël Teitelbaum, maître des hasidim de Satmar.” Les
prior provincialism of much of Western scholarship.
Retours aux Ecritures (1993): 133–156.
ARTHUR GREEN (1987)
BIBLIOGRAPHY
Revised Bibliography
Among the many works edited by James Hastings, he is chiefly
remembered for the following publications.
A Dictionary of Christ and the Gospels. 2 vols. New York, 1906–
HASIDUT ASHKENAZ SEE ASHKENAZIC
1908.
HASIDISM
Dictionary of the Apostolic Church. 2 vols. Edinburgh and New
York, 1915–1918. This contains articles by one hundred dif-
ferent scholars treating the texts and history of the Christian
HASKALAH
community to the end of the first century.
SEE JEWISH THOUGHT AND
PHILOSOPHY, ARTICLE ON MODERN THOUGHT
A Dictionary of the Bible: Dealing with Its Language, Literature and
Contents, Including the Biblical Theology. 5 vols. New York,
1898–1904.
Encyclopaedia of Religion and Ethics. 13 vols. Edinburgh and New
HASTINGS, JAMES (1852–1922), was a Scottish
York, 1908–1926.
Presbyterian minister and compiler and editor of voluminous
The Great Texts of the Bible. 20 vols. Edinburgh, 1910–1915.
works dealing with Christian texts and the subject matter of
religions. Born in Aberdeen, Scotland, Hastings attended the
New Sources
University of Aberdeen and was ordained a Presbyterian
Dempster, J. A. H. “Incomparable Encyclopaedist: The Life and
Work of Dr. James Hastings.” Expository Times 100 (1988):
minister in 1884; he later held pastorates in Free Church par-
4–8.
ishes in Kincardineshire and Dundee. Founder of the Exposi-
tory Times, he is best known for his indefatigable zeal as an
F. STANLEY LUSBY (1987)
editor of numerous works, which may be grouped into four
Revised Bibliography
types.
First are those comprising articles dealing with the texts
of early Christianity (e.g., A Dictionary of the Bible, 1898–
H:ATAM SOFER SEE SOFER, MOSHEH
1904; A Dictionary of Christ and the Gospels, 1906–1908; and
the Dictionary of the Apostolic Church, 1915–1918). Exegeti-
cal and expository in character and intended to provide stu-
dents of biblical literature with the most recent findings of
HAT:HAYOGA is historically the most influential, and
scholarship, the articles in these volumes were written by es-
today the best known, of the several schools of yoga derived
tablished (largely theologically conservative) scholars in com-
from the classical Yoga of Patañjali’s Yoga Su¯tra. Hat:hayoga
mand of the most recent methods of historical and textual
differs from classical Yoga, and from its sister schools, princi-
criticism and philological analysis and exegesis, and their
pally in the special emphasis that it gives to certain aspects
work represented a distinct advance in this field. Second are
of yoga doctrine and practices. Classical Yoga depends heavi-
the works that are primarily homiletical in character (e.g.,
ly on Sa¯m:khya metaphysics and tries to strike a balance be-
Great Texts of the Bible, 1914, and Greater Men and Women
tween physical exercises and meditation. Hat:hayoga tends to
of the Bible, 1914). Third is a series of works on Christian
prefer esoteric mysticism to systematic metaphysics and em-
doctrines, including the Christian Doctrine of Prayer (1915),
phasizes physical exercises over meditation. It also pays par-
The Christian Doctrine of Faith (1919), and The Christian
ticular attention to the acquisition of supernatural powers
Doctrine of Peace (1922).
and the conquest of disease and death. The set of mystical,
Fourth is the renowned Encyclopaedia of Religion and
supraphysical concepts contained in hat:hayoga texts make it
Ethics (13 vols., 1908–1926). This work, grand in vision and
one of the principal constituents and markers of the current
impressive in accomplishment, represents a scholarly
of Hinduism known as Tantrism.
achievement of the first importance. Intended to provide an
Many of the aspects of yoga that are especially associated
account of the various aspects of religion (beliefs, rituals, phi-
with hat:hayoga appear to be quite ancient. As early as the
losophies, theologies, ethics) among peoples the world over
R:gveda (10.136) is found a description of munis (ascetics)
and in all ages, the encyclopedia became a reference work
who possess the power of flying on the wind. Yogic practices
with no compeer for more than half a century. Exemplary
and concepts such as those elaborated in hat:hayoga texts al-
of the late nineteenth- and early twentieth-century interest
ready are mentioned prominently in the early Upanis:ads.
in producing encyclopedic collections of knowledge in vari-
The supraphysical “veins” (na¯d:is) of the human body, which
ous fields, the encyclopedia became both a resource for re-
become a central feature of the mystical anatomy of
viewing the results of scholarship concerning the study of re-
hat:hayoga, appear in the Cha¯ndogya Upanis:ad (8.6.6). 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
HATHOR
3795
cluded among these is a central vein leading to the crown of
Siddhasiddha¯nta Paddhati. One of the most important of
the head. Breath control is referred to, somewhat elliptically,
these techniques is the khecar¯ı (“she who moves in the sky”).
in the Br:hada¯ran:yaka Upanis:ad (1.5.23). The later
The yogin inserts his tongue in his throat, thus blocking both
S´veta¯´svatara Upanis:ad (2.8–15) describes the practices of
respiration and the descent of saliva. On the plane of the sub-
yoga, including breath control, in some detail and notes that
tle body, it is said that this practice blocks the descent of the
“he who has attained a body made of the fire of yoga will
nectar of immortality produced by the moon located beneath
not be subject to sickness, old age or death” (2.12).
the sahasra¯ra cakra. Normally this nectar falls into the fire
of the sun located in the lower body. The practice of the
Most of the elements of hat:hayoga appear in a more de-
khecar¯ı enables the yogin, according to the Hat:hayoga
veloped form in the descriptions of Tantric ascetics found
Prad¯ıpika¯, to “drink” this nectar and thus “live many years,
in the Ma¯lat¯ı-ma¯dhava of Bhavabhu¯ti (c. 725) and in the
free of disease and with a body as soft as the stem of a lotus.”
Hars:acarita of Ba¯n:a Bhat:t:a (c. 650). The majority of the ex-
tant texts of hat:hayoga, however, are associated with the
SEE ALSO Cakras; Flight; Gorakhna¯th; Kun:d:alin¯ı; Patañjali
somewhat later sect of the Ka¯nphat:a Yogis, sometimes called
the Grammarian; Yoga.
Na¯ths or Na¯th Siddhas. In the South the so-called Tamil
Siddhas of about the tenth to fifteenth century wrote poems
BIBLIOGRAPHY
grounded in the concepts and vocabulary of hat:hayoga.
One of the best scholarly discussions of hat:hayoga is Shashibhusan
These same concepts and vocabulary also pervade the works
Dasgupta’s Obscure Religious Cults, 3d ed. (Calcutta, 1969),
based principally on Bengali sources. Also excellent are
of Tantric Buddhism and even infiltrate the yoga literature
Kamil V. Zvelebil’s work on the Tamil Siddhas, The Poets
of the austere Jains. Because of the great religious and linguis-
of the Powers (London, 1973), and Mircea Eliade’s classic on
tic diversity of the literature, often coupled with an inten-
yoga in general, Yoga: Immortality and Freedom, 2d ed.
tionally hermetic style, scholarly understanding of its overall
(Princeton, N.J., 1969). The Sanskrit text that best describes
structure and history remains incomplete.
the practices of hat:hayoga is Swami Sva¯tma¯ra¯ma’s The Hat:ha
The idea of a supraphysical subtle body with its own
Yoga Prad¯ıpika¯ (New York, 1974), which includes an En-
glish translation of the text. The mystical anatomy of
anatomy forms the conceptual heart of hat:hayoga. Although
hat:hayoga is described in the S:at:cakraniru¯pana and
different texts describe this mystical anatomy somewhat dif-
Pa¯duka¯pañcaka, jointly translated by John George Woodrof-
ferently, most mention seven cakras, or “centers,” located in
fe as The Serpent Power, 7th ed. (Madras, 1964).
the trunk and head, connected by a network of na¯d:is, or
New Sources
“veins.” Each of these cakras takes the form of a lotus and
Burley, Mikel. Hatha-Yoga: Its Context, Theory, and Practice.
is associated with a particular yantra, or mystical diagram;
Delhi, 2000.
mantra, or mystical invocation; and god or pair of gods.
DAVID N. LORENZEN (1987)
The first cakra, called the mu¯la¯dha¯ra, or “root,” is a
Revised Bibliography
lotus of four petals located in the perineal area between the
anus and the sexual organs. Its yantra is an inverted triangle
with a lin˙ga of S´iva in its center together with the mantra
HATHOR was an ancient Egyptian mother-goddess fig-
“om:” and the elephant-headed god Gan:es:a. Coiled around
ure whose cult center was at Dendera in Upper Egypt. Rep-
the linga is a sleeping snake called Kun:d:alin¯ı, who blocks the
resented as partially or totally bovine, Hathor the Great was
top of the lin˙ga with her mouth. This Kun:d:alin¯ı represents
probably an assimilation of several goddesses with similar at-
the energy (´sakti) of S´iva. The yogin attempts to awaken her
tributes.
and make her ascend through the central na¯d:¯ı, called the
In the Old Kingdom Pyramid Texts (c. 2475 BCE for
sus:umna¯, passing through each of the remaining cakras until
the earliest copy) Hathor, whose name means “house of
she reaches the highest, called the sahasra¯ra (“lotus of a thou-
Horus,” personified the entire Heliopolitan ennead, or fami-
sand petals”) or brahmarandhra (“opening of brahman”), lo-
ly of gods, which provided the principal genealogy of the
cated on the top of the head. There Kun:d:alin¯ı unites with
Horus-king of Egypt. These nine gods began with Atum and
S´iva, an act that produces the supernatural powers and im-
proceeded through three more generations to Osiris and Isis,
mortality that the yogin seeks. Ultimately this union is iden-
the parents of Horus. With Hathor personifying this whole
tical with the experience of enlightenment itself.
group of gods, Horus became her son and the son of her
The various physical and meditative techniques em-
spouse, Re, the sun god, who had come to the fore by the
ployed by the adepts of hat:hayoga to achieve this experience
fifth dynasty.
involve the parallel immobilization of breath, semen, and
Hathor also figured prominently in the royal imagery,
mental activity. The term hat:ha, in fact, means “forceful sup-
particularly in the New Kingdom, when she was frequently
pression.” Thus, hat:hayoga is that meditative technique that
depicted as the cow suckling a young pharaoh, and often had
involves the forceful suppression of one’s senses and control
shrines or chapels dedicated to her. Her great temple at De-
of one’s bodily processes. These techniques are described
ndera, erected in the Ptolemaic and Roman periods, is
in such texts as the Hat:hayoga Prad¯ıpika¯ of Sva¯tma¯ra¯ma,
unique in several respects, including its many subterranean
the Gheran:d:a Sam:hita¯, the Goraks:a S´ataka, and the
passages and the so-called zodiacal ceiling of its roof’s kiosk.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3796
HAWAIIAN RELIGION
Another small cult temple of Hathor was founded by
uals essential for success in their calling. Upon the arrival of
Ptolemy IV at Deir al-Mad¯ınah, where many earlier tombs
Captain Cook, there had evolved two major and competing
show the “lady of the west,” a cow coming from the Theban
priestly orders to guide the ruling chief in temple worship.
mountain known as the Qurn. Thus as early as the New
The priests of the order of Kanalu were dedicated to the god
Kingdom she was associated with the necropolis of that area.
Ku¯ (moEoKu¯), and their rituals were considered to be strict
“Hathor of the sycamore” is a frequent epithet, and a temple
and demanding. The other priestly order of Paliku was dedi-
is known as far away as Sinai. There are several references in
cated to the god Lono. Their rituals were considered more
literary and medico-magical texts to the assistance rendered
flexible and relaxed. The principal god of each order was a
at birth by the seven Hathors and also to the fates they ordain
national god upon whose favor the expansion and prosperity
for the newborn. Hathor “the golden one” was known in
of the kingdom depended. Each order’s high priest, the
love poetry as goddess of love and patroness of lovers.
kahuna nui, was considered to be its founder’s direct descen-
The sistrum is a musical instrument commonly associat-
dant and an expert in every branch of religion. The high
ed with the worship of Hathor, and her son Ihy was a musi-
priest wielded political power by advising the ruler on how
cian deity. Priestesses of Hathor are known from all periods,
to win divine support. Failure was attributed to errors in
although in the later periods there was a tendency to assimi-
worship, to counter-magic, or to hidden infractions of kapu
late Hathor and Isis.
(taboo). A system of religiously sanctioned permanent and
temporary kapu controlled every phase of society and every-
BIBLIOGRAPHY
one’s life regardless of rank. The system began, tradition
Allam, Shafik. Beiträge zum Hathorkult (bis zum Ende des Mit-
states, when Wa¯kea got away from his wife Papa—giving
tleren Reiches). Münchner ägyptologische Studien, vol. 4.
Wa¯kea the opportunity to seduce their daughter—by having
Berlin, 1963.
a kahuna declare that the gods had made kapu two nights,
Bleeker, C. Jouco. Hathor and Thoth: Two Key Figures of the An-
during which husband and wife were required to separate.
cient Egyptian Religion. Leiden, 1973. Issued as a supplement
by the periodical Numen.
Public worship took place at heiau, or open-air religious
centers. The form, size, equipment, and location of a heiau
LEONARD H. LESKO (1987)
depended on a chief’s power to command labor and on the
kahuna-architect’s traditionalism or creativity. A simple un-
walled rectangular heiau had an altar, images, and a raised
HAWAIIAN RELIGION. The traditional religion of
platform. A complex type excluded the populace with stone
the Hawaiians was based on that of their Polynesian ances-
or palisaded walls that enclosed several terraces, an altar, con-
tors, who as fishermen and horticulturalists became long dis-
secrated images, refuse pits, burial grounds, an oracle tower
tance navigators and explorers. These were the first to settle,
covered by a kapa or bark cloth (an architectural feature
perhaps between the first and the seventh centuries CE, the
unique to these islands, as Captain Cook observed), and
fertile and geographically isolated Hawaiian Islands. Al-
houses for a drum, other sacred objects, an earth oven, and—
though inhabitants of the islands from Hawai‘i to Kaua‘i had
during kapu periods—for the ruler and important priests.
altered some of the ancestral beliefs and practices, the simi-
Outside the walls was a structure called the “house of Papa,”
larities between Hawaiian and other Polynesian religions im-
where the highest-ranking female chiefs, who were them-
pressed Captain James Cook, who in 1778 was the first Eu-
selves considered to be earthly goddesses, worshiped the pro-
ropean to visit the islands.
lific and ever-reborn Haumea (often identified with or as
Papa) and the water-spirit form of a deified female chief from
Believing that supernatural forces filled sea, sky, and
Maui (who was called Kihawahine), as well as other divine
earth, the Hawaiians personified them in countless named
beings.
and individualized deities, who controlled nature and hu-
mankind through their mana, or supernatural power. The
The walled, exclusive type of heiau was introduced, tra-
people retained cosmogonic gods from the homeland, such
dition states, by the high priest Pa¯Eao, probably a Tahitian
as Ka¯ne, Kanaloa, Ku¯, Lono, and goddesses like Hina and
who arrived in about the twelfth century. Pa¯Eao also intro-
Haumea, but they added aspects to these gods and included
duced the practice of human sacrifice, a strict priestly order
the deified dead, beings like the volcano goddess Pele, and
and ritual for Ku¯, and his personal god Ka¯Eli, who as
temperamental local spirits in their pantheon of supernatural
Ku¯-ka¯’ili-moku (“Ku¯ the island-snatcher”) became Kameha-
beings. This pantheon provided the inherited or acquired
meha I the Great’s (1758?–1819) inherited ‘aumakua and
guardian gods, or Eaumakua, of each individual, family, oc-
war god. Pa¯‘ao widened the existing gap between chiefs and
cupation, and profession. A god communicated its will
commoners by introducing new sacred royal symbols, such
through dreams, images, something in nature such as a shark
as the red-feather girdle, taboo standards (tapa-covered balls
or thunder, or a human prophet.
on sticks that were carried before chiefs as insignia of taboo),
PRIESTHOODS AND WORSHIP PLACES. The priests, or
and compulsory prostration (kapu moe) before those male
kahuna, who mediated between gods and people, were pro-
and female chiefs who were believed to be directly descended
fessional specialists trained in the material techniques and rit-
from the gods.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HAWAIIAN RELIGION
3797
Only a paramount chief could build the most sacred
makua-of-the-rain-filled-clouds; grateful fishermen left fish
type of heiau, where burned human sacrifices were offered
for Ka¯ne and sometimes for Kanaloa at a shrine, which was
to the highest Ku¯ gods. This functional type of heiau, called
usually only a rock or a pile of rocks. And after prescribed
a luakini (“many refuse pits”) or po‘okanaka (“men’s heads”),
rituals that took place during an earth-shaking storm, the
was used at times to pray for royal health and national pros-
dead of a ruling family of the island of Maui, who considered
perity; but essentially it was a war temple (if a subordinate
themselves descendants of Ka¯ne-hekili (“Ka¯ne-thunder”),
chief built one, it was a sign of rebellion). The general term
were transfigured by their ancestors and ‘aumakua into thun-
waihau referred to “comfortable” heiau where less complex
der and lightning.
rituals, without human sacrifice, were conducted. Most
heiau had economic functions relating to farming, fishing,
Early in the twentieth century, Robert Luahiwa, an el-
healing, rain, tapa-making (which was women’s work), and
derly Hawaiian from the island of Kaua‘i, described a cere-
so on. A chief had a religious duty to build these heiau in
mony that called on Ka¯ne to bring rain and life to the land,
which to pray for divine aid for his chiefdom or to give
and Luahiwa recited the prayers used by the high priest. The
thanks. Each deity had specific requirements as to size, num-
congregation sat silent and motionless on a heiau terrace
ber, and color of offerings. Dissatisfied gods sent drought
until Ka¯ne’s high priest (on a higher terrace) had, after five
and disease, and commoners would then abandon the chief
long prayers, lifted the taboo. The priest had invoked some
to seek one who was more religious. But if all went well, peo-
seventy forms of Ka¯ne—in clouds, rain, and forest growth—
ple built smaller heiau on their allotted land to further enliv-
as well as the other three great gods and the goddesses of hula
en the earth.
and of the forest greenery that decorated the heiau (Laka,
Hi‘iaka, the latter’s sister Kapo, and their oldest sister Pele,
MAJOR DEITIES AND ASSOCIATED RITES. Dominating the
who became violent if ignored). The priest’s last prayer,
pantheon for chief and commoner alike were Kanaloa, Ka¯ne,
heard only by the chief at his side, was delivered on the third,
Lono, and Ku¯. Each, in particular but overlapping ways, fos-
highest, and most sacred stage of the oracle tower, where the
tered health, abundance, rain, and fertility. Only Ku¯ had a
god revealed his will. Earlier nineteenth-century Hawaiian
destructive side. To each name, except that of Kanaloa, Ha-
scholars reported that the commoners were gathered outside
waiians attached dozens of descriptive phrases to signify the
of the central temple, where they could only hear the prayers
god’s varied aspects or his subordinate gods.
of the kahuna. The congregation would be seated in single-
file rows and during certain prayers, which were voiced in
Kanaloa. Called Tangaroa or one of many other cog-
unison, they would raise their right hands, remaining in that
nate names (e.g., Tangaloa, Ta‘aroa) elsewhere in Polynesia,
position until the prayer was completed. These scholars em-
Kanaloa was Ka¯ne’s younger brother. For Hawaiians he was
phasized that the carved images of the luakini/heiau were
the god of squid and, because of a play on words, also some-
never worshiped, for the images were considered to be only
times associated with healing (the Hawaiian word he‘e means
representations of the god.
both “squid” and “to put to flight”). Kanaloa rarely had his
own shrine or heiau, but in prayers he was often named along
Lono. The god of two related sources of abundance—
with Ka¯ne, Lono, and Ku¯, and like them he was assigned a
peace and seasonal winter storms—Lono (called Rongo or
period in the lunar month during which he was due special
Ro‘o in southeastern Polynesia) was also a god of healing. He
homage. His precise role and function in Hawai‘i is obscure,
had numerous heiau, called “houses of Lono,” devoted to
partly due to some synchronistic writings of scholarly nine-
rainmaking and medical purposes. There was a chief with the
teenth-century Hawaiian Christian converts.
same name, Lono, who established the Makahiki, the longest
ceremonial period, which involved everyone in celebrating
Ka¯ne. Called Tane in southeastern Polynesia, Ka¯ne,
Lono’s annual (makahiki) return for four months of the rainy
whose name connotes “male,” was the most approachable,
season to preside over rituals for health and ample rain, and
forgiving, and revered of the four major gods. One worshiper
over the ritualized collection of taxes, recreation, and release
in his prayer would chant, “You and I warm to each other,
from work. The celebration became a focal point for the
Ka¯ne,” and other worshipers would often say, “Life is sacred
order and rituals of the priest dedicated to the god Lono, re-
to Ka¯ne.” According to more than one myth, Ka¯ne, while
sulting in a merging or confusion of Lono the god and Lono
dwelling on earth with Kanaloa, had plunged his digging
the chief. When Captain Cook arrived in 1778, he was greet-
stick into the ground to release springs of fresh water to mix
ed as Lono-i-ka-makahiki the god/chief because he arrived
with his and Kanaloa’s ‘awa or kava (a narcotic drink made
during this period and anchored at the bay called Kealakekua
from the pounded root of the shrub Piper methysticum). The
(“the path of the god,” i.e., Lono), and because his masted
release of fresh water by Ka¯ne-of-the-water-of-life, as he was
sails resembled the Lono symbol that led the procession of
frequently called, was a symbolic sexual act, for the gesture
tax collectors and celebratory sports on their coastal circuit
served to fructify the earth. Before ritually consuming their
of the island.
offering of pork and ‘awa, men prayed for forgiveness of bro-
ken taboos or for revenge for sorcery at their family’s phallic
The reexamination of both native and nonnative prima-
“stone of Ka¯ne,” a single, high, conical stone situated near
ry sources has been reopened by anthropologists Marshall
a stream. Sweet potato farmers prayed to their Ka¯ne ‘au-
Sahlins and Gananath Obeyesekere to focus upon how Ha-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3798
HAWAIIAN RELIGION
waiians interpreted Cook’s presence and divinity. Although
the name suggested the special function or distinctive trait
the rhetoric of their arguments developed into a larger issue
of each particular Ku¯ god. The same principle applies to the
about research and indigenous peoples, this reexamination
class of goddesses called Hina (cognates of the name else-
has nonetheless brought intriguing and valuable analyses and
where in Polynesia are Hine, Sina, and ‘Ina). Some Hinas
insights not considered before about the first cultural en-
had more than one name. Hina-of-the-moon is also known
counter between the foreigners and natives.
as Maimed Lono because, according to myth, her husband
tore off her leg as she fled to the moon. Pele’s sacred name
The Lono symbol was a long staff topped with a carved
is Hina-of-the-fire, and Lea’s other name is Hina-of-the-
human image across whose neck a crosspiece supported a rec-
‘ohi‘a-growth. (The ‘ohi‘a is a kind of tree.)
tangular white tapa flag and other sacred objects. A shorter
staff led a procession in the opposite direction. The principal
Ku¯ and Hina, as well as their varied aspects, functioned
procession stopped at each district boundary to collect taxes
as man and wife in daily rites performed by the populace.
placed near an altar that held another Lono symbol, a carved
With his sister-wife Hina (whose name means “prostrate”),
wooden head of a pig, representing fertility. If the collectors
Ku¯ (meaning “upright”) united the people into a single
were satisfied with the proffered amount of pigs, dogs, vege-
stock, for Ku¯ and Hina represented the male and female re-
tables, ‘awa, and the like, the Lono priest blessed the district,
productive principles. Ku¯ also symbolized the east, the sun-
and the party moved on. At the ruler’s compound the party
rise, and the right hand; while Hina symbolized the west, the
was given a feast. Rites included the ruler putting a valuable
sunset, and the left hand. Such antithesis was common. The
whale-tooth necklace on the Lono figure, and the ruler’s wife
couple was invoked in pregnancy and child care; their subor-
draping it with fine white tapa. Later the ruler redistributed
dinate gods or aspects presided over many activities on land
the taxes to his subordinate chiefs who supported him in bat-
and sea. Ku¯‘ula-kai (red Ku¯ of the sea) was the fishermen’s
tle and who held land as a reward for their service.
chief god, and fishing heiau were named ku¯‘ula for him. His
While the ruler, the Lono priests, and their attendants
wife was Hina-the-sea-fossicker. Their siblings lived on up-
were busy with numerous rituals for the general welfare, the
land farms and in forests. The chief forest god was
populace engaged in hula, sports, and games, each activity
Ku¯-moku-ha¯li‘i (Ku¯ the island spreader), the husband of
having its guardian gods. Wrestling and boxing matches re-
Lea, who warned woodsmen of decayed trees by taking the
called that when Lono the chief learned, after killing his
form of an ‘elepaio (a flycatcher) and pecking at trees to look
human wife, that she had not been unfaithful, he became for
for insects. Ku¯-moku-ha¯li‘i was also the chief god of canoe
a time insane and fought violent matches. Finally he left the
makers, whose kahuna conducted rites at the foot of a chosen
islands in his canoe, promising to return. To signal that the
tree, usually a koa (Acacia koa). Farmers venerated
Makahiki was over and that people should return to work
Ku¯-of-the-digging-stick. Each occupation had numerous Ku¯
and chiefs could go to war again, the priests dismantled the
gods.
Lono staffs and set adrift a canoe full of gifts to ensure Lono’s
The highest form of Ku¯ gods was invoked during na-
return the next year. The ritual functions were then turned
tional crises—war, famine, disease—after the king had first
over to the priests of the order of Ku¯, now personified in the
built or rebuilt a luakini where harsh and complex rituals
local ruling chief, rather than the departed god/chief.
called upon the Ku¯ gods for aid. Ku¯-nui-a¯kea (“the supreme
Each morning and evening the head of a family took
Ku¯”) manifested himself in the ceremonies as the Ku¯ gods
down the net-covered “gourd of Lono” encircling the neck
of war, sorcery, and the binding of conquered chiefdoms into
of the image on the altar in the men’s eating house. He
a kingdom. A ten-day, four-part luakini service required nu-
prayed for his family, the commoners, and the chiefs, and
merous men and pigs as sacrifices, and additional pigs to feed
he ritually ate from the gourd, the bowl of which represented
the highborn worshipers and priests. If kapu-breakers, war
the earth and its bounty; the cover, the heavens; and the han-
captives, or slaves were unavailable to be used as burned sac-
dle, the rainbow. To lift the taboo on eating a new crop, he
rifices, large ulua fish (Carangidae) were substituted.
or a kahuna performed first-fruits rites, then put the gourd
The first set of rites, held in the presence of chiefs and
of Lono in the midst of the male guests invited to feast. He
workmen in the refurbished luakini, centered on a stylized
invited them again when, after weaning, his son entered the
parade led by a kahuna with a kapu-standard (followed by
men’s house, never again to eat with women. Placing a roast-
a naked man who impersonated the god Kahoali‘i) and by
ed pig’s head on the altar and a pig’s ear in the gourd of Lono
feather-covered wicker images of gods (a Hawaiian innova-
(so Lono would listen), the kahuna prayed that the boy
tion) carried by their keepers. The workers then went home.
would thrive and bear fruit like the gourd vine. Later the boy
The second set of rites took the king, the “feather gods” (as
would be subincised and ceremonially initiated into eating
the wicker images were called), and the kahuna to a forest,
pork, which was men’s food and taboo to women.
where they ritually cut ‘ohi‘a trees for new images. A kapu-
Ku¯ and Hina. There were many gods in the class called
breaker was sacrificed in rites that accompanied the cutting
Ku¯ (Tu was the southern Polynesian cognate of the name).
of the first tree, and from this tree came a block of wood that
Hawaiians regarded the Ku¯ gods either as independent gods
would represent Ku¯ on the altar. Marching back to the heiau
or as aspects of a single Ku¯. Usually, an epithet attached to
with their logs, the members of the procession shouted loud-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HAWAIIAN RELIGION
3799
ly and seized human victims along their route. After the im-
Dead commoners were buried wherever it was conve-
ages had been carved, dressed in red malo (loincloths), and
nient. The cleaned bones of some royalty were hidden in
consecrated, the kahuna, in the ceremony’s third phase,
caves to prevent enemies from using them for fishhooks; the
chanted all night long while worshipers listened. In the
bones of other royalty were encased in plaited sennit caskets
fourth part of the rite, a kahuna prayed for an hour while the
(ka‘ai) of humanoid shape and deposited in the mausoleum
motionless worshipers, arranged in rows behind the images,
Hale-o-Keawe on the island of Hawai‘i. Sorcery was always
sat with bowed heads and sometimes with upraised arms.
suspected when a highborn person died. A kahuna trained
The concluding rites were held in the “house of Papa,” where
to identify sorcerers held a kuni (“burn”) ceremony in which
a kahuna and the highest female chiefs freed the worshipers
he burned part of the victim’s corpse. When the kahuna’s god
from taboo before they returned to secular life.
had revealed the sorcerer’s name, the accused—even if a
chief—was killed and burned.
GENDER TABOOS, ILLNESS, AND DEATH. Women were con-
THE STATE RELIGION AND ITS DEMISE. At his death in
sidered to be polluted from menstruation, and thus were ex-
1819, Kamehameha I, who believed his many gods had made
cluded from all men’s heiau and shrines. Although history
him head of a unified feudal kingdom, left a state religion
includes three female chiefs of the highest rank and status,
based on the kapu system that protected the mana and au-
they were exceptions. One was Keakea-lani-wahine, who,
thority of the gods and their chiefly descendants from spiri-
upon succeeding her mother as ruler of Hawai‘i, had charge
tual contamination and consequent weakness. That same
of all its heiau and in each luakini made human and pig sacri-
year, however, Kamehameha’s son Liholiho (1797–1824)
fices and other offerings. Nevertheless, she took her ritual
took power, adopted the title Kamehameha II, and abolished
meals apart from the men and ate no pork, bananas, coco-
both the kapu system of restrictions and rank and the official
nuts, or other foods taboo to women. Food-related kapu
religion without replacing it with another. This decision,
were associated with the separation of Wa¯kea and Papa and
which was only reluctantly accepted by Liholiho, had princi-
required all men and women to take meals separately and to
pally been made by the most politically powerful of his fa-
eat food proper to their sex. All cooking was performed by
ther’s wives, by his mother who was herself a sacred chief,
men, who used separate ovens for men’s and women’s food.
and by the highest priest of the Ku¯ order. Liholiho signaled
Kapu-breakers were slain or mutilated. (Persons threatened
the overthrow of the kapu system by publicly sharing a meal
with death for any reason were spared, however, if they
(consisting of food cooked in one oven) with his father’s wife
reached certain heiau or sites designated as places of refuge.)
and his mother. Later, the Ku¯ priests, after consulting with
Liholiho, began destroying heiau and images. Some adher-
Medical kahuna were specialists in treating particular
ents of the traditions hid their images and worshiped in se-
diseases through different forms of diagnosis. They believed
cret. Not all customs and beliefs vanished: even today, faith
that an illness that proved resistant to ordinary treatment,
in the ‘aumakua, for example, lingers on. The only military
such as by herbs, was due to an ‘aumakua’s anger at broken
resistance to the abolition of the religion came from Liholi-
kapu and therefore required prayers and offerings. Most
ho’s cousin, who had inherited the god Ku¯-ka¯‘ili-moku, but
kahuna, however, specialized in problems related to infertili-
the resistance ended when the cousin lost his life in battle.
ty and pregnancy and in the treatment of children’s diseases.
The reasons, still debated, for the overthrow of the reli-
In death a person’s soul was prevented from falling into
gion have ranged from weariness of the burden of kapu on
Milu (the underworld), a realm of eternal darkness, by its
chiefs and commoners and on men and women, and, of
‘aumakua, who ushered it to its ancestors’ part of a happy
course, the changes that had been wrought by Europeans and
realm in Po¯ (darkness or night). A soul without an ‘aumakua
Americans. Particularly instrumental had been the introduc-
wandered homeless on earth, ate spiders and moths, and be-
tion of a market economy, which was hampered by the
came a malevolent ghost. A soul with an ancestral god from
chiefs’ religious, social, and economic obligations to their
the Pele family might be transfigured into a volcanic flame
people—a system of obligations that was based on the an-
if a priest, having prayed and made offerings, cast the corpse
cient and successful subsistence economy. Arguments have
or part of it into the crater. Other souls might be transfigured
also been made that the practitioners themselves became dis-
into embodiments (kinolau) of their gods—a shark, thunder,
enchanted with the religious system when the death of Ka-
a water spirit, a bird, or something else. Transfigured male
mehameha I could not be prevented. A few months after Li-
and female chiefs became their descendants’ gods. The deifi-
holiho’s act, the first band of American Protestant
cation and transfiguration of ancestors is a primary example
missionaries arrived from Boston; they were unaware of Li-
of the power of the nonpriest-based religious system that co-
holiho’s abolition of the traditional kapu system and religion
existed with the state or national religion that was headed by
until their ship was off Hawai‘i’s shore.
the ruling chief and the priestly orders. The nonpriest system
SEE ALSO Polynesian Religions; Tangaroa.
was also manifested in family prayers, rituals involving the
pohaku o Ka¯ne (stone of Ka¯ne), rituals and prayers for farm-
BIBLIOGRAPHY
ing and fishing, and other religious expressions that did not
Many of the volumes listed below are classics. Although David
require a specialized and trained kahuna.
Malo, Samuel Kamakau, John Papa ‘I’i, and Kepelino 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
3800
HAWKS
came Christian converts whose adopted religion sometimes
Gutmanis, June. Na Pule Kahiko (Ancient Hawaiian Prayers). Ho-
colors their views of the indigenous culture, they were per-
nolulu, 1983.
sonally familiar with the tradition, and they also learned a
Handy, E. S. Craighill. Polynesian Religion. Honolulu, 1927.
great deal from their elders. ‘I’i, for example, as a boy had
been an attendant of Liholiho (later Kamehameha II) and as
‘I’i, John Papa. Fragments of Hawaiian History. Translated by
an adult he held important positions in the government of
Mary Kawena Pukui and edited by Dorothy B. Barrere. Ho-
the kingdom. Malo was born during the transitional period
nolulu, 1959.
after arrival of Captain Cook and before the death of Kame-
Johnson, Rubellite Kawena. Kumulipo: The Hawaiian Hymn of
hameha I. He was trained primarily as a genealogist or histo-
Creation. Honolulu, 1981.
rian. Kamakau traveled extensively throughout the islands,
Kamakau, Samuel M. Ka Po‘e Kahiko: The People of Old. Translat-
interviewing elders and eyewitnesses of various events. The
ed by Mary Kawena Pukui; arranged and edited by Dorothy
translators and editors of these works have added important
B. Barrere. Honolulu, 1964.
explanatory notes. Martha Warren Beckwith’s translation
and chapters of annotation of the Kumulipo, the creation and
Malo, David. Hawaiian Antiquities (Moolelo Hawaii) (1903). 2d
genealogical chant of King Kalakaua and his sister Queen
ed. Translated by Nathaniel B. Emerson and edited by W.
Lili‘uokalani, help make the magnificent but cryptic chant
D. Alexander. Honolulu, 1951.
comprehensible. It presents different interpretations by mod-
Malo, David. Ka Moolelo Hawaii: Hawaiian Traditions. Translat-
ern Hawaiians and discusses the importance nobility placed
ed by Malcolm Na¯ea Chun. Honolulu, 1996.
on descent. Beckwith’s Hawaiian Mythology is irreplaceable
Obeyesekere, Gananath. The Apotheosis of Captain Cook: European
as a comprehensive reference to the pantheon, and for many
Mythmaking in the Pacific. Princeton, 1992.
years it established the prevailing overview of Hawaiian reli-
gion, with its descriptions of demigods, romantic characters,
Pukui, Mary Kawena, E. W. Haertig, and Catherine A. Lee. Na¯na¯
and others. This work has the additional value of containing
i Ke Kumu (Look to the source). 2 vols. Honolulu, 1972.
comparisons with other Pacific traditions, putting the mate-
Sahlins, Marshall. Historical Metaphors and Mythical Realities:
rial into cross-cultural perspective. Abraham Fornander, a
Structure in the Early History of the Sandwich Islands King-
nineteenth-century judge who married a Hawaiian chief,
dom. Ann Arbor, Mich., 1981.
gathered an unparalleled collection of myths, traditions,
Sahlins, Marshall. How “Natives” Think: About Captain Cook, for
tales, poems, prayers, and descriptions of religion; Thomas
Example. Chicago, 1995.
G. Thrum’s notes shed light on obscure references. E. S.
Craighill Handy’s Polynesian Religion brilliantly discusses the
Valeri, Valerio. Kingship and Sacrifice: Ritual and Society in Ancient
interrelationships of indigenous Polynesian religions, includ-
Hawaii. Chicago, 1985.
ing the Hawaiian, and illustrates the major concepts they
KATHARINE LUOMALA (1987)
share.
MALCOLM NA¯EA CHUN (2005)
June Gutmanis published a major collection of ancient Hawaiian
prayers selected from previously published and unpublished
sources. Hawaiian texts are accompanied by English transla-
HAWKS SEE EAGLES AND HAWKS
tions (and retranslations) and by commentaries. Mary
Kawena Pukui’s book is written for social workers and other
“members of the helping professions.” Pukui, a Hawaiian,
draws on her other published writings, her personal experi-
H:AWT:AH SEE H:ARAM AND H:AWT:AH
ences, and her wide reading; with the psychiatrist E. W.
Haertig, she discusses Hawaiian customs, beliefs, and rites as
they relate to interpersonal relationships and the life cycle.
The book includes modern case histories. The structural
HAWZAH , which comes from hawz, is an Arabic word
analysis of Marshall Sahlins and Valerio Valeri of Cook’s ar-
that literally means “the place surrounded by a swelling bor-
rival, the Makahiki celebrations, and temple worship provide
der.” Technically it is applied to the traditional religious in-
provocative interpretations from primary source materials
stitution in the Sh¯ıE¯ı world known as Hawzah-e Ilmiyyah
and suggest a reevaluation of the how Hawaiian religion
(Islamic seminary). The hawzah seeks to attain two major
functioned.
missions: (1) training the clerics to preach the principles and
Beckwith, Martha Warren, ed. and trans. Kepelino’s Traditions of
practices of Islam, particularly that of the Sh¯ıEah; and (2)
Hawaii. Honolulu, 1932.
training the experts in religious sciences, ones who can de-
Beckwith, Martha Warren. Hawaiian Mythology (1940). Reprint,
duce Islamic rules from the related sources. In the early twen-
Honolulu, 1970.
ty-first century this Sh¯ıE¯ı institution works in the countries
Beckwith, Martha Warren, ed. and trans. The Kumulipo: A Ha-
where the Sh¯ıEah population is considerable, such as Iran,
waiian Creation Chant (1951). Reprint, Honolulu, 1972.
Iraq, Pakistan, India, and Lebanon. Throughout history
Chun, Malcolm Na¯ea. “Wa¯kea and Papa: Ancestral Tradition
Najaf, Hillah, Karbala, and Samirra in Iraq and Isfahan,
when ‘Religion’ Began.” First Peoples Theology Journal 1, no.
Qom, Shiraz, and Mashhad in Iran have alternately assumed
1 (2000): 17–24.
the central leadership role of the Sh¯ıE¯ı hawzah.
Fornander, Abraham, comp. Fornander Collection of Hawaiian
Antiquities and Folklore. 3 vols. Translated by John Wise and
It is said that the establishment of the first hawzah goes
edited by Thomas G. Thrum. Honolulu, 1916–1920.
historically back to the year 1054, when Muh:ammad 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
HAWZAH
3801
H:asan T:us¯ı, known as Shaykh-e T:us¯ı, settled in Najaf, a
power of the students. One who wants to attain the qualifica-
holy city of Iraq. Shaykh-e T:us¯ı began training students in
tion of ijtiha¯d (expertise in fiqh), should pass this course,
various branches of Islamic studies, such as jurisprudence
which lasts from seven to ten years depending on the amount
(fiqh), theology (kala¯m), tradition (h:ad¯ıth), and the interpre-
of effort displayed by the student. One who successfully
tation of the QurDa¯n (tafs¯ır). Accordingly the Iraqi cities Hil-
completes this stage is then called a mujtahid (expert in fiqh).
lah, Karbala, and Samerra held a considerable position in the
A brief look at the educational schedule of the hawzah
history of the hawzah after Najaf. During two periods
shows that fiqh and us:u¯l have been the main courses since
(1202–1542 and 1737–1797) the hawzahs of Hillah and
the Safavid era. Thus the other branches of Islamic studies
Karbala replaced Najaf in the premier position. Before the
have not developed in Shiism. It should be noted that
Islamic revolution in Iran (1979), Najaf was the most impor-
EAllamah Sayyid Muh:ammad H:usayn TabatabaDi (d. 1982)
tant center of religious sciences in the world for the Sh¯ıEah.
revived Islamic philosophy and QurDanic interpretation (taf-
Nonetheless the BaDth government attempted to weaken the
sir) in Qom, and twenty-first-century students continue to
authority of the hawzah and the marjiDiyyat (supreme reli-
study his way. After the Iranian revolution, some institutions
gious authority) in Najaf. Many senior clerics were arrested,
established departments of psychology, sociology, econom-
killed or exiled. During that period the number of religious
ics, and politics in the hawzahs of Qom believing they can
students in Najaf fell from ten thousand to two thousand.
teach an Islamic approach to these sciences.
At that point the central leadership of the Sh¯ıEah was trans-
ferred from Najaf to Qom. After S:adda¯m H:usayn’s fall from
HIERARCHICAL ORDER IN HAWZAH. There are three major
power, many Iraqi clerics hoped Najaf would regain its for-
ranks in the hawzah: (1) talabah (religious student), (2) mu-
mer status.
jtahid (an expert in fiqh), and (3) marjaE (supreme religious
leader). Talabah (the one who seeks to learn knowledge) is
HAWZAH IN IRAN. Iran has also had an extensive history re-
the name for a student of a hawzah and means the one who
garding the Sh¯ıE¯ı hawzah. At the time of the Al-e Buyah
seeks to learn Islamic sciences. Mujtahid refers to the one
dynasty (930–1054) a considerable number of madrasahs (re-
who can derive and deduce the laws and decrees from the
ligious schools) were built in Qom and Ray—the two an-
authentic sources of Islam, namely the QurDa¯n, the h:ad¯ıths,
cient cities located near Tehran—and eminent scholars, such
reasoning (intellect), and the consensus of Eulama¯D (religious
as Shaykh-e Saduq and his father, were there at that time.
scholars). Those who complete the higher education may
The history of the hawzah in Iran as an official institution
reach this rank. A cleric before ijtiha¯d is usually called
goes back to the Safavid era (1502–1736). Isfahan, the capi-
hujjatul-Isla¯m (the proof of Islam) and after ijtihad is called
tal of the Safavid Empire, was the most glorious center for
A¯yatulla¯h (the sign of God).
Islamic sciences and arts in the world. Prominent scholars,
such as Mullah Sadra Shirazi, EAllamah Majlisi, and Muhaq-
Marja E refers to the person who has attained the high
qiq Karaki, had significant chairs in philosophy, tradition
level of piety and justice in addition to ijtiha¯d and can attract
(h:ad¯ıth), and jurisprudence (fiqh).
a number of followers among laypeople. According to Sh¯ıE¯ı
jurisprudence, everyone reaching adolescence should start
Similarly the hawzah of Qom regained its previous posi-
following a fully qualified marja E. A marja E is normally
tion after a long time of stagnation. Madrasah-e Fayziyyah,
called by the title A¯yatulla¯h al-uzma (the biggest sign of
the ancient and famous religious school of Qom, was estab-
God).
lished in 1524 by the order of Shah Tahmasb I. After the
Marja Diyyat is the office of supreme religious authority
Safavid era the hawzah of Qom was inactive, except for a
in Shiism, and marajiDare in charge of the hawzahs, support-
short period (1200–1231) during the time of Mirza Abul
ing the students both spiritually and financially. Sh¯ıEah peo-
Qasim Qomi, until the twentieth century, when Grand
ple pay them their religious tax, known as khums (one fifth
A¯yatulla¯h EAbd al-Karim HaDiri settled in Qom in 1920 and
of the annual income), and they manage the hawzahs finan-
reestablished the hawzah in Qom.
cially with it. Traditionally, due to this direct contribution
EDUCATIONAL SCHEDULE IN HAWZAH. The major educa-
from the people, the Sh¯ıE¯ı hawzahs have rejected government
tional schedule in the hawzah is comprised of three stages:
financial help in order to keep their independence. Thus the
(1) the preliminary stage (muqaddamat), which contains
history of the hawzah shows that Sh¯ıE¯ı scholars could freely
some courses in Arabic literature and logic and lasts two to
declare their ideas against the governments in their countries.
three years; (2) the intermediate stage (sutuh), which requires
But after the Islamic revolution of Iran, with the direct in-
learning from textbooks in fiqh (jurisprudence), us:u¯l (the
volvement of clerics in ruling the state and in executive affairs
basic principles of jurisprudence), and philosophy and lasts
and with the financial support of the government, the haw-
four to six years; and (3) the higher stage (dars-e kharij),
zah of Iran has somewhat lost its independence. There is a
which is devoted to fiqh and us:u¯l. Unlike the first and second
good chance that the hawzah of Najaf, in the post-S:adda¯m
stages, education at the third level is not restricted to text-
regime, will revive its independent hawzah of the Sh¯ıEah, es-
books. Rather, instructors give analytical lectures presenting
pecially as the Najaf school does not interpret Vila¯yat-e Faqih
significant views on the subject matter and evaluating those
(the guardianship of the religious jurist) as the direct inter-
positions. This stage is intended to increase the intellectual
vention of religion in politics.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3802
HAYASHI RAZAN
Qom, with many prominent scholars in various branch-
Confucianism as the official ideology. But as the conditions
es of religious sciences and nearly forty thousand students,
of his employment suggest, Razan was taken into service be-
holds a unique position among Sh¯ıE¯ı hawzahs because only
cause of his general erudition rather than because of any par-
two thousand students are studying in Najaf in the early
ticular expertise in Neo-Confucianism, and his official duties
twenty-first century. Nevertheless, as a consequence of
had little to do with the spread of Confucian teachings. To-
S:adda¯m’s fall from power, Najaf has a valuable opportunity
gether with the Buddhist priests in shogunal employ, he
to regain its former glory.
oversaw the shogunal library, drafted diplomatic correspon-
dence between the Tokugawa and the rulers of other coun-
BIBLIOGRAPHY
tries, and participated in the drafting of laws and the compi-
EAbd al-Karim Al-e Najaf. Min al-ADlam al-fikr wa al-qiyadat al-
lation of the genealogical records of shogunal vassals. He also
marja Diyyah. Beirut, 1998.
embarked on the writing of a major history of Japan, eventu-
EAli Ahmad al-Bahaduli. Al-Hawzat al-Ilmiyyah fi al-Najaf. Bei-
ally completed after his death by his son Gaho¯, who inherited
rut, 1993.
Razan’s position with the shogunate.
Rasul Jafarian, ed. Howzahe Ilmieh-e Qom (History: Some papers).
Of more relevance to his background as a Confucian
Tehran, 2002.
scholar, Razan established a private school and shrine to
JaEfar al-Dujayli. MawsuDat al-Najaf al-Ashraf, vol. 6: Jami Et al-
Confucius that eventually received shogunal support, al-
Najaf al-Diniyya. Beirut, 1994.
though not on the scale of shogunal patronage of various
Muh:ammad Sharif Razi. Aathar al-Hujjah. Dar al-Kitab, Qom,
Buddhist institutions. He wrote works elucidating various
Iran, 1332.
points of Zhu Xi’s teachings and polemics against Christiani-
MUHAMMAD KAZEM SHAKER (2005)
ty and Buddhism, which, in the Confucian vein, he attacked
as socially disruptive and therefore immoral religions, alike
in their practiced deception of a credulous, ignorant popu-
HAYASHI RAZAN (1583–1657), also commonly re-
lace. At the same time, arguing that the Confucian way of
ferred to as Hayashi Do¯shun; Japanese Confucian thinker of
government and Shinto¯ were the same in essence, he asserted
the early Tokugawa period. Hayashi Razan was born and
that to establish Confucianism in Tokugawa life was to re-
raised in Kyoto as the scion of a family of samurai turned
store Shinto¯ to its true place in Japanese society.
urban merchants. He was sent as a child to study at Kenninji,
However, by and large Razan was more noted for his
a Zen temple, but he resisted suggestions that he become a
wide-ranging knowledge than for the originality or compel-
priest. Instead, from his mid-teens he committed himself to
ling nature of his interpretation of Confucianism. He did not
the study of Confucianism and Chinese secular learning. He
found a distinctive school comparable to that of Yamazaki
began his career as a Confucian in 1603 at the age of twenty-
Ansai or the later Ogyu¯ Sorai. In the area of Shinto¯ studies,
one by conducting public lectures on the Analects of Confu-
his influence was also relatively slight. Perhaps out of rivalry
cius as explicated by the Chinese Song Neo-Confucian phi-
with the Buddhist monks associated with the shogunate,
losopher Zhu Xi. In this manner Razan sought to establish
who had succeeded in gaining the latter’s support for their
Zhu Xi Neo-Confucianism as a public teaching independent
own more traditional fusion of Buddhism and Shinto¯ (this
of both the hermetic traditions of medieval scholarship and
support was reflected most graphically in the shogunate’s
the Zen-accented Confucianism that flourished in the major
sponsoring of the posthumous apotheosis of Tokugawa Ieya-
Zen temples of the Muromachi period. Toward the same
su as a Buddhist-Shinto¯ deity), Razan sought to establish his
end, affiliating himself with Fujiwara Seika, Razan adopted
particular fusion of Confucianism and Shinto¯ as the special
the latter’s hallmark of a scholar’s garb patterned after that
hermetic tradition of his house. But his successors did not
of the scholar-official class of China.
continue his efforts.
However, Razan’s career as an independent scholar was
Thus Razan’s main contribution to the establishment of
relatively short. In 1605 he came to the attention of Toku-
Confucianism in Tokugawa life lay in his carving out a posi-
gawa Ieyasu, founder of the Tokugawa shogunate, and in
tion for the professional scholar as a government adviser. At
1607 he entered the service of the shogun. Earlier military
the same time, however, he was condemned by many other
rulers had employed monks to draft legislation and handle
Tokugawa Confucians for his readiness to compromise his
other government matters requiring erudition or writing
principles in the process of winning a place for himself. Both
skills beyond the ordinary. In accordance with that tradition,
Yamazaki Ansai and Nakae To¯ju began their careers as Con-
one of the conditions for Razan’s employment was that he
fucians by denouncing Razan’s acceptance of treatment as a
shave his head and assume priestly garb and the priestlike
priest despite his recognition of the evils of Buddhism. Oth-
name of Do¯shun. These conditions remained in effect for the
ers objected to the precedent he established for the treatment
duration of his employment, which continued until his death
of the Confucian as a professional scholar differentiated from
fifty years later.
and subordinate to those responsible for the actual business
Razan’s employment by the shogunate is often taken as
of government. In the eyes of many Tokugawa Confucians,
a symbol of Ieyasu’s intent to establish Zhu Xi Neo-
the career pattern for the Confucian scholar pioneered 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
HEAD: SYMBOLISM AND RITUAL USE
3803
Razan contravened the traditional ideal of the Confucian
forms, in diverse and endlessly varied cultural and condition-
playing a central role in society and thereby bringing his edu-
ing environments. He understood humanism to have an es-
cation and moral rectitude to bear on the transformation of
sentially religious dimension. Haydon was one of the authors
society.
of both the Humanist Manifesto of 1933 and of the revised
Humanist Manifesto of 1973.
SEE ALSO Confucianism in Japan.
BIBLIOGRAPHY
BIBLIOGRAPHY
Works by Haydon
Although it is not widely available, W. J. Boot’s The Adoption and
“From Comparative Religion to History of Religions.” Journal of
Adaptation of Neo-Confucianism in Japan: The Role of Fuji-
Religion 2 (November 1922): 577–587. An important essay
wara Seika and Hayashi Razan (Leiden, 1983, 1992) offers
that marks a transition from a focal emphasis on the compar-
both a cogent analysis of Razan’s thought and translations of
ative method in the study of religions to history of religions.
important passages from his writings. In Japanese, Hori
“Twenty-five Years of History of Religions.” Journal of Religion 6
Isao’s Hayashi Razan (Tokyo, 1964) remains the standard.
(January 1926): 17–40. A discerning, comprehensive article
KATE WILDMAN NAKAI (1987 AND 2005)
that notes the major scholarly developments in the field.
The Quest of the Ages. New York and London, 1929. An artful
statement of Haydon’s approach to religion, which he under-
stood as the social and shared quest for idealized human val-
HAYDON, A. EUSTACE (1880–1975), was a Cana-
ues. The author’s broad knowledge of the major religious tra-
dian historian of religions and a founder of the modern hu-
ditions and his appreciation of all forms of religion are
manist movement in North America. Born in Brampton,
evident.
Ontario, Albert Eustace Haydon attended McMaster Uni-
Man’s Search for the Good Life: An Inquiry into the Nature of Reli-
versity, where he received his B. A., Th.B., B.D., and M.A.
gion. New York, 1939. A further statement of Haydon’s
degrees; the University of Saskatchewan, where he received
functional approach to religion as providing a synthesis of so-
another master’s degree; and the University of Chicago,
cially sanctioned values.
where he received his Ph.D. After serving as a Baptist pastor
Biography of the Gods. New York, 1941. A facilely written account
in Canada (1903–1913), a YMCA general secretary (1913–
of the rise of the “gods” of the major religions, which are
1916), and a Unitarian minister (1918–1924), Haydon
born (in Haydon’s view) out of human need as projections
joined the faculty of the University of Chicago in 1919; he
of sought-for values and are modified correlatively with
became chairman of the department of comparative religion
changing psychological, sociological, and cultural condi-
tions.
there in 1921 and a full professor in 1929, and he stayed at
Chicago until his retirement in 1945.
Work Edited by Haydon
Modern Trends in World Religions. Chicago, 1934. A symposium
Haydon was critical of theories of religion that under-
of four series of lectures by sixteen scholars, each discussing
stood it to be grounded in “religious consciousness” or in a
aspects of the then-current situation in one of six major reli-
response to a trans-human religious object or power, and of
gions: Islam, Judaism, Christianity, Buddhism, Confucian-
prior appropriations of the comparative method in the study
ism, and Hinduism. These were originally presented as the
of religion, which he saw to be apologetic in character; he
Haskell Lectures in Comparative Religion.
in turn articulated a theory of religion that was influenced
New Sources
by the social sciences. Rejecting efforts to discover a unilinear
Stone, Jerome A. “The Line between Religious Naturalism and
evolutionary theory of religion as misdirected quests for ori-
Humanism: G. B. Foster and A. E. Haydon.” American Jour-
gins, he considered religion to be basically social in character.
nal of Theology & Philosophy 20, no. 3S (1999): 217–240.
In a manner consistent with his functionalist approach to re-
F. STANLEY LUSBY (1987)
ligion, Haydon saw the religious sensibility as characterized
Revised Bibliography
by a shared social quest for the good (that is, the completely
satisfying) life. The study of the history of religions became
for him the continuing effort to describe the various manifes-
H:AYYIM VITAL SEE VITAL, H:AYYIM
tations of the persistent human quest to realize idealized val-
ues of the good life in diverse cultural contexts.
There were, he suggested, three components of religion:
HEAD
a socially envisoned set of ideal values, a program for the real-
This entry consists of the following articles:
ization of these values, and a worldview in which the quest
SYMBOLISM AND RITUAL USE
THE CELTIC HEAD CULT
for these values is related to the natural and human environ-
ments. In his scholarly publications, Haydon implemented
his understanding of the task of the historian of religions by
HEAD: SYMBOLISM AND RITUAL USE
describing the ways in which this human quest has been
The symbolic and religious value of the head is attested by
manifested in the particular religions that appear, in concrete
various myths that stress the theme of many-headedness
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3804
HEAD: SYMBOLISM AND RITUAL USE
(thus calling attention to assorted aspects of divine power)
space. His face is double, as his functions as overseer and pro-
as well as by numerous rituals, dating to prehistoric times,
tector of time are ambivalent. Among the Celts, the three-
in which the human head is hunted, offered as a sacrifice,
headed god, often identified by the Gallo-Romans with Mer-
preserved, and venerated. Whatever exact meaning these
cury, had many representations in Aedui country and in the
myths and rites ascribe to the head, they all rest on a com-
northeast of Gaul. Certain Celtic myths feature animal gods
mon, and certainly very ancient, valorization that must not
with three heads or three horns. This repetition signifies, as
be overintellectualized. In the most archaic psychology the
in Hinduism, the desire to represent, and thereby augment,
forces of courage as well as the impulses of anger and violence
the divine power. It is the same for the Thracian Rider, often
have their base in the head. The Greeks of the Homeric age
endowed with three heads. In the nineteenth century, thou-
considered it the location of a psuch¯e difficult to control and
sands of representations of anthropomorphic divinities with
opposed to reason and judgment, which were located in the
three or seven heads were destroyed during the evangeliza-
chest and heart. In agreement with Alcmaeon of Croton, the
tion of the Samoyeds. This many-headedness recalls the fac-
Pythagoreans localized sperm in the head. From that local-
ulty of seeing and knowing everything that the Finno-
ization of life force came the belief that the vital and spiritual
Ugrians assigned to the sun, which was the principal mani-
element of a victim could be assimilated by eating his brain.
festation of the god Num.
As a source of power, the skull naturally became an ob-
BEHEADING. Numerous discoveries in mountain caves have
ject of worship: its magical value came from the fact that it
revealed the existence during the last interglacial period
was supposed to be the center of life. Among the Celts, for
(150,000 years ago) of rites in which the skulls of bears were
example, the head was the container of a sacred force, where-
placed with long bones and preserved as if they were an offer-
as in other ancient and traditional cultures, the head is con-
ing to a divinity in charge of dispensing the spoils of the
ceived of as the seat of vital energy, the active principle of
hunt. This rite seems analogous to one practiced not so long
the whole individual. From such beliefs come headhunting
ago by the Inuit (Eskimo) of King William Island and to an-
rituals, the offering of skulls in sacrifice, and veneration for
other rite practiced by the Samoyeds, in which a reindeer’s
ancestors’ skulls, as well as the apotropaic talismanic value
head and long bones were exposed on some branches as an
attributed to the head.
offering to Num, their supreme god. The discovery in Silesia
MULTIPLE HEADS. Indo-European mythologies represented
of the skull of a young bear whose incisors and canines had
the diverse fields of application of the divine power by en-
been sawed and filed has been compared to a rite practiced
dowing the gods with three heads. Hinduism recognizes the
by the Gilyak of Sakhalin Island and by the Ainu of Yezo,
trimu¯rti, a figure with three faces on the same head, repre-
present-day Hokkaido¯. This offering of an animal’s skull and
senting Brahma¯, Vis:n:u, and S´iva; in other words, the creat-
long bones appears very characteristic of hunting peoples.
ing, preserving, and destroying power of the divine One.
However, if the fact of their belief in a supreme being who
is lord of the animals can be contested because of the lack
S´iva is often shown with three or five faces and many
of unambiguous documents, the religious character of this
arms, a sign of his omnipotence. Agni (Fire), accomplishing
offering seems certain from the time of the late Paleolithic
the will of Indra in the world, is endowed with three heads.
age.
Indra, “the leader of all the gods and lord of light,” will strug-
gle against Tri´siras, the son of Tras:t:r the demiurge, a young
It is difficult to ascertain whether it is a question here
ascetic Brahma¯n: also possessing three heads: with one he
of a sacrifice of firstlings in which the brain and the marrow
reads the Vedas, with the second he eats, and thanks to the
are offered to the god (the thesis of Alexander Gahs, 1928)
third, he surveys the whole universe. He was endowed with
or of a belief that the killed animal will not be reincarnated
a threefold knowledge and a threefold will and thus risked
into another similar animal unless its bones remain intact
upsetting the divine equilibrium. Indra therefore struck
(according to Karl Meuli’s hypothesis in Griechische Opfer-
Tri´siras with his thunderbolt and had a woodcutter chop off
bräuche, Basel, 1945). It is possible to state, however, that
his three heads. In the Greek world, Hekate, the lunar god-
the idea of a ritual intended to assure the quantitative renew-
dess of night and of crossroads, has three heads: a horse’s or
al of game rests upon an identical belief observed in a large
cow’s head and a dog’s head that together frame the head of
zone extending from the Caucasus to Tibet, and in the entire
a young girl. She possesses an abundance of magical charms.
Arctic European and North American zone. Similar indica-
In the same nocturnal register there corresponds the dog Ker-
tions have been found in Mesopotamia, in ancient Ugarit at
beros, with three heads and tails of a serpent. Kerberos is the
the time of the Aqhat epic, as well as in the Egyptian Book
guardian of Hell, and his monstrous voracity, born of the
of Going Forth by Day. Applied to the hunted animal (bear
imagination, is the incarnation of the greed of devouring
or reindeer) the belief is that life resides in the “soul of the
death.
bones,” and that in offering the skull it is the whole animal,
in its most vital part, that is thus consecrated to the god.
The Hindu god Aditi has two faces, for it is he who be-
gins and ends each liturgical act (S´atapatha Brahma¯na
One finds the same belief, but now applied to man, in
3.2.4.16). Like him, the Bifrons Janus of the Romans has a
founding rituals that mention certain myths: the first decapi-
double face, for he is the god of passage in time as well as
tation is the sacrifice that founds the order of the created
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEAD: SYMBOLISM AND RITUAL USE
3805
world. According to the Chaldean priest Berossus (third cen-
Africa, the trophy brought back is, along with the head, the
tury BCE), the god Marduk ordered the head of the first (pri-
foreskin or male member. Among the American Plains Indi-
mordial) man cut off. From a mixture of the spurting blood
ans, scalps have always been war trophies that the Cheyenne
and the earth, Marduk then fashioned all humans and ani-
or Blackfeet hung at the tip of a pole around which they
mals. The construction of a city or a temple is also found to
danced in honor of the forces of nature. Joseph François Lafi-
be linked to a sacrificial decapitation in certain myths about
tau (Mœurs des sauvages amériquains, vol. 2, De la guerre,
the Kotoko of Chad.
1724) says that the Iroquois exposed the severed head of an
enemy caught apart before the battle in order to frighten
Pliny reports (Natural History 23.4) that when the tem-
their opponents, but that afterward they only scalped those
ple of Jupiter Capitolinus was constructed at Rome, a gigan-
who were dead or left for dead. This scalp was prepared like
tic human skull was found during the laying of the founda-
the skin of an animal taken in the hunt and exhibited at the
tions. This was interpreted as a favorable portent that Rome
end of a pole. Lafitau compares this practice to that of the
would be the head of the world and the capitol the seat of
Scythians and the Gauls.
its power. We should also recall the Christian legend of
Adam’s skull, found at the very place where the cross
In the whole Malay archipelago, the head hunt and
of Christ was raised at Golgotha, “the place of the skull,” as
human sacrifice have been so closely linked that among the
if to mark the foundation by the new Adam of the new Jeru-
Niassans, the same word, binu, designates both. Among the
salem of redeemed men. A completely different meaning,
Dayak in central Borneo, the ideal booty consists of the head
closer to that of hunting peoples, appears in the Aztec ritual
because it contains “the substance of the soul.” The victims
of beheading during the sacrifice to Chicomecoatl-Xilonen,
of this hunt are excluded from the kingdom of the dead, as
the goddess of young corn, and to Teteoinnan (Toci), the
are the hanged, those struck by lightning, and those who
mother goddess of fertility and vegetal plenty. It should be
died in an accident. On the other hand, victorious hunters
noted that the same word, quechcotona, designates both sacri-
and heroes who fall in the course of a head hunt are noble,
ficial decapitation and the gathering of ears of corn.
and their souls will live at the summit of high mountains in
the company of the Kamangs, their ancestors. A similar prac-
The head-hunt, a rather common practice, is the neces-
tice was more recently extended to the mountainous popula-
sary condition for being recognized as an adult and being
tions of Indochina, to the Nagas studied by J. P. Mills
deemed suitable for marriage. This practice is more like a rit-
(1926–1937), as well as to the Jivaroan people of Latin
ualized war expedition than a sacrifice to the gods. It is well
America and the Mundurum of Brazil, who carefully pre-
documented among Indo-European peoples such as the
served the heads of decapitated enemies, sometimes by
Scythians, who suspended the heads of enemies they had
shrinking. Head hunts are conducted on the occasions of
killed around the necks of their horses (Herodotos, 4.6.4).
rites of passage and initiation, or during the foundation rites
In ancient Greece the head hunt was an obligatory rite for
for a common house, the chief’s house, or the village temple.
initiation into the brotherhood of animal-men: Dolon the
Trojan dressed himself in a wolf skin and tried one night to
The close connection between the skull hunt and
bring back the heads of Odysseus and Agamemnon; when
human sacrifice has also been noted in Assam and Burma.
he was discovered, his own head was cut off by Odysseus and
Under the influence of S´aiva Tantrism, the ritualistic and
Diomedes (Iliad 208ff.). The skull hunt was commonly
symbolic role of the skull in Tibetan Buddhism has often
practiced by the Celts. The Gauls hung the trophy skulls in
been superimposed on a very ancient stratum of local beliefs,
their homes or nailed them to the main door after having
culminating in a revalorization of prehistoric practices in a
rubbed them with cedar oil (Strabo, 4.4.5; Diodorus Siculus,
type of Tantric yoga. Such was the case with the Aghorins,
5.29.4–5). Sometimes these skulls, glazed with a thin layer
S´aiva ascetics who ate from human skulls and meditated
of gold, served as sacred vessels for human blood libations
while seated on cadavers, and who also practiced ritual canni-
to Teutates, and as cups strictly reserved for use by the druids
balism up to the end of the nineteenth century. They were
and the chiefs (Livy, 23.24.12). This custom was to be main-
the successors of the Ka¯pa¯likas, or “carriers of skulls,” who
tained in Celtic Ireland and in the country of the Gauls. Gal-
had certain orgiastic practices and were worshipers of S´iva
lic coins from Armorica pictured chopped-off heads as a vic-
the great destroyer (Maitra¯yan:¯ı Upanis:ad 6.8). Forgetting
tory symbol evoking the hero Cú Chulainn, the son of the
the yogic significance of the corpse and the skeleton, these
god Lugh who brandished decapitated enemy heads in battle
Aghori naturally rediscovered the most ancient practice of
in order to frighten the enemy. He himself died in single
the cannibalistic headhunters (Mircea Eliade, Yoga, New
combat with Lugard, who cleaved his head, since in the Celt-
York, 1958, pp. 296–298).
ic world death took effect only if the membranes of the brain,
the adversary’s seat of life and force, were reached.
The Aztec decapitation ritual took place after the
human sacrifice. The head, separated from the body from
In certain Semitic cultures, or cultures influenced by Se-
which the heart and the lungs had already been removed, was
mitic peoples, the head hunt is associated with the hunt for
impaled and publicly displayed on the tzompantli. The
genital parts. Whether practiced in ancient Israel (1 Sm.
skulls, perforated transversally at the level of the temples, re-
18.25–27, 2 Sm. 3.14) or by ethnic groups in northern East
mained there a long time. This ritual was ordinarily practiced
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3806
HEAD: SYMBOLISM AND RITUAL USE
at the time of the sacrifices to the warrior gods, the hunting
origin, protects its possessor against all kinds of peril and
gods, or the agrarian gods, but we have not been able to un-
gives him health, wealth, and victory.
cover the deepest reason for such a practice. In a single Mexi-
Belief in the oracular powers of the head follows from
can village, Fray Bernardino de Sahagún saw seven tzom-
this worship of the ancestors’ skulls. Because the head is the
pantli (Florentine Codex, appendix 2) and the conquistadors
seat of life, it is believed that one can easily enter into a rela-
counted between 80,000 and 136,000 human heads exposed
tionship with the dead by means of the skull. Those of ances-
in this way, among which Cortés recognized those of fifty-
tors permit one to question the spirits, a common practice
three of his companions next to four heads of the first horses
in Melanesia and Polynesia. Among certain Indian ethnic
put to death. It is not certain that these “skull walls,” which
groups of Latin America, the Jivaroan people in particular,
inspired respect mixed with fear, were the result of the wor-
the spirits manifest themselves in the shape of skulls, formi-
ship of the god of death. But it is certain that the head was
dable if they belong to ancient shamans. The Inuit of Iglulik
a sacrificial trophy that was displayed as the personal proper-
believe in the existence of tattooed flying heads, the manifes-
ty of the Aztec collectivity, since the handling of these heads
tation of spirits who have taught language to the Inuit. In
seems always to have been reserved for the priests and digni-
ancient Israel, the terafim show the relation between the wor-
taries of the Aztec people (Florentine Codex 3.53).
ship of skulls and divination: small anthropomorphic domes-
Certain African ethnic groups link the skull to initiation
tic idols become the instrument of divination (Gn. 31:19; 1
rituals; thus, in the blood-pact rite in Benin, the skull of a
Sm., 15:23, 19:13, etc.). Commenting on these texts, medi-
traitor or one who died by accident serves as the receptacle
eval rabbis affirmed that the terafim were made from the de-
for a beverage made of the coinitiates’ blood. Those who be-
capitated head of a firstborn son from which the hair had
tray their oath will experience the same ignominious death
been removed. The head, sprinkled with salt and castor oil,
as the skull’s owner. In the rite of initiation into Haitian
was preserved and questioned about the future according to
Vodou, the concepts of pot-tête, mait-tête, and lav’tête have
a ritual analogous to the one reported in the tenth century
quasi-magic importance, as the place where the initiate,
among the natives of Hauran. The Greeks likewise were ac-
whose head hair, body hair, and nails have been gathered,
quainted with the existence of oracular heads: that of Orphe-
unites with the lwa, or spirit, received at the time of
us at Lesbos (Philostratus, Heroicus 5.704) and that of Ar-
initiation.
chonides preserved by Cleomenes of Sparta (Aelianus, 12.8).
But it is especially in Celtic literature that the theme of
THE HONORED HEAD. Discoveries from the Middle and
the oracular head comes to its fullest expression. Separated
Upper Paleolithic ages, in Europe as well as in the Middle
from the body, heads continue to act and speak as if they pre-
East, or in Australia, show the importance of the cult of the
served the vital breath they once contained, like Brân’s head
skulls of the ancestors. Their heads were prepared with great
in the Mabinogi, or those of the Roman Arthurians who take
care and preserved. These skulls have undergone an enlarge-
up the old theme of Fledh Bhricrenn, in which the hero Cú
ment of the occipital orifice, have been colored with red
Chulainn is the prototype of the knight Gawain. The Celtic
ocher, a substitute for blood as the symbol of life, and have
theme of the severed head, still living and speaking, is the
been preserved according to a precise ritual orientation exact-
foundation of Christian legends of cephalophoric saints, the
ly like that practiced not long ago in Sulawesi. Likewise, the
most famous of which is Saint Denis, the bishop of Paris.
Aborigines of Australia preserve their relatives’ skulls with
All these legends originated in northern Gaul, in Celtic
great care, in order to venerate them and carry them along
country, and do not illustrate, as was long believed, the affir-
with them on their pilgrimages. The same care in decorating
mation of Chrysostom concerning the martyrs who could
and preserving the ancestors’ skulls is also found among the
present themselves with confidence at God’s tribunal “carry-
Andamanese of the Bay of Bengal, the Papuans of New
ing their cut-off heads as a testimony of their martyrdom.”
Guinea, and the Indians of Bolivia. All of them believe that
It is always the same sacred power, vital and of divine origin,
the “soul of the dead” resides in his skull and that it protects
that is expressed by the severed head testifying to its religious
them.
faith.
In the same way, the Celts preserved the skulls of their
SEE ALSO Bones; Crown; Human Sacrifice, overview article;
next of kin on “encephalic” pillars with hollowed-out niches,
Nimbus.
such as those of Roquepertuse, Entremont, and Glanum.
This custom was maintained for a long time in the Danube
BIBLIOGRAPHY
Basin where the ancestors’ skulls, separated from their skele-
Duverger, Christian. La fleur létale, économie du sacrifice aztèque.
tons, were preserved under the main altar in churches. Every
Paris, 1979.
year, during the rites of passage, the young men took them
Gahs, Alexander. “Kopf-Schädel und Langknochenopfer bei Ren-
out and wore them around their necks. Certain African eth-
tiervölkern.” In Festschrift für P. W. Schmidt. Vienna, 1928.
nic groups, like the Bamileke, bring the skull of the deceased
Jensen, Adolf E. Mythos und Kult bei Naturvölkern. 2d ed. Wiesba-
back into the home and deposit it near the family altar,
den, 1960. Translated by Marianna T. Choldin and Wolf-
where it is invoked in prayers of benediction and protection.
gang Weissleder as Myth and Cult among Primitive Peoples
This is because the skull, as a vessel for sacred power of divine
(Chicago, 1963).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEAD: THE CELTIC HEAD CULT
3807
Lambrechts, Pierre. L’exaltation de la tête dans la pensée et l’art des
opponents they embalmed in cedar oil and stored carefully
Celtes. Bruges, 1954.
in a chest to be displayed proudly to their visitors, and in
Onians, Richard B. The Origins of European Thought. Cambridge,
some instances they used the skull of a distinguished enemy
U.K., 1954.
as a vessel for sacred libations. These and other similar refer-
Ross, Anne. Pagan Celtic Britain. London, 1967.
ences are supported by the insular Celtic literatures, where
the return of the hero carrying the heads of his foes as tro-
Sahagún, Bernardino de. Florentine Codex: General History of the
phies is commonplace. Cormac’s Glossary, which dates from
Things of New Spain. 13 vols. Translated by Arthur J. O. An-
around 900 CE, defines the term mesradh Machae, “the nut
derson and Charles E. Dibble. Santa Fe, N.Mex., 1950–
1982.
harvest of Macha (the war goddess),” as “the heads of men
after they have been cut down.”
Sterckx, Claude. La tête et les seins: La mutilation rituelle des en-
nemis et le concept de l’âme. Saarbrucken, 1981.
But the cult of the head went far beyond the pursuit of
martial glory. The head was not only a prized heroic trophy
Vries, Jan de. Keltische Religion. Stuttgart, 1961.
but also a profoundly religious symbol, sometimes evidently
MICHEL MESLIN (1987)
representative of a deity and generally suggestive of supernat-
Translated from French by Kristine Anderson
ural wisdom and power. It was a source of prosperity, fertili-
ty, and healing as well as an apotropaic agent to ward off evil
from the individual and from the community as a whole.
Severed heads are often associated with sacred wells—
HEAD: THE CELTIC HEAD CULT
themselves instruments of healing—in the archaeological re-
Head-hunting as a proof of prowess and the veneration of
cord, in the early insular literature, and in modern oral tradi-
the head as the seat of the soul and the source of spiritual
tion, and this association was carried over into the legends
potency are both far older than the dawn of the historical pe-
of the Christian saints. There are many instances in the liter-
riod. In Europe there is fairly clear evidence for them as far
ature of heads continuing to live—speaking, directing, enter-
back as Mesolithic times. They were therefore part of the Eu-
taining—long after they have been separated from the body.
ropean heritage long before the Celts emerged as a distinct
Perhaps the most striking example is that of Bendigeidvran
cultural entity. But here, as in so many other instances, what
(Brân the Blessed), whose head presided over the otherworld
the Celts borrowed or inherited from others they soon made
and protected the island of Britain since its burial at the
peculiarly their own. The veneration of the head became a
White Mount in London. Indeed so widespread and so per-
central element of their ideology, a deep-set preoccupation
sistent is the image of the head in its various aspects that
which lasted from the birth of the Celtic peoples to their final
Anne Ross has seen fit to describe it as “the most typical Celt-
conquest, one which left its imprint ubiquitously on their art
ic religious symbol.”
and on their mythology.
The archaeological and artistic evidence for the head
BIBLIOGRAPHY
cult among the Celts is too extensive to catalog briefly. For
Lambrechts, Pierre. L’exaltation de la tête dans la pensée et dans l’art
example, at the Celto-Ligurian sanctuary of Entremont in
des Celtes. Bruges, 1954. An important collection and classifi-
cation of plastic representations of the head, but relatively
southern Gaul (Provence), fifteen male skulls were found,
weak in its use of the insular tradition.
several of them still bearing the marks of the spikes with
Le Roux, Françoise. “Notes d’histoire des religions, III.” Ogam 8
which they had been fixed for display, and at Bredon Hill
(1956): 300–316.
in Gloucestershire, England, a row of skulls uncovered near
Le Roux, Françoise. “La ‘Branche Sanglante’ d’Ulster et les têtes
the entrance seem to have fallen from above the gate of the
coupées des Salyens de Provence.” Ogam 10 (1957):
fort. At Entremont there are many examples of severed heads
139–154.
sculpted on blocks of stone, while Roquepertuse, also in Pro-
Le Roux, Françoise. “Têtes coupées et religion celtique.” Ogam 16
vence, has its famous decorated portico with niches in which
(1964): 451–453. A searching commentary on the different
human skulls were placed. There is also a wealth of heads
levels of the cult of the head and on its social and religious
sculpted in stone or carved in metal which, while not explic-
significance. The author’s expertise in mythology and com-
itly identified as severed heads, reflect clearly and sometimes
parative religion and her extensive knowledge of the insular
very dramatically the importance accorded the head as a sym-
sources give her a considerable advantage over earlier com-
bol of extraordinary power and divinity: for example, those
mentators on this topic.
from Heidelberg or from Mˇsecké-Zˇehrovice in Bohemia, or
Reinach, Adolphe. “Les têtes coupées et les trophées en Gaule.”
the pear-shaped heads on the Pfalzfeld Pillar, or the three-
Revue celtique 34 (1913): 38–60, 253–286. An excellent sur-
faced head from Corleck, County Cavan, Ireland.
vey for its time, but its descriptions and interpretations re-
quire some revision in light of later studies.
Classical authors confirm the archaeological testimony.
Ross, Anne. “The Human Head in Insular Pagan Celtic Religion.”
According to Posidonius, as reported by Diodorus Siculus
Proceedings of the Society of Antiquaries of Scotland 91 (1959):
(5.29.4–5) and Strabo (4.4.5), the Celts returned from battle
10–43.
with the heads of their defeated enemies hanging from the
Ross, Anne. “Severed Heads in Wells: An Aspect of the Well
necks of their horses. The heads of their most distinguished
Cult.” Scottish Studies 6 (1962): 31–48.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3808
HEALING AND MEDICINE: AN OVERVIEW
Ross, Anne. “The Cult of the Head.” In her Pagan Celtic Britain,
The meaning and value of ideas and experiences associ-
pp. 61–126. London, 1967. A comprehensive survey of the
ated with healing become most clear in the specific religious
British iconographic evidence for the cult, particularly valu-
contexts in which they arise. Thus, for example, the passion
able for its constant correlation of iconographic, archaeologi-
of physical suffering has different meanings in the self-
cal, and insular literary documentation together with mod-
sacrifice of the Buddhist Bodhisattva Ksemadatta who
ern oral tradition.
burned his own hand to become a living lamp; in the cruci-
Sterckx, Claude. La tête et les seins: La mutilation rituelle des en-
fixion of Christ, necessary for those who believe in him to
nemis et le concept de l’âme. Saarbrücken, 1981. This work
gain everlasting life; and in the death of al-H:alla¯j (d. 922),
seeks to review and evaluate the varied data amassed since
the Muslim mystical poet who saw the human condition in
Adolphe Reinach’s pioneering study in 1913. Although it
both its love and painful separation of absence and death as
gives special prominence to the cult as practiced by the Celts,
it also examines it at length as a universal and Indo-European
a mirror of the divine nature and its attributes.
phenomenon.
The following discussion deals with religious healing
PROINSIAS MAC CANA (1987 AND 2005)
from a comparative perspective. The outline roughly follows
the hypothetical contours of an incident of sickness and cure,
moving from the origins of the disease and techniques of cure
HEALING AND MEDICINE
through the discovery of symptoms, their diagnosis, choice
This entry consists of the following articles:
of therapy, the actions of cure, and the aftereffects of healing.
AN OVERVIEW
Information on healing in particular religious traditions and
HEALING AND MEDICINE IN AFRICA
culture areas can be found in the articles immediately follow-
HEALING AND MEDICINE IN THE AFRICAN DIASPORA
ing this overview.
HEALING AND MEDICINE IN THE ANCIENT NEAR EAST
HEALING AND MEDICINE IN JUDAISM
MYTHS OF THE ORIGINS OF DISEASE. Images and symbols
HEALING AND MEDICINE IN ISLAMIC TEXTS AND
of the origins of disease help justify and rationalize sickness
TRADITIONS
POPULAR HEALING PRACTICES IN MIDDLE EASTERN
and exculpate (or blame) the victim of illness. They also help
CULTURES
the community to think about the condition of sickness.
HEALING AND MEDICINE IN GREECE AND ROME
However, the importance of myths of the origins of disease
HEALING AND MEDICINE IN CHRISTIANITY
goes beyond the social and cognitive in that they help locate
ALTERNATIVE MEDICINE IN THE NEW AGE
HEALING AND MEDICINE IN A¯YURVEDA AND SOUTH ASIA
sickness as an ontological condition—a mode of being.
HEALING AND MEDICINE IN CHINA
HEALING AND MEDICINE IN TIBET
The supreme being itself may send afflictions. In keep-
HEALING AND MEDICINE IN JAPAN
ing with their absolute and total character, celestial supreme
HEALING AND MEDICINE IN INDIGENOUS AUSTRALIA
beings dispatch people with summary diseases and capital
punishments. The Semang of Kedah (Malaysia), for exam-
HEALING AND MEDICINE: AN OVERVIEW
ple, believe that the supreme being Kari, who created most
Healing occupies a singular and prominent place in religious
of the universe, is omniscient and sees every offense from his
experience throughout the world. Often the most important
dwelling place on high. He punishes wrongdoers by drop-
figure or symbol in any given religious tradition is the source
ping a flower from a mysterious plant on them. Wherever
of healing, and illness tends to function as a magnet for many
the flower falls, fatal lightning strikes. Often, congenital dis-
and varied ritual responses. In addition, the existence of per-
eases are attributed to the creator. The Mondari of southern
sonal suffering in the world may serve as a springboard for
Sudan attribute the origin of certain nervous disorders and
theological and mythological exploration and explanation.
mental sickness to Ngun Ki (Spirit-of-the-Above). Symp-
toms of such diseases include sudden onset, an indication
The aims of religious healing are consonant with the
that the power from above has fallen hard and swiftly. Alter-
overall goals of religious life in a culture. Healing may be di-
nately, mental incapacity that appears to be congenital is also
rected toward reestablishing ritual order, life in abundance,
attributed to the authorship of the creator, for the afflicted
the expulsion of disorder and evil, redemption from condem-
are considered bad creations that were broken or spoiled in
nation, salvation from guilt and sin, liberation from exis-
the making.
tence, or extinction of existence itself. Sickness reminds reli-
gious beings to assume their peculiar role in the world, one
Supreme beings and creators not only set in motion fatal
cognizant of sacred realities and coordinated with the cos-
and incurable diseases, they can indirectly unleash a flood of
mos. Rituals of healing redress the fragmented social, person-
pathogenic substances on the world. This is especially the
al, temporal, physical, and metaphysical tissues constituting
case when creators destroy their own creations through uni-
the whole of the universe. All this is possible because the
versal flood, fire, petrifaction, darkness, or earthquake. These
human body and its experiences comprise a knowable world
catastrophes generally leave toxic residues. Left over and only
of physical, spiritual, mental, cognitive, and emotional forces
partially destroyed, such fragments of the primordial world
that reveal supernatural structures of creation. Religious heal-
cause disease in those who come into contact with them (if
ing clarifies the ways in which the individual human body
these fragments should be inert substances like poisons,
lies at the center of sacred meaning.
ashes, or brackish primordial waters) or who are attacked 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
HEALING AND MEDICINE: AN OVERVIEW
3809
them, as in the case of leftover primordial monsters continu-
Navajo peoples at the beginning of time, colors were kept
ing to devour victims in today’s world.
separate from one another in different world levels and in the
In the northwest Amazon area of South America, in the
baskets located at each of the cardinal directions. In the cen-
upper Río Negro region, the Baniwa people believe that
ter of the universe was placed a covered basket containing
many diseases originated when the culture hero Kuai was
whooping cough, smallpox, nervous disorders, and all man-
consumed by the fire that swept through the world at the be-
ner of sickness. The basket also contained the first human
ginning of time. From Kuai’s mouth and other body orifices
being and his companions. When the mythical people
streamed saliva and fluids that became the poisons of this
emerged through the various layers of the primordial world
world, and from the fur on his body came the pathogenic
and ascended into this one, they gradually accumulated a riot
darts and slivers that invade human beings.
of confused colors collected from all the various world layers
they had passed through. They also brought along the basket
At times, a co-creator, one who competes with or
of ills. Creation, increasingly complicated over time, main-
thwarts the efforts of the divine creative partner, introduces
tains its order only with difficulty. In the Navajo case, the
disease into the world. According to the Mazdean theology
failure to intercalate the myriad orders of sounds, colors, di-
of the Iranian D¯enkard (9.37.5), the world was once perfect,
rections, supernatural beings, plants, stones, and qualities of
immortal, and immaterial (menog). Even the material cre-
light accumulated during the ascent through multiple
ation (getig) made by O
¯ hrmazd, the good creator, was per-
worlds, brings on disorder reflected in the body as sickness.
fect. Only when Ahriman creates finite space does he corrupt
the world with evil and sickness, a state of confusion (gumez-
Finally, disease can enter the world through the disobe-
ishn) that will endure until the end of time. Ahriman’s de-
dience of a creature. Instructed by the supreme being, cre-
monic creations inhabit human bodies, where they lodge
ator, or culture hero to keep silent, maintain vigil, stand mo-
themselves as diseases.
tionless, or observe dietary restrictions, the first people
Often a more ambiguous divine figure introduces dis-
disobeyed. For example, consider the story in chapter 3 of
ease. Divine culture heroes or mythical tricksters collaborate
the book of Genesis, in which Adam and Eve fall into sin and
in creation with the supreme being. However, they are rarely
death because of their disobedience to Yahweh.
equal in power or status with the high god. They are usually
These mythic scenarios do not exhaust the kinds of epi-
deputies commissioned to carry out the will of the creator.
sodes portraying the origins of disease. The point is that reli-
In the course of discharging their duties, however, they bun-
gious healing rarely, if ever, confronts a merely biological dis-
gle the job or meet with misadventure that lets loose disease.
order located exclusively in the body of the patient. Religious
Bauro, the hero of Tucano-speakers of southern Colombia,
healing encounters a primordial reality: battles with super-
for example, was entrusted with the gourd of night. This
natural forces that have existed from the beginnings of time.
gourd would allow people to dream and to perform ceremo-
Healing must be an act of recreation, corrective creation, or
nies if it was opened with due care. Unfortunately, the hero
cosmic battle waged to triumph over or annihilate miscreant
was unable to prevent meddlers from opening the container
primordial powers. The healer must be cognizant of the ori-
prematurely. Its contents flooded the earth with penetrating
gins and nature of the realities he or she confronts through
darkness, accompanied by the diseases of noxious vermin,
the experience of the patient. Disease forces the religious
stinging insects, and venomous reptiles.
healer to reckon with the creation of the world.
In some cases, the divine or supernatural body itself
PROXIMATE CAUSES OF ILLNESS. The mythic origins of ill-
gives rise to disease. This is especially true among mythic fig-
ness serve as the ideological background for the diagnostic
ures whose slain cadavers are dismembered to bring into
procedures that determine the proximate causes of illness in
being various species of plants or animals. Consumptive real-
specific instances. In most cases, the proximate causes of ill-
ities (i.e., substances to be consumed) appear not only in the
ness are more immediately relevant for the diviner or diag-
forms of food but in the guise of diseases.
nostician and certainly more relevant for the patient. After
Ancient Daoist texts (Huainanzi, chaps. 2, 4; Zhuangzi,
all, these causes are specific and individual and can be treated
chap. 9; and Shanhai jing, chap. 13) describe the origins of
in the here and now. The immediate causes of the disease
madness. Ancient gods of the time of paradise drummed
may be due to the castigating action of ancestors or Gods as
their bellies and created a rumble-guts of thunder and light-
a response to sin or moral failing of the individual. This casti-
ning, shattering the world with a primordial deluge. The
gation often is construed as educational in value: The afflic-
belly is the location of the Yellow Court, the center of medi-
tion causes the individual to change his or her behavior for
tative techniques and mystical experiences that transmute the
the better. In these instances, the illness may be construed
body, rid it of impurities, and reconceive the individual as
as a spiritual “wake-up call” or as an opportunity to make
a holy and immortal embryo. The individual who suffers
amends and start over.
madness in this way is said to know with his or her belly the
Sometimes illness is caused by the hidden malevolence
ancestral gods who drummed at the time of creation.
of neighbors or relatives or by nasty ghosts or spirits. In tradi-
Many diseases result from the incomplete condition of
tional European societies, the evil eye was believed to cause
creation. According to a myth reporting the emergence of the
a variety of illnesses and other misfortunes. Those who give
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3810
HEALING AND MEDICINE: AN OVERVIEW
others the evil eye often are understood to behave out of
be held to cure the sick, investigate witchcraft, uncover the
envy, although that envy sometimes is unintentional rather
cause of death, or locate lost pigs. According to Edward
than purposefully malicious.
Schieffelin (1996), Kaluli believe illness to be caused when
the invisible spirit-counterpart of a person’s body is dismem-
Another frequent proximate cause of illness is the poor
bered by a witch or injured by other circumstances in the
performance of ritual acts, such as inattention to ancestors
spirit world. The person can be treated by asking the spirits,
or incorrect ceremonial etiquette. Paul, for example, pointed
through a medium, to locate the patient’s body-counterpart
out to the Christians of Corinth this cause of their illnesses:
in the spirit world and repair the damage.
“For any one who eats and drinks without discerning the
body eats and drinks judgment upon himself. That is why
The competence of the diagnostician may stem from his
so many of you are weak and ill and others of you have died”
or her personal experiences of sickness from similar diseases,
(1 Cor. 11:29–30). Impurity is another frequent cause of ill-
from innate gifts or talents (e.g., clairvoyance), acquired
ness. Impurity sometimes is the result of ritual failings, but
techniques (e.g., special objects of power), or familiarity with
often is the consequence of contamination of one sort or an-
spirits. Diviners sometimes master elaborate symbolic
other. Inappropriate sexuality and contact with strangers,
schemes accounting for the elemental substances, forces, and
certain animals, menstruating women, and the dead are com-
processes at work throughout the cosmos. Such systems of
mon sources of impurity.
correspondence reduce the infinitely complex circumstances
of mythic, cosmic, social, and personal history to a relatively
A particularly common cause of illness falls into the gen-
few combinations of symbolic items. Some African systems
eral category of bad social relations. Illness may be construed
of correspondence have given evidence of astounding com-
as triggered by anger or jealousy or as a manifestation of over-
plexity. Reputedly revealed by divinities at the beginning of
ly strong emotions. In cultures characterized by rigid gender
time, Yoruba divinatory techniques reveal the correspon-
hierarchies, illness in women often is interpreted as triggered
dences that exist between patterns of nuts or shells cast on
by their rebellion or disrespect toward their husbands, fa-
the ground and hundreds of lengthy, enigmatic verses mem-
thers, or other socially dominant men.
orized by the diviner. The diviner must know the nuances
The Malays believe that human beings are composed of
of meaning in the poems and be expert in applying them to
minds, bodies, souls, and two other elements: semangat, the
new situations. The verses allude to mythic personages and
universal spirit that dwells in all creation and when startled
events that shaped the world. The current condition of the
may leave its container, and angina, the Inner Winds inherit-
patient is brought into line with some primordial condition
ed from one’s parents. These Inner Winds govern individual
of creation revealed in the poem. The sickness, its origin, and
talent and personality. If strong Winds are not expressed in
the conditions of its cure are revealed when the diviner recog-
daily life, they accumulate in the body, causing physical and
nizes the suitable pattern of shells, the proper verse, and its
emotional pain. Stifled Inner Winds are suspected to be the
fitting interpretation. Versions of this elaborate system of
cause of intractable illness that has not responded to straight-
correspondence have spread throughout West Africa and the
forward medicine or simple spells.
Americas. Not only do diviners have keen memories and
sharp intuitions; they are shrewd social analysts whose prob-
DIAGNOSIS. When people fall ill and suspect that their afflic-
ing questions unveil the patient’s medical history and uncov-
tion has a supernatural cause, they seek expert advice. In
er sources of tension and anxiety in the community.
many social settings there is an informal but ordered net-
work of people who help the sick person choose the best
In the Peruvian Andes, diviners use mesas to diagnose
course of action. Such a therapy management group often
sickness. Mesas are ground cloths, tables, or boards whose di-
consists of relatives, friends, neighbors, and local authorities.
visions reflect the principle structures of the universe, name-
The group helps decide how serious the crisis is and how to
ly, the three levels of the world (the heavenly realm, the inner
face it. Should the illness endure, interrupting the productive
earth, and the central world inhabited by humans) as well
relations of the individual and the community, special assis-
as the elemental structures of time (the seasons, years, night,
tance is sought from someone familiar with the meaning of
day, and hours). On the mesa, the diviner locates objects rep-
the symptoms. The individual who diagnoses sickness may
resenting and embodying supernatural forces with which he
serve as a referral center to medical practitioners specializing
or she is familiar. During a nightlong ceremony in which he
in one disease or another. Alternately, the diagnostician may
asks the patient a series of questions concerning the sick per-
both discern the disease and cure it. The diagnostician reads
son’s physical and social condition, the diviner arrives at a
the signs of the disease manifest as symptoms and recon-
judgment concerning the nature of the sickness and the
structs both the mythic and social history of the sickness.
course of therapy. By successfully locating the patient in
space and time, he or she defines the key supernatural rela-
Prior to Christian evangelization, the Kaluli people of
tions that condition the patient’s existence, including the
the tropical forest north of Mount Bosavi on the island of
current illness.
New Guinea believed the forest around them was coincident
with an invisible world of spirits with whom human beings
Other systems of correspondence use the symbolism of
could communicate through mediums. Spirit séances would
colors, sounds, movements, or the disposition of sacrificed
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEALING AND MEDICINE: AN OVERVIEW
3811
body parts such as lungs, liver, or bones. They may also use
curers. They possess a pharmacopoeia of nearly nine hundred
dreams and other experiences of the diviner or patient to
medicinal plants, carefully classified according to local sym-
connect the hidden conditions of the sick person to the more
bolic orders. This extraordinary feat seems motivated and or-
legible outward signs of the manifest world. The point is that
ganized by the fact that the plants are vehicles for the fluids,
all creation is isomorphic; each part bears the same arrange-
especially fat, blood, and water, that come from the body of
ment of forces, qualities, and substances. If the diviner can
Pachamama (Mother Earth), who is a divine being. She gives
clarify the working order or disorder of any one part of cre-
life to the human offspring who dwell on her mountainside.
ation, he or she can see more clearly the same conditions ob-
Curative powers are transferred from the body of Mother
taining in other areas of existence such as the affected space
Earth to the circulatory systems of her children through the
of the patient’s body.
various species of plants. They are gifts of Mother Earth, and
MYTHS OF THE ORIGINS OF CURE. The time of creation also
their energies are released when the plant leaves are steeped
proves to be important for the origins of techniques of cure.
in water as a tea and drunk by the patient.
These myths of origin play a directly therapeutic role in epi-
Rattles, drums, costumes, songs, and the implements
sodes of sickness and healing. Thus, for example, in healing
and techniques of cure may have mythic origins that account
a newborn infant, a specialist among the Manus fisher folk
for their power. In Eurasia, for example, drums are a part
of the Admiralty Islands intones the origin myths of the gin-
of the religious healer’s curing practice. The studies of
ger and aromatic herbs that he passes around from one per-
L. P. Potapov (1968), S. I. Vajnstejn (1968), and Marcell
son to another during the ceremony. The myths of origin of
Jankovics (1984) show that the myths of origins of these
these herbs is rather lengthy. It is sung several times, tracing
drums and the powers that fill them when they are played
the history of the curative substances from the beginning of
take concrete expression in their structural design and in the
time to the more recent period when it was acquired by the
drawings depicted on the hides of the drumhead. The drums
medical specialist who does the singing.
of Altaic peoples, such as the Shor, Teleut, and Kumandin,
Myths of the origins of cure are often recited in the pres-
often depict mythic beings associated with constellations of
ence of the ailing patient, for only then can the therapy be
the zodiac. Uralic peoples, such as the Selkup, Ket, Dolgans,
effective. The rite of cure clarifies the mythic origins of the
Nganasani, Evenki, and Eveny, draw maps of the sky, cen-
medicine that is always embedded in a cosmogonic myth. A
tered often on the Milky Way, the supernatural path along
formulaic chant-remedy for toothache in ancient Assyria be-
which the healer travels to enter the original world of celestial
gins with the time when Anu, the creator, made the heavens.
powers. These skymaps illustrate a mythic geography and lo-
In their turn, the heavens created the earth; the earth, the riv-
cate the principal powers pertinent to the ecstatic healer’s
ers; the rivers, the canals; and the canals made smaller pools.
practice.
Eventually, the pools gave birth to the Worm of Sickness.
HEALING TECHNIQUES. Just as myths of the origin of disease
Weeping with hunger, this pathogenic Worm went to ask
are given immediate meaning via specific understandings of
the supernatural beings Shamash and Ea for something to
the cause of particular illness episodes, myths of the origin
consume. No fruits of the earth would do; the Worm would
of cures are actualized through a variety of healing tech-
satisfy itself only with human teeth. Even while the worm
niques. Given the avidity with which human beings seek out
is given license to devour human teeth and cause decay, it
healing and the diversity of understandings of the origins and
is cursed and destroyed by Ea. In times of need, the myth
proximate causes of illness, a comprehensive list of ritual
was recited in a ritual fashion to reenact the origins of the
healing techniques and procedures would be an impossibili-
world and the origins of toothache and its cure. As sure as
ty. There are, however, several categories that can, in one
the world and dental decay exist, so too does the power,
form or another, be identified in many cultural settings. Al-
made present through the performance of the myth, to over-
though this is far from a hard and fast rule, it often is the
come the pain and its corrosive cause.
case that the pursuit of healing begins with simpler or more
The important issue is that, at some time in the mythic
straightforward (less expensive, less elaborate, less special-
past, a supernatural power of cure has vanquished the power
ized) rituals and progressively moves on to more complex
of affliction in question. Not only does this sacred act set a
ones.
precedent for healing the disease, through recitation of the
First, one of the simpler clusters of healing techniques
myth of cure, the healer makes present once again the ancient
centers on the manipulation of sacred or symbolic objects.
supernatural powers and events that conquered the disorder
This cluster was addressed prominently in the writings of
at the beginning of time. Thus, the healer’s words and deeds
early anthropologists who identified subcategories of conta-
are effective.
gious magic (i.e., contact with objects understood to carry
The accounts of the origins of cure open up the universe
particular power) and sympathetic magic (i.e., the use of ob-
of meaning that binds a culture and stimulates its creativity
jects understood to resemble the desired effect). Although
in the face of sickness. Each category of materia medica has
the pejorative meanings often associated with the term magic
its own origin. For centuries, Qolla-huaya healers in the Bo-
are not particularly useful, the recognition that objects are
livian Andes, for example, have been remarkable herbal
ritually manipulated in particular ways is quite useful. Con-
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HEALING AND MEDICINE: AN OVERVIEW
tagious magic may include ritual healing techniques such as
sucks out the intruding pathogen with his or her own mouth.
wearing an amulet that has been written, blessed, or manu-
In such cases, the healer’s mouth is a medical instrument, a
factured by a saint or other holy person. Sympathetic magic
womb of transformation that changes the sickening sub-
may include ritual healing techniques such as the use of mila-
stance into something harmless or even helpful. Sucking can
gros (charms with tiny legs, arms, hearts, etc.) representing
be a stunning spectacle. Several investigators have comment-
the body parts or organs in need of healing that are placed
ed on the violence, noise, and aggressive suction that draws
into receptacles at Catholic shrines and churches in Mexico
blood from different places on the patient’s body. The heal-
and Texas.
er’s mouth, throat, and stomach possess special powers. The
Tapirape healer of Brazil, for example, intoxicates himself
A second category of healing relates particular saints to
specific illnesses. In towns and villages on the north coast of
with great gulps of tobacco smoke from his pipe. He deliber-
Portugal, different saints are connected to the healing of dif-
ately makes himself sick so that he begins to vomit, but he
ferent parts of the body. Saint Bras is called on for a sore
sucks his own vomitus and accumulated saliva into his
throat; Saint Bento, to cure warts and rashes; and Saint
mouth. Throughout this noisy performance, he stops inter-
Luzja, for eye diseases. Lena Gemzoe relates this explanation
mittently to suck on the body of his patient. Finally he vom-
given her by a woman in one small town:
its up the entire mess and searches for the intrusive object
that has provoked sickness. Sometimes several healers carry
Not long ago I had an illness, it was chicken-pox; that
on cures of this sort in joint practice and at the same time.
came all over. . . . I got it and very, very badly. First
On these occasions the sound of violent vomiting reverber-
my children, then since I was with them, it struck
ates throughout the village.
me. . . . I was very, very sick because I had sores on
my head, on my back, on my legs. . . . I clung to Saint
Purification techniques include physical cleansing prac-
Bento and asked: “Oh, blessed Saint Bento, liberate me,
tices such as washing and spiritual practices such a medita-
God, from become scarred”—because it looks so ugly.
tion that eliminates impure thoughts. Often, the physical
If he would clean my whole body and clean my chil-
and spiritual aspects of purificatory rituals are inseparable as
dren, when the day of his feast comes I will go there and
in the case of biblical laws of ritual immersion after menstru-
I will offer, for example a head of wax or a bust of a
woman or . . . I asked for my children, I would give
ation or contact with the dead. Clearly, immersion in water
an entire child, two entire children of wax. (Gemzoe,
washes away blood and other bodily effluvia. Yet the immer-
2000, p. 81)
sion also is understood to transform the individual into a
spiritual state in which he or she can participate in the reli-
Another cluster of healing techniques centers on prayer and
gious life of the community. When outsiders are targeted as
meditation. The variations within this cluster are many.
the source of sickness in the body social, as has happened his-
Who prays—the individual in need of healing or someone
torically in response to some immigrant groups, the larger
else on that individual’s behalf? Is the prayer spontaneous
collective may erupt into violence and adopt ritualized forms
and idiosyncratic, or does it follow a set liturgical formula?
of quarantine or expulsion—often unjustly—with the idea
Is the prayer understood to be effective because it elicits di-
of purifying and healing itself.
vine response, or because it calms the emotions or centers the
mind of the person who prays or meditates? Is the ritual si-
A fourth cluster of healing techniques involve inserting
lent and private or recited aloud? In contemporary American
something into the person in need of healing. The most ob-
society, healing prayers occur privately, recited under the
vious examples in this cluster involve the ingestion of medi-
breath by millions of people going into surgery, as part of
cine of one sort or another. The ritual aspects of this cluster
public extravaganzas, like revival meetings of various sorts,
take a variety of forms: techniques of ingestion, techniques
and electronically, over the internet and on television.
of collecting or preparing the medicine, and so on. In some
instances the substance that is ingested or inserted is clearly
A third cluster of healing rituals have to do with remov-
material in nature and understood to work on fairly straight-
ing the object, experience, emotion, force, spirit, or person
forward biological principles as with an herbal tea, for exam-
that is understood to cause illness. Roughly speaking, this
ple. In other instances, the substance has both material and
cluster includes confession, exorcism, and purification of var-
spiritual aspects (e.g., drinking water in which a paper with
ious sorts. In many settings the removal is verbal, narrative,
a verse from the QurDa¯n, a Buddhist su¯tra, or the Bible has
metaphorical, or symbolic. Public and private—and volun-
soaked). Even substances that may seem to be material can
tary and forced—confessions of sins and misdeeds are other
be understood to work in a nonmaterial way, such as home-
manifestations of extraction techniques: The sickness-
opathy in which the pills that are ingested are understood to
causing information, guilty feeling, or wicked or aberrant
work on an energetic level. The insertion of devices like acu-
thought is removed from inside the individual and, in one
puncture needles adds an additional tangibility to the con-
sense or another, dissipated or neutralized.
cept of insertion, coupled with energy manipulation, and oc-
Sucking is a widespread technique of cure. The healer
curs in the context of a set process. The practitioner reads
may use some technical device such as a goat’s horn for cup-
the patient’s pulse, looks at his or her tongue, and listens to
ping or a leech for drawing out blood. More often, the healer
the narrative of symptoms prior to needling.
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HEALING AND MEDICINE: AN OVERVIEW
3813
A fifth cluster of techniques involve touch. At the most
routinized. Of greater religious significance are the healers
basic level, touch simply is the common human act of rub-
specialized in confronting disease through symbolic dramas,
bing a body part that hurts. At the other end of the spectrum,
especially rituals of cure. Such healers are called to their voca-
touch is done on the astral or energetic level rather than
tions through a number of different means. Sickness is often
through direct contact with the patient’s skin. Reiki healing
a sign of election by a supernatural agent of cure. The isola-
is a good example of nonphysical touch. As a healing tech-
tion of serious illness, the sufferings that the candidates en-
nique, touch is particularly multivalent. Its effectiveness can
dure, and the deliriums they undergo can all be interpreted
be understood in physical terms such as relaxing muscles or
as an initiation to the office of healer.
increasing blood flow, in emotional or social terms such as
creating warm and healing interpersonal connections, and in
The Aztec at the time of the Spanish conquest distin-
spiritual terms such as channeling the power of divine
guished among several medical specialties. A number of six-
entities.
teenth-century texts document these specialties and their
procedures. The tetonalmacani, tetonaltiqui, or tetonallaliqui
A sixth, and one of the largest, cluster of healing tech-
cared for those patients, especially young children, who had
niques has to do with the induction of trance and other al-
lost their tonalli, a species of soul. The teapatiani (“healer of
tered states of consciousness. In many cultures either the sick
the crown of the head”) applied pressure to the palate of in-
individual or the healer carries out some sort of practice that
fants, massaging it in such a way as to close the fontanel in
results in the elicitation of healing dreams (in which the
a propitious manner. Another practitioner designed figures
dream itself heals or healing knowledge is revealed in the
on the body of the patient before bleeding the victim suffer-
dream). Healing trance and spirit possession as in, for exam-
ing dysentery. Some healers sucked out sickness and trans-
ple, the zaar rituals in parts of Africa are elicited through
formed the intruding pathogen into a piece of parchment,
drumming and dancing. In other contexts, altered states of
flint, pebble, or some other object. Other Aztec clinicians in-
consciousness in the healer, the patient, or both are elicited
cluded bonesetters and curers of scorpion bites, gynecologi-
through substances such as mushrooms or tobacco, sleep or
cal disorders, and sicknesses suffered during the rites of pas-
sensory deprivation, repetitive or hypnotic types of motions,
sage through the life cycle.
singing or chanting, or meditation.
Aztec mystical healers were called to their vocation
A final cluster of ritual techniques highlight some form
when struck by lightning. Midwives demonstrated their
of cognitive restructuring (i.e., practices that encourage the
power by dancing publicly during the great religious feasts.
patient or other participants to see or construe their affliction
Deep massagers cured by warming their feet directly in fire
in a new or healthier way). Storytelling often is the means
and then walking on the affected muscles of the patient. The
by which the cognitive restructuring is effected. Through the
most esteemed specialist in the Aztec tradition was the herb-
recitation of myths and tales that have cultural or spiritual
alist, and the most despised was the tetlaxiliqui, the abortion-
resonance, the patient comes to see his or her own suffering
ist. In their dreams and visions, shamans of the Tunguz, Bur-
as a part of a larger cosmic unfolding. Christian Science of-
iats, and other Siberian peoples see their own bodies
fers a clear example of cognitive restructuring: The work of
tortured, pierced, cut into pieces with knives, boiled down
the Christian Science healer is to help the patient understand
to their bones, and then reconstituted. This mystical experi-
that his or her suffering is not real.
ence of death and resurrection qualifies them as future heal-
HEALERS. The power of healers often is associated with a god
ers. In a concrete way, their own body has overcome death
or culture hero who introduced healing techniques or is un-
and disease. Traveling to other worlds in their ecstasies, these
derstood to be the prototypical healer. In the Christian tradi-
healers bring back medical materials (crystals, herbs, rattles,
tion, the miraculous cures of Jesus are the distinctive sign
pieces of bones) as signs of their powerful relationship with
that the Messiah has come and that the new age of the king-
sacred beings. One Siberian shaman, for example, fashioned
dom of God has dawned (Mt. 4:23–25; 10:1; 10:7–8;
a drum from three boughs he took from the mythical tree
11:4–5). As the divine physician, Jesus instructs his disciples
growing at the center of the world. That cosmic tree transects
how to cure all kinds of diseases, especially by casting out un-
every spatial and temporal layer of the universe. During
clean spirits. Any given culture may recognize a range of reli-
treatment, the sound of the drum transports the patient’s
gious healing specialists. The diversity of religious healers is
soul through space and time to the moment and place where
an outgrowth of the intricate and varied sets of relationships
creation began.
with supernatural beings who are subtly different from one
The retrieval of the lost soul of the sick person is a dan-
another and a reflection of power relations and the impor-
gerous task requiring that the healer’s soul exit his or her
tance of social hierarchies in particular settings.
body and travel to the margins of the universe, to the heights
The types of religious healers are many in number and
of heaven, or to the depths of the underworld. Ecstatic heal-
diverse in style. Some are specialists in simple instrumental
ers are frequently clairvoyants. Their vision penetrates the
cure such as bonesetting, herbal remedies, and dietary pre-
opaque matter of the patient’s body and of the material
scriptions. They master a finite canon of pharmacopoeia or
world during their quest for the lost soul. Perilous ordeals
therapeutic protocols. Their training is often scholastic and
that jeopardize the soul of the healer fill the journey to fetch
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HEALING AND MEDICINE: AN OVERVIEW
back the soul. Often, the battles that take place in the outer
Years of specialized training and apprenticeship induct him
regions of the cosmos are acted out in the center of the heal-
or her into the culture of biomedicine, in which he or she
ing arena or, if the healer has fallen dead while his soul jour-
acquires the knowledge and skills related to the practice of
neys on high, the epic adventure is recounted in exciting de-
medicine—how to “work up” a patient, formulate a case his-
tail later.
tory, arrive at a differential diagnosis, manage a case, work
within a medical team, and assume the mantle of authority
Exorcists also have previous acquaintance with spirits af-
conferred on physicians, symbolized in the white coat. What
flicting their patients. Although they may not have contract-
differentiates the biomedical physician from some other
ed the disease, they have encountered the supernatural beings
types of healer is the careful distancing, on the part of
who possess the sick. In their initial confrontation, exorcists
biomedicine as a whole, from the notion that the physician
learn to recognize the voice of the pathogenic spirit. That
taps into communication with the sacred. What takes its
first meeting of the exorcist and the spirit of affliction
place is the power of physical evidence, understood to hold
amounts to a time of trial in which he or she exercises the
sway even as it is susceptible to the surfacing of new and
techniques needed to expel the possessing spirit. Very fre-
more compelling data. As a concept, however, evidence func-
quently exorcists establish a dialogue with the disease-bearing
tions as a quasi-absolute.
being. In the course of the conversation and interrogation,
the possessor reveals its identity either through its voice or
In other situations the relationship between the patient
by announcing its name. During the dialogue, the spirit also
and healer is quite egalitarian with the healer serving as more
reveals to the exorcist the manner in which it may be ex-
of a facilitator of the patient’s own healing powers than as
pelled. Often the sounds of exorcism that the healer recites
an expert who actually carries out the healing. A contempo-
are the very sonic structures of the afflicting spirit. The
rary example of this mode comes from the world of hospices,
names, songs, babbling sounds, or poems are the outward
hospital chaplains, and congregational nurses, many of
manifestations of invisible forces.
whom describe their work as a “ministry of presence”—as
simply “being there” with the one who is ill. In this minor
The mau tham (“experts in reciting words”) are exorcists
mode, the healer accompanies patient, witnesses patient’s
in the Buddhist communities of northeast Thailand. They
suffering, and supports the patient in his or her healing
specialize in magic uses of sacred sound. During apprentice-
process.
ship, they fall into trance, trembling and losing conscious-
T
ness, while sacred Buddhist words are recited. While en-
HE SOCIAL BODY. With all of these techniques, the practice
of religious medicine becomes public theater. The fallen con-
tranced, their teacher interrogates them and learns which
dition of the physical body serves the cause of high religious
sacred verses the disciples need to know to expel spirits. The
drama. On the tragic or comic outcome hangs the fate of in-
spirits (phi) become identified with the totally incomprehen-
dividuals and communities. Furthermore, the symbolic ac-
sible sounds, which represent verses from Buddhist texts.
tions of cure—the episodic structure of the healing séance
The mau tham lives a life of strict observance and restriction.
marked by shifts in music, style, color symbolism, body pos-
Should he or she eat forbidden foods, the knowledge inside
tures, and changes in symptoms—reveal the meaning of the
him or her, in the form of sonic images of words, would turn
sacred as it impinges on concrete existence. For this reason,
into the afflicting enemies that he battles and exorcises in his
religious healing rituals are well-attended event, spectacles
patients. Exorcism has a slight twist to it because the phi, the
from which flow important symbolic languages used to un-
possessing spirit, actually inhabits the body of a neighbor in
derstand and order the world.
the village. From the body of its host, it attacks the patient
of the exorcist. During the ceremony, the exorcist forces the
The role played by the community in healing rituals is
patient to pronounce the name of the person in whom the
highly variable. In contemporary American twelve-step pro-
afflicting spirit resides. Then the mau tham, recognizing the
grams, the community is essential to the healing process. It
spirit in question, forces it to leave by reciting its sounds.
is the very fact of the community gathering together that ef-
fects the healing. In this maximal mode, illness in the indi-
In many situations, the relationship between the healer
vidual often is conceptualized as a reflection of illness in the
and the patient is dramatically hierarchical (although this hi-
social body, thus healing must occur at the communal level.
erarchy does not necessarily carry over into other aspects of
The notion that gathering in community is necessary for
life). Healing hierarchy can be expressed in various ways: The
healing to take place has been well developed by Edith Tur-
healer is healthy, and the patient is sick; the healer has inher-
ner and Victor Turner.
ent healing powers, and the patient does not; the healer has
acquired specialized healing knowledge (in a variety of ways),
In the Mediterranean area, Western Europe, and the
and lay people do not have this knowledge; and the healer
Balkans of Eastern Europe, medicinal dances performed by
has a special ability to communicate with the gods or to
the entire community heal the sick. The whole group be-
channel divine energy, and lay people do not. The high ritual
comes a manifestation of the sacred displayed at their public
status of the healer is made known through diplomas, lingo,
ceremony. In quite different ways, S:u¯f¯ı brotherhoods of Mo-
insignia, special clothing, and honorific titles. In many ways,
rocco, the Macedonian Rusalija, Serbian Kraljice-Rusalje,
the Western biomedical physician epitomizes this mode.
Romanian Calus, and peasants of southern Italy, from the
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HEALING AND MEDICINE: AN OVERVIEW
3815
classical period of Magna Graecia into the twenty-first centu-
tempts at innovation or reappraisal of tradition. In the
ry, cure through the power of group dances that battle with
1560s, for example, local divinities in the Peruvian Andes re-
supernatural causes of disease and death. At times, the sick
portedly swept down from the sky or rose out of their earthen
patient is forced to arise and dance and, in that way, mani-
shrines to enter the native population and afflict them with
fests the healing power in his or her own body. Curative
uncontrollable dancing diseases. The frenzied dance was ex-
dancing practices are ancient among these cultures. Similar
pected to bring on the end of the world, overthrow Spanish
group therapies exist throughout the world. Musicians, espe-
overlordship, and restore power to local people and gods. By
cially drummers and percussionists, play a key role. Using
the thousands, Andean Indians became savior-gods incarnate
their ability to discern the movements of spirits, accompa-
and danced the Taqui Onqoy (“the dance of the Pleiades”).
nists guide the community through the episodes of the cure,
After nearly a decade, Spanish authorities crushed the move-
carefully judging the endurance of the dancers, the emotion-
ment and condemned some eight thousand leaders to corpo-
al state of the ensemble, the mood of the spectators, the na-
ral punishment or exile.
ture of the supernatural powers present, and the reactions of
the ailing patient.
Because powers of affliction strike their victims without
their consent, disease becomes a vehicle of social change, re-
Janet Hoskins has studied healing among the Kodi peo-
sistance, and unrest for which the restless cannot be held ac-
ple of Sumba in eastern Indonesia. At the time of her field-
countable, for they are victims themselves. In this way, symp-
work in the 1980s, the majority of the fifty thousand Kodi
tomatology and epidemiology can indicate far-reaching
people were followers of the indigenous religion that cen-
social stirrings and help pinpoint latent motives for them.
tered on the worship of ancestors, spirits, and deities who live
Conversely, cults of disease can be ways of carrying forward
in the tombs, gardens, and houses along the western coast
ancient religious traditions or sociopolitical structures in the
of the island. Kodi society is characterized by intense atten-
face of the overwhelming power of a dominant religion or
tion to exchange obligations stretching back into the past.
political authority. This is the light in which Ernesto de Mar-
These obligations often become the cause of social tension.
tino (1957) interprets certain folk diseases and rites of musi-
Hoskins notes, “Some forms of illness and injury are diag-
cal cure in rural Italy.
nosed as ‘social diseases’” (Hoskins, 1996, p. 273). Cure of
these diseases requires elaborate performances that involve a
At times, the language of disease and cure appears to be
network of kin and affines. Healers whose work is aimed at
a vehicle for the creation of new religious forms and experi-
resolving these kinds of diseases enact what Hoskins calls
ences. The spontaneity of disease, circumventing the process
“talking cure” whereby all the possible causes [of the
of institutional permissions, prompts lay people to experi-
disease] are exposed in a divination, as spirits are inter-
ment with new religious forms and combine elements of tra-
rogated in turn and the reasons for their anger are deter-
ditions that appear to be quite disparate. Many of the inde-
mined. Divination occurs in a group setting, usually
pendent Christian churches of Africa provide an important
with all family members sitting near the right front pil-
forum for the religious interpretation of disease and rites of
lar of the house, as the diviner constructs his interpreta-
cure. These churches maintain long-standing traditions of
tion of the spirits’ anger. . . . In many ways, his role
African religiosity while, at the same time, they give new life
seems more that of the catalyst for a group-therapy ses-
and meaning to the Christianity brought by European mis-
sion that than of an independent diagnostician, since
sionaries. In Douala, Cameroon, a growing group of devo-
after each revelation he goes back to the family mem-
bers, who discuss and evaluate it and provide him with
tees follow two prophetic women leaders. The two prophet-
more information to continue the [divination]. (Hos-
esses call their disciples the “sick ones of the Father” and
kins, 1996, pp. 275–276)
divide them into groups, according to the categories of the
sick mentioned in the Gospels: the blind, the paralyzed, the
The fact that the community gathers together does not nec-
epileptic, the deaf, and the dumb, although the disciples do
essarily mean that the role of the community is to support
not actually manifest these symptoms. Eric de Rosny (1986)
the patient. Although in many instances all family members
points out that many of them do not appear to be sick at all,
gather around the bedside of one who is about to pass over
but, deep within themselves, they must identify with these
into the next world and the family presence eases and facili-
diseases in their inner being to qualify for participation in
tates that final healing, in many other instances, the role of
the group of the elect. The two prophetesses deliver lengthy
the community is accusative. The American Christian evan-
discourses that reweave the imagery and understanding of
gelical anti-gay movement, like other deprogramming set-
traditional African and Christian belief. It is the experience
tings, falls within this category.
of their peculiar illnesses that provides the basis for this social
The role of disease and cure in reorganizing personal
reshaping and rethinking.
and social experience often leads to the reshaping of world-
views and recasting of social orders. Because sickness is re-
SEE ALSO Affliction, overview article; Drums; Exorcism;
garded as an adverse form of change, resulting from the am-
Fall, The; Health and Religion; Incantation; Medical Ethics;
bivalent presence of a new or unwelcome mode of being, the
Psychology, article on Psychotherapy and Religion; Shaman-
language of disease and cure frequently inserts itself into at-
ism, overview articles; Soteriology.
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3816
HEALING AND MEDICINE: HEALING AND MEDICINE IN AFRICA
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Hoskins, Janet. “From Diagnosis to Performance: Medical Prac-
knowledge and experience, it is also situated within specific
tice and the Politics of Exchange in Kodi, West Sumba.” In
social and religious contexts that frequently require ritual ac-
The Performance of Healing, edited by Carol Laderman and
tions.
Marina Roseman, pp. 271–290. New York, 1996.
RELIGIOUS BACKGROUND. All African religions are mono-
Jankovics, Marcell. “Cosmic Models and Siberian Shaman
theistic; that is, they are based on belief in a single divine
Drums.” In Shamanism in Eurasia, vol. 1, edited by Mihály
being (Smith, 1950), but in most cases this Creator or Archi-
Hoppál, pp. 149–173. Göttingen, Germany, 1984.
tect has lost interest in the everyday affairs of human beings.
Kligman, Gail. Calus: Symbolic Transformation in Romanian Ritu-
Thus, when people call on this being for help or approach
al. Chicago, 1981.
him for healing or blessings, they usually make their suppli-
Laderman, Carol. “The Poetics of Healing in Malay Shamanistic
cations through or to intermediaries. In some cases the belief
Performances.” In The Performance of Healing, edited by
Carol Laderman and Marina Roseman, pp. 115–142. New
system includes other beings, the result being a pantheon of
York, 1996.
gods or more frequently a collection of spirits and shades.
Some writers refer to the shades as ancestors, ancestor spirits,
Lewis, I. M. Ecstatic Religion. London, 1971.
or the living dead who serve as intercessors.
Martino, Ernesto de. La terra del rimorso. Milan, 1957.
Potapov, L. P. “Shaman’s Drums of Altaic Ethnic Groups.” In
African cultures and their associated religions should be
Popular Beliefs and Folklore Tradition in Siberia, edited by
understood within their respective geographical and ecologi-
Vilmos Diószegi. Budapest, 1968.
cal contexts. West Africa differs in many respects from the
Rosny, Eric de. “Mallah et Marie-Lumière, guérisseuses afri-
rest of Africa, while lesser features distinguish between east-
caines.” Études 364 (1986): 473–488.
central and southern Africa. These differences were originally
Sárközi, A. “A Mongolian Text of Exorcism.” In Shamanism in
highlighted in Melville J. Herskovits’s discussion of culture
Eurasia, edited by Mihály Hoppál, vol. 1, pp. 325–343. Göt-
areas in Africa, but are also obvious in the religious structure.
tingen, Germany, 1984.
Geoffrey Parrinder explained in his 1949 study of West Afri-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEALING AND MEDICINE: HEALING AND MEDICINE IN AFRICA
3817
can religion that the supreme being frequently emerges as the
cably connected to social behavior and moral conduct. Illness
first among equals. Examples include Onyame among the
represents an unbalanced relationship with the environment,
Akan people, which includes the Asante of Ghana and the
although it may also result from the malevolence of an evil
Ivory Coast; Mawu among the Fon and Ewe of Benin; or
spirit or witch. The essential person for treating illness in this
Olorun among the Nigerian Yoruba. Below the supreme
context is the priest-healer.
being are intermediary deities or chief divinities that are non-
The Kamba of eastern Africa distinguish between God-
human in origin and often associated with natural forces.
given and natural diseases. “‘Witchcraft’ (merged conceptu-
These gods require temporary dwelling places and priestly
ally with sorcery) has become a ‘catch-all’ explanation for
service. Spirits and shades, who are closer to living people
myriad disorders in interpersonal relations. It was also a
than either the supreme god or lesser deities, are on the third
widely acceptable cause of personal failings ranging from lack
level. Below the shades is a fourth level of sacred charms and
of success in business, love, and school to sudden illness or
amulets with special powers.
strange disease, and especially barrenness and impotency”
People in the rest of sub-Saharan Africa hold a very
(Good, 1987, p. 223). Among the Taita, however, religious
strong belief in deceased family members who have been rit-
practices are directed toward turning away anger in any form
ually set apart as shades. They may ask these deceased rela-
and restoring peace, health, and general well-being. The
tives to intercede with the supreme being, who is known as
Swahili regard restoration to health as the result of correcting
Mulungu among the Kamba and uMvelinqangi (the First
an imbalance in the body. This view is related to the beliefs
Being) or uNkulunkulu (the Great-Great One) among the
of other Muslim groups in West and East Africa (Trim-
Zulu. The Kamba recognize Mulungu as a creator and pre-
mingham, 1969; du Toit and Abdalla, 1985).
server, and they venerate the spirits of the departed. These
The Zulu of southern Africa are representative of a wide
people believe that their ancestors play a major role in main-
range of Bantu-speaking peoples. The term isifo refers to dis-
taining their physical and mental health. Normally they offer
ease manifested in somatic symptoms, various forms of mis-
the shades sacrifices or food gifts accompanied by requests
fortune, and a general state of vulnerability to misfortune
for blessings, health, and cures. There need not be a special
and disease. Harriet Ngubane (1977) explains that illnesses
meeting, a formal setting, or a religious gathering for offer-
among the Zulu fall into two categories. The first group is
ings and prayers. When people take a meal, they flick small
caused by biological factors associated with living and aging.
pieces of food over the shoulder, pour out a few drops of
Diseases in this category are not the patient’s fault and can
beer, give thanks, or make a short specific request of the
be treated or cured by potent nonritual means, including
shades. They may also invoke the shades in praise songs and
Western medicine. Diseases in the second category result
formal addresses when they offer sacrifices or perform other
from imbalances between a person and the natural environ-
rituals. They may eulogize, plead with, or even threaten the
ment, or in the sufferer’s interpersonal relations. Treatment
shades—as when a Zulu warns an ancestor to cure or bless
requires the restoration of order and balance. Good health
him by saying, “If I die, there will be no one to bring you
flows from the internal and external harmony of a person’s
sacrifices.”
life with the social as well as the physical universe. Ideally a
person is in harmony internally, in external social relation-
Healing in Africa represents an attempt to answer two
ships, and in relation to nature.
basic questions: How did the illness or traumatic accident
happen? And why did it happen (to me or to my family)?
HEALING. Illness does not necessarily involve an individual
The unseen world also contains forces, both good and evil,
event as much as it reflects a disturbance in social relations.
that must be controlled or employed by specialists in healing.
The effect of such disturbances in the body or the social set-
An exception to this rule might be the Nuer of Sudan, who
ting may result in illness without disease. Disorder may man-
believe that all misfortunes derive from God. In fact the
ifest itself in physical, emotional, spiritual, or social discom-
members of this group have very few medications and doubt
fort. Treatment must therefore involve restoration of the
even their efficacy (Evans-Pritchard, 1956).
body or of the person’s overall human nature, and it must
occur in the familiar social setting. The personnel involved
HEALTH. An absence of health and well-being suggests illness
in healing span the range from diagnosticians and healers in
(a cultural concept) or disease (a pathological concept). Pa-
contact with spirits to ethnobotanical specialists and applied
tients suffer illnesses, but modern physicians diagnose and
psychologists. In West Africa the Akan distinguish among
treat diseases. Traditional healers address the illness while at-
priests or priestesses, herbalists, bonesetters, and birth atten-
tempting to cure the disease. In all of Africa, an imbalance
dants. The Yoruba of Nigeria differentiate between priests
in the body, or between the body and the social or natural
of the Ifá cult, the babaláwo who specialize in divination and
environment, is caused by sorcery and witchcraft, which op-
psychotherapy, and oní¸sègùn or herbalists. It is common in
erate in the religio-magical field.
East Africa to find healers categorized as diagnosticians,
The Akan hold a representative West African concept
herbalists, birth attendants, and surgeons who perform male
of health in that they understand it as a correct relationship
and female circumcisions. In southern Africa diagnosticians
with one’s environment, both natural and social (Appiah-
and herbalists are the major categories of healers, although
Kubi, 1981). The Akan regard health and disease as inextri-
individual practitioners may become specialists.
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3818
HEALING AND MEDICINE: HEALING AND MEDICINE IN AFRICA
Diviner-diagnosticians. Throughout Africa the diag-
lepsy, snake bites (in Tanzania), the testing of dreams and
nostician is essentially the person who receives and interprets
visions, and personal difficulties of human or spirit origin.
communications from the supernatural world. Appiah-Kubi
Some forms of Ngoma therapy are effective variations of psy-
states that “Traditional Akan practitioners often determine
chotherapy.
the cause of disease . . . [now] patients complain that it is
they who make their own diagnosis, while the modern doc-
A clear pattern exists in East Africa, where the Kamba
tor merely puts a label on their disease” (1981, p. 75). In
recognize a category of religio-medical specialists. Although
many cases material objects are employed as receivers of mes-
this group includes both genders, medicine women are more
sages from the spirit world. Diagnosticians may make use of
common than medicine men. Aided by supernatural powers,
divining bones, as among the Sotho and Tonga; divining
they practice divination, curing the sick, and invoking ritual
bowls, as among the Venda; or direct communication with
protection for livestock and fields. The Giriama of Kenya
the spirits, as among the Nguni-speakers. Nguni-speaking
recognize diviners, mostly women, who are innocent medi-
diagnosticians may listen for voices or ask the patient to re-
ums through whom powerful Islamic and other foreign spir-
spond to questions. While asking the questions, the diviner
its communicate. These women practice diagnosis as well as
is in fact watching the dilation of the patient’s eyes, listening
divination. Among the Swahili the “spirit doctor” is consult-
to respirations, and touching the patient to note changes in
ed by patients who suspect that their illnesses are produced
body temperature. Edgerton (1971) describes the questions
by sorcery.
that were asked by Abedi, a psychiatrist among the Hehe of
Diviner-diagnosticians among the Sotho peoples of
Tanzania. “Abedi was probing carefully for an understanding
southern Africa employ divining bones. Among the Nguni,
of the social context of the illness. Who might be an enemy?
including the Zulu, the ancestral shades are said to guide the
What is the patient fearful about?” (p. 296).
diviner. The diviner’s profession is not hereditary. Any per-
The peoples of West Africa distinguish among priests
son can become ill, which is a sign of calling, and undergo
and assistants who are dedicated to the service of a particular
a lengthy initiation. While the author was carrying out re-
god, seers, and herbalists. The priest or priestess, who is also
search in an urban area outside of Durban in 1974, a boy
called a medium, is found in Asante, Ewe, Fon, Yoruba and
about thirteen years of age had dreams about the neighbors.
other societies. The medium enters a trance state and sits in
Time and again these dreams proved uncannily correct. A
front of the shrine while communicating with the god resid-
short while later the author was invited to a sacrifice and fare-
ing in the shrine. Among the Ga such mediums, if married,
well for the boy, who had obviously been “called” by the
must leave their families—although male mediums are al-
shades and was being sent to northern KwaZulu-Natal for
lowed to remarry following their training. The medium is
traditional training. Diviners, however, are usually women
appointed by the village chief or priest. Training takes two
who do not choose to become diviners but are chosen by the
to three years and is accompanied by strict discipline. The
shades. The shades do not take possession of the diviner’s
Fon and Yoruba have “convents” for the training of medi-
body but “sit” on her shoulders and whisper into her ears.
ums: the course of instruction takes nine months for a boy
Among the neighboring Swazi, the shades may also “call” an
but three years for a girl. The Bariba of Benin regard healing
apprentice. The diviner’s training lasts an average of three
at the domestic level as an extension of the nurturing role.
years and costs several hundred dollars in cash as well as one
Thus they prepare medicines for skin diseases, respiratory
or more cows and goats for sacrifice to the shades.
disorders, and gastrointestinal ailments for children and even
adult members of the family. They also treat themselves for
Herbalists. Most African societies recognize persons
malaria or diarrhea. The adults consult female or male heal-
with specialized knowledge concerning plants and their ther-
ers called medicine people for more severe disorders. The
apeutic properties as well as diviners and spirit doctors. What
male medicine people, however, are always considered senior
is meant by pharmacopoeia in Africa, however, is best de-
to the females. There is also a widespread belief that women
scribed as faith in the curative properties of compounds with
of childbearing age are dangerous and may contaminate
a vegetal base. What these products lack in curative value is
medicines; consequently only men or postmenopausal
compensated by the ritual that enhances the patient’s faith.
women may administer strong medicines to combat danger-
African healers have an extensive knowledge of the properties
ous or stubborn afflictions.
of barks, roots, leaves, and herbs, as well as the catalytic ef-
fects of plant combinations or mixtures. Every African soci-
In eastern, central, and southern Africa there exists a
ety has a category of herbalists who dispense remedies on the
widespread therapeutic tradition based on the role of diag-
basis of either spirit guidance or symptom recognition. Such
nostician-diviners. These healers’ names are variations on the
plant-based remedies may be administered as plasters, seda-
root ngoma. The term is associated with drums and the
tives, purges, or cures. Their success requires two basic ingre-
rhythms of song and dance. Thus Victor Turner titled his
dients: the power of the practitioner’s thought and will, and
1968 study of the Zambian Ndembu therapies The Drums
the patient’s faith. Herbalists, who may be either men or
of Affliction. Typical health problems treated with Ngoma
women, are “called” by the shades in dreams, visions, or wak-
therapy include impotence in men, infertility in women, epi-
ing summons.
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HEALING AND MEDICINE: HEALING AND MEDICINE IN AFRICA
3819
As in many other contexts, medicinal plants in West Af-
spirits or shades who may have been afflicting the patient
rica may be personified. Before digging a root or cutting a
with bad luck or poor health. The first form of treatment ad-
branch or leaf for treatment purposes, the herbalist must put
ministered is purification through administration of an
down some eggs, a mashed yam, or a sacrificial bird; other-
enema or induced vomiting. The second is the use of herbal
wise the plant will lose its potency. Among the Azande of
medicines. The Zulu word umuthi (literally “tree” or
Sudan a young person who feels called to be a herbalist will
“shrub”) applies to noxious as well as curative substances of
start a long and costly training period. The teacher scruti-
vegetable origin. The same root for tree is found throughout
nizes the student’s intent to provide medicine to strengthen
the Bantu-speaking world—umuti among the Lamba of
the soul and confer special powers. When the training has
Zambia, muti among the Shona of Zimbabwe, and amuti
been completed, the candidate is admitted to the society of
among the Herero of Namibia—and points to the vegetative
his or her colleagues. Among the Azande, this ceremonial re-
base of all healing. A researcher among the Zambian Bemba
ception involves undergoing a public burial after which the
explains, “I know no Bemba charm which does not contain
initiate joins the association of medicine people. As long as
the roots, bark, or leaves of at least two different trees” (Rich-
Africans regard sickness and misfortune as religious or spiri-
ards, 1961, p. 232).
tual experiences, traditional curers will continue to practice
Social context. African patients rarely consult a diag-
their callings.
nostician or healer unless they are accompanied by a family
Herbal remedies may be selected for a variety of reasons.
or village member. Sickness occurs in the social setting, and
Their efficacy may be related to such qualities as taste, smell,
therefore curing must also take place in that setting. Refer-
appearance, and texture. Color is among the most common
ring to these support groups, Charles Good (1987) refers to
signatures of effectiveness. The Hausa of northern Nigeria
the “significant others,” while Jan Janzen, writing in 1978
use red plants (including henna, red root, and blood root)
about the people of lower Zaïre (now Congo), illustrated the
to treat wounds and to fortify the blood. Such yellow plants
importance of the “therapy managing group” who must be
as goldthread or goldenrod are used to treat jaundice. Milky
part of the diagnosis and treatment. Members of this support
latex is used to stimulate lactation in women after childbirth.
group accompany the patient to consultations with the diag-
One of the most important problems that traditional doctors
nostician and are involved in the rituals and administration
confront is infertility. Plants that produce copious amounts
of medications that follow such meetings.
of flowers, fruits, or seeds are used as fertility enhancers in
Childbirth. Among the Bariba of Benin practicing mid-
the same way that plants which readily shed their ripe fruit
wives are usually postmenopausal women with several living
are used to ease the process of childbirth.
children. The midwives occupy a curious position in the hi-
The Giriama of Kenya use the term muganga for both
erarchy of healers. Some women serve as informal assistants
diviners and herbalists, although they also indicate a healer’s
at problematic deliveries of neighbors and kin. Women who
field of specialization within this generic classification. Ex-
have served an apprenticeship under a midwife, however,
amples include a diviner who is called a “doctor of the head”
may employ ritual incantations, gestures, and sympathetic
and a herbalist who is called a “healer of the basket.” This
magic as well as herbal medicines when they assist a woman
differentiation underscores the belief that both practitioners
in labor. Some Africans view midwives as true healers while
are doctors whose healing skills range quite widely. Swahili
others regard them as technicians.
herbal doctors learn their profession from their fathers. They
Islamic influences are clearly present among the Wolof
share a basic belief in the balance theory of illness with Mus-
of Senegal and Gambia. Before a newborn infant is allowed
lims beyond Africa. The concept of balance is not limited to
to suckle, the child must drink a potion made from washing
the body and its functions but extends to social morality as
off a verse from the QurDa¯n that had been written on a wood-
well.
en slate. This verse is meant to keep away malevolent spirits.
A goat is also sacrificed. Rituals surrounding birth are per-
The basic term for herbalist, based on the root -nga, ap-
formed not only to strengthen the mother and child, but also
pears throughout eastern, central, and southern Africa, al-
to keep evil forces at bay. In addition, powers in the super-
though the specific distinctions between diagnosticians and
natural realm always receive recognition. The Gikuyu in
herbalists may have become blurred in some instances. Thus
Kenya recognize a normal birth by secluding the mother for
the Shona (Gelfand, 1962) distinguish between nganga who
a few days, following which she shaves her head and the fa-
use divining bones and nganga who treat ailments with herbs
ther sacrifices a sheep in thanksgiving to God and the shades.
and other medicaments. Many groups, however, combine
This act of sacrifice, accompanied by brewing beer, is also
these healing functions in one person. Good (1987) speaks
performed to mark the birth of a Zulu child.
of the East African mganga. Elsewhere, the Shona refer to
nganga, speakers of Sotho to ngaka, and speakers of Nguni
Surgery. Traditional African healers possess an exten-
to nyanga. These healers are called by the shades and undergo
sive knowledge of human anatomy. Some of this knowledge
apprenticeships in which botanical and ritual knowledge is
is gleaned from observing the carcasses of hunted or domestic
passed from mother to daughter or from father to son. Treat-
animals, while other anatomical information is obtained
ments or prescriptions may call for sacrifices to placate the
from treating human victims of hostilities or accidents.
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3820
HEALING AND MEDICINE: HEALING AND MEDICINE IN AFRICA
One form of specialization among the Akan in West Af-
The Yoruba use the same word oogùn for medicine and
rica was the bonesetter. Such a person was skilled in treating
charm. A good doctor is an oní¸sègùn, while a witch (the
patients with rheumatism and arthritis. The bonesetter also
owner of medicine) is an oloogùn. Medicines cure while
functioned as an orthopedic surgeon, helping to repair bro-
charms ward off danger. The most powerful protective
ken limbs.
charm found among the Asante as well as among the peoples
The most common forms of surgery are related to life-
of Benin and Nigeria, is a small broom of palm fibers with
cycle changes. These procedures may involve extracting the
sacred objects attached. It is the object of sacrifices and takes
incisor teeth; scarification; and various forms of circumcision
evils upon itself. Most houses are protected by charms hang-
of males (removal of the prepuce, subincision, or superinci-
ing above the doorway. Muslims use yellowed and dusty
sion) and females (removal of the prepuce of the clitoris, cli-
pieces of paper floating from the roof inscribed with texts
toridectomy, or infibulation). In many societies these latter
from the QurDa¯n. Nearly all the fields are protected with
events take place in the context of elaborate rituals presenting
charms as well as the entrances to villages. Travelers in the
the initiates to the shades. The addresses made on these occa-
area frequently enter a village by passing under a protective
sions are prayers complete with supplication, praise, and per-
arch. The Ndebele medicine men supply medicated pegs for
sonal commentary. Postsurgical treatment of patients in-
the gates of a new homestead. It is common to find a plant
volves herbs, poultices, and wraps with astringent or
called inthelezi growing outside a Zulu home. These objects
disinfectant properties.
serve to safeguard the home and its inhabitants against sor-
cery, witchcraft, and, in Ethiopia, the evil eye.
A number of societies employ cupping, or placing a
horn over a bleeding incision, as a form of therapy. The
HEALING MIND AND BODY. The mind and the body are sep-
Kamba and Maasai of Kenya used thorns to suture incisions.
arately recognized and treated using mystical powers. The
The former of these groups are reported to have removed the
mind can also be treated directly employing therapies, herbal
uvula of patients, while the Maasai also perform amputations
preparations, and consciousness altering substances.
of limbs with hopelessly complicated fractures. The Zimbab-
wean Shona fill a bleeding wound with spider webs. The re-
Witchcraft and sorcery. A study of African health
sulting contraction of blood vessels stanches the flow of
would be incomplete without recognizing the role of mysti-
blood. Trephination is performed in Uganda and Nigeria.
cal powers that may be manipulated by diviners and other
Robert Anderson (1996, p. 360) recounts the method of car-
specialists. Witchcraft and sorcery occur when people are
rying out this procedure among the East African Kisii and
under severe stresses and strains in life, or when they experi-
Bakuria. Following severe trauma to the head resulting in
ence tension, whether actual or potential. People may believe
fracture, the patient’s head is shaved and a cut made through
themselves to be victims of witchcraft, or they may employ
the skin, muscle, and underlying connective tissue. Bleeding
it against their competitors or enemies. The well-known Af-
is controlled by the application of herbal powders and char-
ricanist Mary Douglas remarks that “the African is almost as
coal. The surgeon scrapes away the bone with a sharp knife,
liable to die from a poisonous idea put into his head as a poi-
taking care to avoid penetrating the dura mater, which is the
sonous herb put into his food” (quoted in Nottingham,
outermost of three layers of protective membrane surround-
1959, p. 7). Such beliefs may produce illness in a person
ing the brain and spinal cord.
without an identifiable disease agent. (The opposite, disease
without illness, is finding expression in the pandemic of
Protection. Protection may simply refer to maintaining
HIV/AIDS.) From the point of health, sorcery and witch-
the personal and environmental balance essential to health.
craft enable people to deal with their failures and frustra-
It may involve matching hot and cold items, or sour and
tions. The witch is generally believed to be inhabited by a
sweet substances. Rituals for protection are performed for
power more evil than good that directs her or his nefarious
both persons and residences. In the case of persons, such ritu-
acts. The sorcerer is a person who knowingly directs injuri-
als are prophylactic and normally take the form of taboos.
ous magic to other persons. Magic may be either good or evil.
These may include meticulous avoidance of forbidden ob-
The medicine man uses good magic essentially for the benefit
jects and the careful execution of ritual observances. A taboo
of a patient, village, or society. When this power is employed
limits contact between people and objects that may be defil-
maliciously it becomes black magic, evil magic, or sorcery.
ing or between healthy persons and those who are either con-
These terms allow people to explain away their failures or
taminated or weak, such as postpartum mothers, newborn
blame them on unseen evil forces or other persons employing
infants, and others in various marginal conditions. The Yor-
these forces. M. G. Marwick describes the social context of
uba have a smallpox deity served by a priest who is immune
sorcery in his masterful 1965 study of the Cewa of Zambia.
to the disease following recovery from it. They also use their
left hand to handle dirty objects in order to keep the right
Ethnopsychiatry. “Medicine-men,” says John Mbiti,
hand clean for eating. In African villages, disease and misfor-
“are the friends, pastors, psychiatrists and doctors of tradi-
tune are religious experiences and must be approached from
tional African villages and communities” (1969, p. 171). For
a religious perspective. That is why these same protection rit-
this reason, one cannot speak of ethnomedicine without also
uals are currently being performed for Christians (Oosthui-
considering ethnopsychiatry. This form of treatment com-
zen et al., 1988).
pletes the holistic approach to illness-disease-sickness, anxi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEALING AND MEDICINE: HEALING AND MEDICINE IN THE AFRICAN DIASPORA
3821
ety-relief, grief-causality, foreboding-interpretation, and
SEE ALSO Afflication, article on African Cults of Affliction;
stress-relaxation. Ethnopsychiatry is a specialty that deals
African Religions, overview article.
with culturally defined forms of social deviance. Africans live
in a world peopled by vengeful ghosts and spirits, witches
BIBLIOGRAPHY
and sorcerers, and angry or jealous relatives and neighbors.
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Appiah-Kubi, Kofi. Man Cures, God Heals. Totowa, N.J., 1981.
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Mind-altering substances are also employed in other parts of
Ari Kiev, pp. 443–453. New York, 1964.
Africa; Cannabis sativa, for example, is used during child-
Mbiti, John S. African Religions and Philosophy. New York, 1969.
birth among the Sotho.
Ngubane, Harriet. Body and Mind in Zulu Medicine. London,
1977.
Robert Edgerton (1966) conducted some of the early re-
Nottingham, John C. “Sorcery among the Akamba of Kenya.”
search in East Africa dealing with this subject. Among the
Journal of African Administration 11 (1959): 2–14.
Hehe of Tanzania, the Sebei of Uganda, and the Pokot and
Oosthuizen, Gerhardus C. et al., eds. Afro-Christian Religion and
Kamba of Kenya, village members can list culturally defined
Healing in Southern Africa. Lewiston, N.Y., 1988.
behaviors that identify a person as psychotic. Among these
are violent actions, sleeping or hiding in the bush, wandering
Parrinder, Geoffrey. West African Religion. London, 1949.
around naked, and talking nonsense. Edgerton explains that
Richards, Audrey I. Land, Labour and Diet in Northern Rhodesia.
the social group, rather than a diagnostic label, defines ab-
Oxford, 1961.
normality. He illustrates how the negotiations among pa-
Smith, Edwin W. “The Whole Subject in Perspective.” In African
tients, healers, family members, and friends structure the def-
Ideas of God, edited by Edwin W. Smith, pp. 1–35. London,
inition of mental illness. It is also this group that recognizes,
1950.
defines, and responds to psychosis through a process of inter-
Trimmingham, J. Spencer. The Influence of Islam upon Africa.
personal relations.
London and New York, 1969.
Turner, Victor W. The Drums of Affliction. Oxford, 1968.
One of the classic cases of psychiatric treatment is de-
rived from the work of the Nigerian psychiatrist T. A.
BRIAN M. DU TOIT (2005)
Lambo (1964). He found numerous individuals suffering
from schizophrenia and other psychotic disorders on his vis-
its to Nigerian villages. These persons were not institutional-
HEALING AND MEDICINE: HEALING AND
ized but considered a part of everyday village life. In October
MEDICINE IN THE AFRICAN DIASPORA
1954 two projects were started at a village named Aro. The
For more than a century, African-based religions in the
first project was a day hospital that allowed patients to go
Americas have been dismissed as mere superstition or titillat-
home at night. This phase lasted for two years. The second
ing witchcraft. The racism that feeds such caricatures has en-
phase involved extending the day hospital to a village care
dured into the twenty-first century even though these reli-
service. The advantages of community involvement and so-
gions are now neither rare nor out of reach. Palo Monte,
cial acceptance of healers and patients were so clearly evident
Santería, Vodou, and Rastafarianism are likely to be found
that this village hospital model was expanded to other coun-
in every sizeable city in Europe and the United States—as
tries. Lambo believes that cooperation with indigenous heal-
are the variety of contemporary religious practices known as
ers contributed to the understanding of psychopathology
Yoruba revival. Traditions such as Umbanda, Candomblé,
and the psychodynamics of mental illness in Africa in rela-
and Shango may be scarcer, but they also have some interna-
tion to cultural and social variables.
tional presence.
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3822
HEALING AND MEDICINE: HEALING AND MEDICINE IN THE AFRICAN DIASPORA
African-based religions are eclectic by default and in
DIAGNOSIS AND THE THEORY OF PARALLEL CAUSALITIES.
ways that emphasize both their developmental history and
Diaspora priests offer healing to clients for a wide range of
their innate flexibility, which has made it possible for them
ailments and their causes, including professional, social, spir-
to survive. Broad African perspectives dominate in the di-
itual, amorous, monetary, familial, or even political. As in
verse group of religions born from chattel slavery, but they
allopathic healing, curing begins with diagnosis and, in the
also have absorbed South American and Caribbean autoch-
African diaspora, diagnosis comes through divination. Toss-
thonous religious practices. Colonial Christianity has also
ing cowrie shells, gazing into water-filled glasses or burning
had a substantial influence on African diaspora religions.
candles, going into possession, and card reading are among
Without giving up their primary focus on African-based reli-
African diaspora divining techniques. African diaspora divi-
gion, most contemporary followers of Vodou or Santería—
nation is more of a discerning mechanism than a crystal ball,
whether in Haiti, Cuba, or New York City—publicly identi-
and although divination techniques are diverse, they usually
fy themselves as Christians. At the beginning of the twenty-
work on a theory of parallel causalities. Vodou card reading
first century, in both the United States and the Caribbean,
provides an example: A client who goes to a Haitian manbo
attendance at Catholic churches is part of the ritual life of
(priestess) for a card reading will not hear a prediction of the
an initiate of Santería or Vodou.
future. Instead the manbo will engage the client in a series
of questions and answers designed to unlock the secrets of
African-based religions were shaped by two powerful
the present and reveal important things in the past that have
forces: the cruel and dehumanizing social structures that
been forgotten. The manbo will lay out the cards twice—
characterized transatlantic slavery and the creative responses
once to determine what is happening among the living and
of the enslaved who mustered to the cause resistance, flexibil-
a second time to see if spirits or ancestors are involved. In
ity, humor, strength, and endurance.
most traditions a particular physical ailment has no connec-
H
tion to a specific spiritual problem. Therefore, a connection
EALING WITH LEAVES. Virtually all African-based religions
emanating from South America and the Caribbean are fo-
between, for example, the inability to sleep and a troubled
cused on healing. These religious practices present a more di-
ancestor would emerge only through the divination process.
verse interpretation of illness and well-being than Western
Once a problem is revealed, treatment will proceed on
allopathic medicine provides. A leader/healer in Vodou,
both human and spiritual levels. For insomnia, the manbo
Candomblé, Umbanda, Santería, or Palo Monte is expected
might suggest an herbal tea, an over-the-counter sleeping
to function in diverse ways, including as a stand-in parent,
pill, or even a trip to a medical doctor. Most healers in the
a psychologist, a social worker, a priest, and, very likely, an
African diaspora tradition have accepted the skills and pow-
herbal doctor. All African diaspora priests are not equally ed-
ers of Western allopathic medicine, and they counsel their
ucated about medicinal plants; however, those with skills in
clients to take advantage of the help a medical doctor can
healing commonly use leaves in the curative process in one
provide. For the manbo, the spiritual connection revealed in
form or another.
divination amounts to a second layer of causality. For her,
this dimension of the client’s problem is more serious—and
Healing with leaves is a common theme among African
needs more attention—than the physical problem. The
diaspora religions. Herbs, most often referred to as leaves,
manbo’s prescriptions for healing the spiritual level of the
can be a curative agent in many ways, varying from being the
problem might include such things as wanga (a charm de-
source of medicinal tea to serving as an important ingredient
signed to change a dysfunctional relationship), herbal baths,
in spiritual charms or talismans. Sacred leaves are also
and even elaborate rituals such as a Catholic Mass for the
brushed across the human body in an act of spiritual cleans-
dead to honor an unhappy ancestor. A strong sense of family
ing or exorcism. They can also be kneaded in water and ap-
lingers in African diaspora healing practices. It is not unusual
plied to the body as a poultice. In treating something like a
for a client to be told that the cause of the problem is an
headache, whole leaves fresh from the bush can be laid on
event in the family that happened before he or she was born.
the forehead and secured with a scarf. In Brazil, herbal baths
are administered by the mae de santo (mother of the saints)
Physical ailments are sometimes diagnosed as messages
or the pai de santo (father of the saints), whereas in Jersey
from the spirits. This genre of diagnosis that is familiar to
City, New Jersey, santeros administer similar baths to those
almost every individual in the African diaspora. By tracing
awaiting initiation, and in Cuba the casa de santo (house of
an illness or a social problem along parallel causal paths
the spirit) is spiritually cleaned by sprinkling the floor with
through the land of the living and the land of spirits, that
a leaf infusion, heavy with the perfume of basil. A carefully
problem is firmly located in a relational connection rather
constructed series of cleansing baths followed by strengthen-
than in an individual person. Guilt is thus diffused and com-
ing baths, made from leaf infusions and other ingredients
munity ties are reinforced through the palliative rituals pre-
such as powders, perfumes, fruits and liquors, is as likely to
scribed by the healer. The client’s sense of helplessness is
be prescribed for trouble in the workplace as it is for a dis-
abated, and, most important, suffering is given meaning. It
ease. All problems—physical, spiritual or magical—can prof-
is common for a religious leader to be called to his or her
it from herbal treatment.
healing vocation through a manifestation of prolonged phys-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEALING AND MEDICINE: HEALING AND MEDICINE IN THE AFRICAN DIASPORA
3823
ical illness. The authority of any diagnosis that includes the
(guard) is an herbal mixture placed under the skin of the
intervention of the spirits is assured when the illness at issue
upper arm. This particular charm functions as a look-out
is one that Western medicine can neither diagnose nor cure.
that warns the person of immanent dangers by inducing a
tremor in the arm. Jamaicans talk about the activation of a
HEATING THINGS UP: RAISING ASHE. African diaspora reli-
malevolent charm as “planting” something. Charms of that
gions configure the world as a web of relationships connect-
sort are thought to be capable of remaining maliciously po-
ing the living, the ancestors, and the spirits. Each group has
tent for generations. By contrast, there are many charms
a role to play and each group needs the other two, thus the
known in the African diaspora that anyone can make in a
exchanges among them are ideally kept in an active balance,
minute without the help of a healer, and most are not expect-
one that is simultaneously dynamic and equilibrating. Ashe,
ed to function beyond the immediate situation. For example,
a common Yoruba term in Santería and Candomblé (it has
small packets of meaningful leaves in the shoes can “heat up”
similar meaning in other African diaspora religious tradi-
in the very act of walking. This is yet another way of activat-
tions) can be translated as vital energy or divine energy. Ashe
ing the ashe in leaves. About to face a judge, the accused may
flows through the web connecting the living, the dead, and
place honey on his tongue before leaving the house, and once
the spirits, thus effecting healing. Ashe is present in people
in court, he may memorize the names of the judge and the
and can raised by many means—especially spirited dancing
lawyers, to be used for another sort of wanga.
and drumming. In Haitian Vodou, it is said that no spirits
will come and possess the vodouisants unless the gathered
POISONS THAT HEAL. A few contemporary African diaspora
group does not first echofe the ritual event itself. Accordingly,
healers with extensive botanical knowledge may still know
every ceremony becomes a context for community healing.
how to administer a variety of poisons. Poisoning techniques
Ashe is also in the juices of healing leaves and the blood of
have been passed down from healer to healer for generations.
sacrificial animals. Healing through leaves and blood sacri-
By the turn of the twenty-first century, these recipes had be-
fice necessarily includes reciprocity with plants and animals.
come quaint memories, but during the time of the slave colo-
Thus, the person who kills an animal may first offer it a bit
nies, poisoning was a powerful weapon, one of the few that
of food. If the animal agrees to eat, it agrees to be sacrificed.
slaves had. It was a serious—although exaggerated and politi-
In a similar way, when the chicken, goat, cow or pig has been
cized—issue throughout the colonial era. When slaves actu-
killed, priests pour libations on its body in exchange for the
ally used it as an act of resistance, they could and did throw
sacrifice, much as “leaf doctors” leave a few coins on the spot
the white population into a headlong panic, which often pro-
where they collect their healing leaves.
duced hideous punishments. Gifted healers among the slaves
were known to be hanged, shot, and even burned alive—
MAKING WANGA. African diaspora healers tend to extrude
some for no reason other than their suspicious herbal knowl-
the problems at hand. Healers make models of troubled rela-
edge. It is likely that during the period of chattel slavery most
tionships to “work” with them. For example, an unfaithful
slaves who knew about leaves were likely to know how to
husband is made manifest through a male cloth doll. The
concoct poisons. Most did nothing with these recipes. Per-
doll may be stuffed with leaves, powders, coins and, most
haps, those who did thought of their use as a continuation
likely, a piece of paper bearing the name of the offending
of a spirit-fueled healing tradition. When slavery is the con-
husband. The work then begins. A length of copper wire is
text and survival is at stake, poisoning could well be seen as
used to tie the husband’s image into a doll-sized chair. A pad-
a community healing agent.
lock secures the wire. The wife is given the key and instructed
to throw it away where no one, including herself, will ever
It is certain that the white colonial population did not
find it. This is called making a wanga, a somewhat generic
think of poisoning by slaves as a positive contribution to the
term for charms and talismans in Caribbean culture. The
community. During the late eighteenth and the early nine-
manufacture of the charm articulates and activates the
teenth centuries, when the enslaved people laboring in Haiti
human situation, thus opening the possibility of change.
began their uniquely successful bid for freedom, the colonial
The next step, “working the wanga,” brings the spirits into
population in the Caribbean was already ill at ease in the
the process. The doll, bound in his chair, is situated to face
company of so many angry black men and women. Fear, ha-
a mirror. Between the mirror and the doll, an oil lamp burns
tred, and ignorance among the white colonial population fu-
twenty-four hours a day. The unhappy wife feeds the wick
eled the fires of suspicion. Whites had little understanding
and instructs the spirits to make her husband see himself
of African diaspora religious practices. They passed laws that
clearly and thus see how much damage he is doing to his
related the making of healing charms with the manufacture
family. She works the wanga two or three times a day. Work-
of poisons. At times, the punishment for making wanga was
ing the wanga is one way to heat things up, that is, to raise
death. Ironically, the antisuperstition laws in place before the
ashe.
Haitian Revolution remained after liberation; however, in
the aftermath of the revolution, the political valence of laws
There is a rich repertoire of charms in the African dias-
against the making of wanga changed: Legislation that result-
pora. Protective charms designed to secure a house are com-
ed from a witch-hunt for poisoners in colonial Haiti was co-
mon. They are either buried in the yard or hung in the house
opted by politicians who wanted Haiti to appear to the larger
rafters. One version of what Vodou practitioners call a gad
world as a “civilized” Catholic country.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3824
HEALING AND MEDICINE: HEALING AND MEDICINE IN THE ANCIENT NEAR EAST
SEE ALSO African American Religions, overview article; Afri-
fifth century BCE; the skills of the azu emerged from this tra-
can Religions, overview article; Syncretism.
dition (in fact, the profession’s title is mentioned in the
texts). It is reasonable to suppose, however, that the azu did
BIBLIOGRAPHY
not restrict his activities to the therapeutic use of plants, be-
Rachel Harding, A Refuge in Thunder: Candomblé and Alternative
cause the presence of small instruments may suggest that he
Spaces of Blackness (Bloomington, Ind., 2000), when part-
performed surgery (D’Agostino 2003).
nered with Robert A. Voeks, Sacred Leaves of Candomblé: Af-
rican Magic, Medicine and Religion in Brazil (Austin, Tex.,
Collections of exorcistic texts from this period reveal the
1997), provides a full portrait of healing in Brazilian Can-
beginnings of a rich literary tradition which would continue
domblé. Morton Marks, “Exploring el Monte: Ethnobotony
until the end of Mesopotamian civilization. One line of exor-
and the Cuban Science of the Concrete,” in En torno a Lydia
cistic tradition runs throughout the third millennium BCE;
Cabrera, by Isabel Castellanos and edited by Josefina Inclan
from the second millennium BCE onwards, although the pre-
(Miami, 1987) is a classic article on religious plants and their
vious tradition continued, new trends also developed
classification. Wade Davis’s controversial book, Passage of
(Michalowski 1992). In this later literary tradition, the
Darkness (Chapel Hill, N.C., 1988), explores Haitian Vodou
choice of particular material, drawn from an oral legacy and
ritual usages of poison and particularly poisoning through
zombification as an act of social justice.
written down, gave rise to the distinct tradition of “academ-
ic” knowledge (typical of the schools of scribes and literary
KAREN MCCARTHY BROWN (2005)
specialists), which would eventually take on a life and proce-
dures of its own (Michalowski 1992 and Biggs 1995). Thus,
the authority of academic tradition came to define the role
of the healer in the second millennium BCE as the preeminent
HEALING AND MEDICINE: HEALING AND
opponent of evil. This role was principally centered upon the
MEDICINE IN THE ANCIENT NEAR EAST
figure of the “exorcist” (ashipu), a priest who belonged to the
Distinctions among religion, magic and nature, and rational
temple; while ancient sorcerers and witches were restricted
thought, when referring to an ancient society that did not
to the negative role of agents responsible for evil, thus exclud-
use those descriptive categories, are ultimately regarded as in-
ing them from any role as healers (Abusch 2002).
adequate by the majority of scholars who study ancient Near
East societies. Therefore, the terms “empirical” and “exorcis-
Ancient Mesopotamians would consider themselves to
tic” will be used throughout this entry to define the various
have had a “happy” life if they enjoyed the favor of the gods
aspects of the art of healing in the ancient Near East.
(and especially of their personal god), if they had a long life,
CUNEIFORM SCRIPT AREA: MESOPOTAMIA. Two different
raised plenty of children, and enjoyed the respect of their fel-
kinds of healers are mentioned in the earliest records: the azu
low citizens (Biggs 1995). They believed illnesses were
(usually translated as “doctor”), found during the first half
caused by demons, ghosts, gods, witches, or warlocks. In par-
of the third millennium BCE, and the ashipu (usually translat-
ticular, many illnesses were caused by the “hand” of a divini-
ed as “exorcist”), also in evidence during the same period,
ty or a spirit. The main reason for misfortune or illness,
and more commonly after the second millennium BCE. The
therefore, consisted in falling out of favor with the gods. The
latter term was derived from the active participle of the root
sick person was thought to have committed some sin, either
wshp: “to conjure.” Scholars have tried, without much suc-
deliberately or unintentionally, that had offended the gods.
cess, to differentiate these two professions from each other.
Demons, spirits, and magical spells could also cause illness,
Texts show that the two roles overlapped, and both types of
but their outbreak in the patient’s life was in some way the
healers used the same methods, prayers, and exorcism formu-
result of a loss of divine favor, since that was considered to
las. Scurlock (1999) has recently proposed a satisfactory ex-
provide absolute protection against every misfortune. In this
planation, however: ashipu was similar to a doctor and the
respect, the life of the individual corresponded to the life of
azu resembled a pharmacist, although the azu was also able
the kingdom. Because loss of divine goodwill resulted in all
to perform minor surgical operations. This explanation has
kinds of misfortune, individual bad luck was linked to the
been confirmed by P. Abrahami (2003), who has managed
global cosmological picture—as conceived by the Mesopota-
to place these two professions in the context of Mesopota-
mian culture—from which were resulting every aspect of life.
mian cosmological thought. The exorcist (ashipu) possessed
An example of this context is the cuneiform text “The Worm
essential knowledge which originated directly from the god
and the Toothache” (probably referring to the nerve of the
Enki/Ea and was given to humans by the goddess Nininsina
pulp canal): the spell consists of only twenty-one verses—
(literally, “Lady of [the city of] Isin”). He or she warded off
two-thirds of them describe the mythological origin and cre-
evil by uttering formulas and performing rituals and treat-
ation of the worm, and only the final seven verses give in-
ments. The skills of the azu in contrast came directly from
structions on reciting the spell, the medicine, and method
the goddess Nininsina alone (a lesser-ranking but important
of treatment. (Biggs 1995).
deity) and from her son Damu.
Naturally, the ancient Mesopotamians knew contingent
Evidence of an herbalist tradition exists in cuneiform
causes of illness in everyday living, such as wounds, overex-
texts from Ebla, in northern Syria dating from the twenty-
posure to the sun or the cold, overeating, proximity to some-
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HEALING AND MEDICINE: HEALING AND MEDICINE IN THE ANCIENT NEAR EAST
3825
one sick (contagion), or insect bites; still, they used spells and
laws, and epistolographic evidence contains many descrip-
rituals to cure or prevent ailments.
tions of the activity of healers (either azu or ashipu).
This entry’s description of the exorcist relates only those
It is difficult, therefore, to understand Herodotus’s
characteristics that are relevant to the modern concept of
(I § 197: Herrero 1984) claim that there were no doctors in
medicine. Because of their specific character, the potency in-
Babylon; instead, it is reasonable to conclude that the Greek
cantations are the only exorcistic text to be mentioned here,
historian had misunderstood his source. In the early twenty-
for the inclusion in the ritualistic context of practical reme-
first century, many scholars are studying the medical history
dies (Biggs 1967).
concerning Mesopotamia, as evidenced by the establishment
The oldest treatises on medicine are pharmacological
of Le journal des médicines cunéiformes.
texts dating from the third millennium BCE (Civil 1960 and
CUNEIFORM SCRIPT AREA: HITTITES (HATTI LAND). The
Fronzaroli 1988), but scholars have been unable to identify
gap in evidence from Mesopotamia, after the Old-
the plants and minerals mentioned in them, thus preventing
Babylonian period (twentieth through sixteenth centuries
deeper study of ancient prescriptions (Biggs 1995). Three
BCE) and before the beginning of the first millennium BCE,
kinds of prescriptions exist: lexical texts, which list the names
is filled by the cuneiform texts from Bogazköy (ancient Hat-
of plants, minerals, and ingredients; descriptive texts, which
tushash), which preserved and continued the Babylonian
also describe therapeutic properties; and abstracts, which list
heritage of medical tradition. Numerous texts of Mesopota-
the plants’ names and specify the parts that should be used
mian tradition from the city’s archives often contain Hittite
for treatment. In addition to these, scholars have also identi-
or Luwian terms, but the texts were written in Akkadian.
fied a text which provides details of how to preserve the in-
Scholars have yet to fully understand the Anatolian medical
gredients. The city of Nippur had a central grocery store that
practices, however, primarily because of the incomplete na-
stocked rare plants, but the most important center in terms
ture of these texts and the uncertain meaning of some Hittite
of healing arts was the city of Isin; the temple of the city’s
terms (Burde 1974).
patron goddess, Nininsina (or Gula), housed the most im-
portant school of medicine in Mesopotamia. Excavations of
Texts of various kinds often provide details of Hat-
exorcist rooms, have unearthed collections of pharmacologi-
tushash inviting doctors from elsewhere, reflecting the primi-
cal texts, as well as cuneiforms texts concerning the art of
tive state of health care in the region. A letter from the Hittite
healing. Even these pharmacological texts, however, empha-
king Hattushilish III (r. 1275–1260 BCE) to the Babylonian
size the ritual element, as does the wider sphere of exorcistic
king Kadashman-Enlil II (r. 1263–1255 BCE) mentions the
literature. However, the existence of medical texts without
arrival of two doctors in Anatolia while professional medical
any “magical” prescriptions has been reported from the first
help was sought from Egypt, the usual source of doctors for
half of the second millennium BCE (Finkel 2004).
the Hittite court (Edel 1976).
Contrary to pharmacological texts, the remaining litera-
Although the Hittite term for “doctor” is unknown (the
ture that addresses curing physical ailments was written in
texts use both the Sumerian ideogram a-zu and the Akkadian
the second and first millennia BCE. This material includes
azu), the profession appears to have been very well organized.
therapeutic texts and diagnostic texts. (Stol 2001).
Various documents contain the names of several doctors;
The most well-known therapeutic manual takes its title
these healers participated in ritual celebrations in addition to
from its opening words: “if there is fever in a person’s skull”;
therapeutic activities. In fact, the healer who cared for king
the final version consisted of forty-five tablets. This text de-
Hattushilish III as a young man was not called “doctor”—he
scribes symptoms of ailments, includes prescriptions of the
was the chief scribe.
substances to be used in treatment, and explains how to
As had Babylon law, Hittite legislation also regulated
make the required potions.
health provision. A notable paragraph in Old Hittite laws re-
In addition to the therapeutic manual, a diagnostic
quired those who had committed an act of violence pay the
manual of five chapters (contained in forty tablets) has also
medical expenses incurred by their victims.
been preserved. This text bears the name of a scholar who
Scholars also have studied details of illnesses suffered by
lived in Babylon around 1050 BCE (Finkel 1988): he not only
historical figures and public health epidemics. The Hittite
systematically catalogued various diagnoses and prognoses,
king Murshilish II composed a dramatic prayer to the storm
arranging them by type of divination, but he also compiled
god and the land gods, asking them to end an epidemic
a handbook on morphoscopy in which the characteristics of
which had lasted twenty years. In the text, he refers his divi-
healthy people were used to predict outcomes (Böck 2000).
nation attempts to discover the reason for the gods’ anger:
This sort of literature is closely linked to the practice of
he had found out that his father, the king, had promised the
divination. For example, the treatise on diagnosis and prog-
gods that he would not attack the Egyptians and then broken
nosis also contains guidelines for the doctor to interpret the
his vow. The epidemic began when the first prisoners of war
signs which manifest while the patient recuperates.
arrived in Anatolia. The admission of guilt (although his fa-
Indirect evidence on healing arts comes from texts that
ther’s and not his own) is a central aspect of this prayer, seen
list penalties for the negligent surgeon within the corpus of
as necessary to placate the gods.
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3826
HEALING AND MEDICINE: HEALING AND MEDICINE IN THE ANCIENT NEAR EAST
NON-CUNEIFORM SCRIPT AREA: EGYPT Scholars derive
ucts were often used in their recipes, along with more
knowledge of ancient Egyptian medicine from a variety of
extravagant substances, such as pelican, hippopotamus, and
sources, including artistic illustrations, treatises and medical
fly excrement. Such preparations could be delivered in vari-
instruments, references in literary sources and, not least, on
ous forms: decoctions, infusions, potions, pills, inhalations,
the examination of bodies preserved by the ancient Egyp-
fumigations, suppositories, lotions, and eyebaths.
tians. These sources portray a relatively accurate picture of
The ancient Egyptians believed that illnesses—
the illnesses from which the Egyptians suffered and the theo-
especially infectious diseases, fevers, or other ailments that
ries and remedies devised to counteract them.
did not appear to be caused by a cut or a wound—were due
The oldest surviving manuscript from this period is the
to a “blow” inflicted by a god, evil spirits, or the restless dead
Kahun Papyrus, dating from the XIIth dynasty (c. 1850
(Ritner 1993). Hence, Egyptian medicine frequently resort-
BCE), which contains a number of gynecological and veteri-
ed to magic. This civilization viewed magic and rational
nary treatments (Griffith 1898).
methods as complementary rather than contradictory, as is
expressed in the opening lines of the Ebers Papyrus: “Magical
One important medical text, dating from the New
formulas which act in concert with medication are useful, as
Kingdom but containing material originating from the Old
likewise is medication that acts in concert with magical for-
Kingdom, is the Edwin Smith Papyrus (Braested 1930 and
mulas.”
Bardinet 1992), which is kept at the New York Academy of
Sciences. The text describes in some detail vertebral contu-
The link between medicine, magic and religion is clear,
sions, dislocations of the jaw, and various fractures (of the
in that the Egyptian term for “magic potion,” pekhet, is also
shoulder blade, humerus, ribs, nose, and skull); in the forty-
used indiscriminately to mean “medical prescription” (Rit-
eight cases examined a rigorous diagnostic method is applied.
ner 1993). Religion, magic, and medicine continually inter-
Each case begins with the phrase “If you examine someone
mingled. Through a kind of ritual magical transference, the
who has. . .” and then lists symptoms in detail. After exam-
Egyptians thought particular animals possessed therapeutic
ining the sick person, the doctor is advised to state his diag-
values linked to their characteristics; the skin of deer, for ex-
nosis and prognosis, or whether the patient will survive “an
ample, could cure gout if tied to a person’s foot; a fried fish
ailment which I will treat.” In less fortunate cases, for exam-
head could draw out a headache and a pig’s eye prevented
ple, a patient suffering from a severe dislocation of a vertebra
blindness. Other substances owed their reputation to my-
with a lesion of the spinal cord, the doctor must recognize
thology, such as the milk of a mother who bore a male child,
that this is beyond his capabilities: “an ailment for which
recalling the goddess Isis and her son Horus. Disgusting sub-
nothing can be done.”
stances, especially excrement, also were believed to ward off
evil spirits, a frequent suspected cause of illnesses.
While the Edwin Smith Papyrus concentrates on exter-
nal traumas, the contemporary Ebers Papyrus describes the
The gods could not only send an illness, but they could
vascular system and the causes and development of internal
also cure it. Medicine, therefore, was controlled from the
ailments (Wreszinski 1913 and Bardinet 1992). This treatise
world of the gods, and various gods were considered healers,
demonstrates a rudimentary understanding of the circulatory
including Amon, “the doctor (swnw) who heals without any
system, considering it as a network of veins originating at the
remedy” (Zandee 1948); Isis; the deified Imenhotep, archi-
heart, extending to the organs, and passing through every
tect of the Step Pyramid at Djoser (IIIrd dynasty); and
part of the body.
Amenhotep, the son of Hapu (Wildung 1977). Patients
often appealed to “Horus-swnw-nfr,” or “Horus the good
This system circulated not only blood, but also air,
doctor,” whose “word” “repels death,” whose “speech cures
water, sperm, and a bodily substance called ukhedu. The con-
the sting of the scorpion” and whose “magic soothes inflam-
cept of ukhedu characterizes one of the oldest historical theo-
mation” (Ritner 1993). The priests of all these benevolent
ries for illnesses; it attempts to explain in rational terms the
divinities were considered to be the best healers, even if the
causes of illnesses, old age, and death. In practice, the doctor
most important priest-doctors were those connected to two
checked that the circulation was working properly by feeling
potentially dangerous goddesses, the lioness Sekhmet and the
various parts of the patient’s body. Excess ukhedu, would
scorpion Serqet (von Känel 1984). A priest of Sekhmet, a
eventually manifest in a patient as pus and blisters, and pro-
goddess who could send plague, is mentioned in the Ebers
duce internal disease. Furthermore, the natural buildup of
papyrus alongside ordinary doctors (swnw) and “amulet sell-
ukhedu during the course of life resulted in aging tissues and
ers” (saw) (von Känel 1984). The latter could be employed
ultimately in death. In addition, embalmers attempted to
by the state; and we know of a “seller of amulets of the king
preserve corpses by dehydrating the body and draining off
of Upper and Lower Egypt.” The “officials of Serqet” were
bodily fluids; these efforts were necessary to eliminate the
particularly sought after to heal scorpion stings and snake
ukhedu.
bites (von Känel 1984). Most of these priest-doctors prac-
For healing preparations, Egyptian doctors used ani-
ticed magic, and they were often enlisted for trips into the
mals, vegetables, and minerals. Acacia, date, juniper, fig, gar-
desert, where these deadly animals represented a constant
lic, onion, lotus, honey, milk, wax, arsenic, and other prod-
danger.
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HEALING AND MEDICINE: HEALING AND MEDICINE IN THE ANCIENT NEAR EAST
3827
Although Egyptian medicine seems to have been con-
Fronzaroli, Pelio. “A Pharmaceutical Text at Ebla
taminated by magic and many of its treatments do not seem
(TM.75.G.1623).” Zeitschrift für Assyriologie 88 (1988): 235
to have been particularly effective, its doctors were good ob-
ff.
servers and at times their healing approaches worked. More-
Haussperger, Martha. “Die mesopotamische Medizin und ihre
over, Egyptian medical knowledge earned an excellent repu-
Ärzte aus heutiger Sicht.” Zeitschrift für Assyriologie 87
tation in Asia Minor and Greece; both Hippocrates and
(1997): 196–218.
Galen attributed much of their knowledge to works they had
Herrero, P. La thérapeutique mésopotamienne, Editions Recherche
consulted in the temple of Imenhotep at Memphis.
sur les civilisations: Mémoire no 48. Paris, 1984.
Michalowski, Piotr. “The Early Mesopotamian Incantation Tra-
SEE ALSO Dumuzi; Egyptian Religion, overview article; Hit-
dition.” In Literature and Literary Language at Ebla. Edited
tite Religion; Kingship, article on Kingship in the Ancient
by P. Fronzaroli. Florence, 1992. See pages 305––321.
Mediterranean World; Mesopotamian Religions, overview
Oppenheim, A. Leo. Ancient Mesopotamia: Portrait of a Dead Civ-
article; Soul, article on Ancient Near Eastern Concepts.
ilization. 2d ed. 1977. Revised by Erica Reiner. Chicago,
1964.
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Estes, J. Worth. The Medical Skills of Ancient Egypt. Canton,
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Böck, Barbara. “Die babylonisch-assyrische Morphoskpie.” Archiv
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Ghalioungui, Paul. The Physicians of Pharaonic Egypt. Mainz, Ger-
Burde, Cornelia. Hethitische medizinische Texte. Wiesbaden, 1974.
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Civil, Miguel. “Préscriptions médicales sumériennes.” Revue
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HEALING AND MEDICINE: HEALING AND MEDICINE IN JUDAISM
Wildung, Dietrich. Imhotep und Amenhotep. Munich, 1977.
Except for prayer, Judaism has no required rite for re-
Wreszinski, Walter. Der Papyrus Ebers, 2 vols. Leipzig, 1913.
storing health, nor do the relics, saints, pilgrimages, or exor-
Zandee, Jan. De Hymnen aan Amon van papyrus Leiden I 350. Lei-
cisms that are features of other religious traditions. The Jeru-
den, 1948.
salem Temple did not offer treatment directly, as did the
P
contemporaneous healing temples of Aesklepios, even
IETRO MANDER (2005)
though sick people surely must have come there to offer peti-
tionary and thanksgiving sacrifice. After the Temple was de-
stroyed in 70 CE, the Talmud declared that there is no heal-
HEALING AND MEDICINE: HEALING AND
ing in shrines, perhaps referring to pagan or Christian sites
MEDICINE IN JUDAISM
but also precluding Jewish sacerdotal healing (Abodah Zarah
Jewish sacred texts, in particular the Hebrew Bible, Apocry-
55a).
pha (noncanonic, postbiblical writings), rabbinic literature
from the late Roman era (the Talmud and midrash), the
HEALTH WISDOM. Jewish religious texts explicitly promote
Mishna¯h Torah (Repetition of the law; a twelfth-century CE
mental and physical health. They take their cue from the
classification of religious subjects), and the Shulhan Arukh
Book of Proverbs, which itself follows the more ancient tradi-
(The prepared table; a sixteenth-century CE codebook of Jew-
tion of “wisdom literature,” a stream of aphorisms, poems,
ish law), all touch upon sickness, recovery, and health. Ex-
and fables that give pragmatic guidance on how to live long
cerpts on health from holy books and their influence on Jew-
and successfully. “A man’s spirit can sustain him through ill-
ish culture can be arranged readily into the following six
ness,” Proverbs says, “but low spirits . . . who can bear
subjects:
them” (Prov. 18:14). The Proverbs-like Apocrypha text Ben
1. divine healing,
Sira (Ecclesiasticus in the Jerusalem Bible) states, “Better a
poor man healthy and fit than a rich man tormented in
2. health wisdom,
body” (Ben Sira 30:14), and it condemns gluttony and
3. visiting the sick,
drunkenness. The Talmud encourages bathing and washing
4. religious law (halakhah),
after meals, bodily cleanliness being inseparable from spiritu-
5. folk healing,
al purity (Abodah Zarah 20a). The Mishneh Torah and the
Shulhan Arukh have entire chapters on dietetics, exercise,
6. professional medicine.
rest, and sexual temperance, through which they elevate
DIVINE HEALING. In the Bible (c. sixth century BCE), God
practical hygienic advice into religious obligation.
is the force responsible for both sickening and healing: “I
deal death and give life; I wounded and I heal” (Dt. 32:39).
In the opinion of some scholars, dietary laws (kasrut)
Accordingly, God inflicts plagues, heals Hezekiah’s intestinal
from Leviticus, assiduously followed by traditional Jews, were
ailment, and tests Job with boils and other misfortunes. The
originally intended to promote healthiness. Moreover, they
psalmist appeals directly for “rescue” and “deliverance” to
argue, dietary laws together with rules of Sabbath obser-
God, who is “compassionate and gracious”; other biblical fig-
vance, pregnancy, menstruation, penile discharge, child-
ures seek out God’s prophets, as the woman of Shunem
birth, excretion, cadavers, sexuality, and tsara Dat constitute
called on Elisha to revive her dead son (2 Kgs. 4:8). A certain
a program of public health. The Bible itself makes no such
skin disfigurement (tsara Dat) is always a mark of divine disfa-
claim. Nevertheless, for millennia observant Jews have
vor (Lv. 13). Thus when Moses’ sister Miriam contracts
thought them to be rules of hygiene. Indeed, it has been said
tsara Dat, he cries out, “O God, pray heal her! [Eil na rDfah na
that because of hygienic practices, medieval Jewish popula-
lah!]” (Nm. 12:13).
tions avoided the worst ravages of bubonic plagues.
Jewish healing prayers follow a biblical model. Jeremiah
VISITING THE SICK. Job’s friends sat quietly with him for a
is the source of the ancient prayer recited still in daily Jewish
week, until he was ready to speak. Ben Sira (second century
liturgy: “Heal us, O Lord, and we shall be healed” (Jer.
BCE) urges, “Do not shrink from visiting the sick” (Ben Sira
17:14). Psalms are recited daily for someone who is critically
7:35). The Talmud (second–sixth centuries CE) made this
ill; the Mi SheBerakh (May the one who blessed) prayer is
ancient courtesy into a solemn commandment, grounded on
sung for “healing, courage, and faith” in front of the opened
the biblical story of the three messengers from God who
Torah; late-medieval Yiddish prayers (tekhines) written by
came to visit Abraham after he was circumcised. Visiting the
Jewish mothers ask God for safe pregnancies and well chil-
sick, the sages state with emphasis, is among the highest reli-
dren; and modern prayers—prayer writing continues to be
gious obligations, and visiting does indeed heal, especially “if
a vital religious activity—request strength and calm, “healing
they (the visitors) loved him like themselves” (Midrash Rab-
of body and mind.” A prayer’s soothing effect comes not just
bah Leviticus 34:1). The Talmud declares, “He who visits the
from the words alone; just as important are davening (a Yid-
sick causes him to live,” and he who does not is “a shedder
dish term meaning fervent recitation, often while standing
of blood” (a murderer). Because the Divine Presence “rests
and swaying), cadence, melody, chant, and the consoling
above the invalid’s bed,” as he or she wavers between death
context of the daily or Sabbath service liturgy, held in com-
and life, the sickroom is to be regarded as awesome and sa-
munion with clergy, family, and friends.
cred. However, the visitor must not come when the sick per-
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HEALING AND MEDICINE: HEALING AND MEDICINE IN JUDAISM
3829
son is indisposed, lest they be exhausted or humiliated (Ne-
mons, the evil eye, and other causes of illness with charms,
darim 39a). Everyone, rich or poor, must visit the sick,
amulets, potions, and incantations. To cite one Talmudic
especially if the illness has come on suddenly, and they
remedy, “For migraine one should take a woodcock and cut
should “pray for his recovery and depart” (Mishneh Torah
its throat with a white zuz over the side of his head on which
14:4:14). The Shulhan Arukh adds, “one must visit the sick
he has pain” (Gittin 69a). This, the rabbis knew, was magi-
of the Gentiles in the interest of peace” (Yorah Deah 335).
cal, but they declared as principle that “nothing done for the
Few other commandments (mitsvot) shape Jewish cul-
purpose of healing is forbidden on grounds of superstition.”
ture as profoundly. Visiting is an imperative for family and
By the Middle Ages, however, rabbis came to believe that
friends and among the most important duties for a congrega-
Talmudic medicine was archaic and counseled their follow-
tional rabbi. Autonomous visiting the sick (Bikkur Cholim)
ers not to use it. Nevertheless, it is still published.
societies, synagogue volunteers, and hospital chaplains en-
According to stories in the Talmud (aggadah), certain
sure that every sick person has company. Traditional rabbis
rabbis were healers. “Give me your hand,” said Rabbi Johan-
shape their calls mindful of detailed visiting rules set forth
na to Rabbi Hiyya, who was ill. “He gave him his and he
in the Shulhan Arukh.
raised him” (Berakoth 5b). In every generation, even in the
RELIGIOUS LAW (HALAKHAH). Mainstream Jewish spiritual
early twenty-first century, some teachers (rebbes) have been
practice follows laws found in the Bible and the Talmud to-
folk healers and experts in Jewish medicinal lore.
gether with later refinements and corrections. What sets the
precept to visit the sick apart is its therapeutic intent. Most
Jewish folklore derives its particularity from the letters,
rules concerning patients are excusatory; that is, they relieve
symbols, pictures, prayers, stories, incantations, and passages
the sick person of possibly harmful obligations, such as fast-
that come from holy sources. They derive healing power
ing on the Day of Atonement. Preserving or saving some-
from Hebrew, the language of the Bible and so of God. He-
one’s life overrides any other duty. However, when life is not
brew letters and verses are placed in amulets to be worn
threatened, a broken bone, for instance, medical care might
around the neck, carried in one’s pocket, and placed at sick
be put off. Centuries of rabbinical commentary (responsa)
beds. On their home’s front entry and doorways within,
have dealt with other difficulties, like observing command-
many Jews place a prayer case (mezuzah), which contains a
ments during a plague, so there has been an substantial accu-
parchment scroll with protective biblical sayings. Changing
mulation of legal precedents (medical halakhah).
the name of a sick person to Chaim (“life”), Rafael (“may
Moral dilemmas in contemporary medical care, notably
God cure”), or the like and thereby changing his or her iden-
surrounding abortion, euthanasia, genetic engineering, and
tity deflects the divine decree of death. Herbs from Sabbath
prolongation of life, are stimulating interest in pertinent Jew-
services or unleavened bread from a Passover Seder can be
ish law. In 1959 Rabbi Immanuel Jacobovitz defined the
medicinal. Some folk recipes, such as chicken soup, a com-
subject and scope of modern Jewish medical ethics, and sub-
mon restorative since medieval times, may have had a more
sequently prominent rabbis and physicians have added casu-
rational basis. These are but a few examples of Jewish healing
istic (moral) analysis in numerous articles and books on the
practices that are still prevalent, especially in traditional com-
subject. The premises of Jewish medical ethics are that life
munities, though marginalized like other forms of “alterna-
is sacred and that all actions must be in accordance with mo-
tive medicine.”
rality in the Talmudic tradition. Ethicists distinguish the
PROFESSIONAL MEDICINE. The attitudes of Jewish religious
Jewish emphasis on the individual’s moral obligations, espe-
texts toward physicians changed from initial disdain to re-
cially to choose life, from the secular emphasis on the indi-
spect, even reverence. The Bible is scornful; it remarks sarcas-
vidual’s autonomy, even to choose death. However, medical-
tically that before King Asa died, he “did not turn to the
ethical dilemmas are as contentious for Jewish ethicists as for
Lord but to physicians” (2 Chr. 16:11). However, the post-
their non-Jewish counterparts.
biblical text Ben Sira, written two centuries after Hippocrates
FOLK HEALING. Throughout history, Judaism has had a rich
(fourth century BCE), praises physicians. “From God the doc-
tradition of healing folklore. Isaiah treated King Hezekiah
tor has his wisdom,” Ben Sira says, and “God makes the earth
for intestinal illness with an application of figs (Is. 38:21).
yield healing herbs” (Ben Sira 38). Following Ben Sira, the
According to ancient legend, King Solomon acquired knowl-
Talmud acknowledges that the physician has been “given
edge of healing from God, then wrote a healing text, which
permission to heal” (Mishnah Kaddushin 82a). It allows phy-
was later followed by a school of Jewish folk practitioners (Jo-
sicians to set fees and urges people to settle in a town where
sephus, Antiquities of the Jews, bk. 8, chap. 2). In addition,
a physician resides and to consult doctors when they are in
Solomon was said to be a sorcerer-astrologist who could ban-
pain. Furthermore, it discusses the issue of whether a patient
ish illness demons (The Testament of Solomon). Folk belief
should follow a doctor’s advice when the patient disagrees.
also has it that the angel Rafael stands guard at night over
With finality, the Shulhan Arukh declares that physicians
the sickbed.
have, “under the rule of saving an endangered life,” not just
The Talmud devotes pages to materia medica that came
permission to heal but, more importantly, an obligation, a
from ancient Babylonia concerning the warding off of de-
religious duty to do so (Yorah Deah 335).
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HEALING AND MEDICINE: HEALING AND MEDICINE IN JUDAISM
Since the early Middle Ages, Jews have held Western
ation; it must be preserved to fulfill God’s will on earth. Life
medicine and physicians in high esteem. Historically, West-
is sacred; death is evil, although there will be, in some form,
ern medicine stems from the writings of Hippocrates and
afterlife in messianic times. Jewish teaching sanctifies deeds
Galen, and it is based not on divine intervention or supersti-
and behaviors more than a transcendent spirit and so
tion but on a rational, book-learned science of observation,
does not privilege soul over body; accordingly, Judaism
experiment, and theory. In the sixth century the otherwise
disapproves of self-inducing illness by mortification and
unknown Asaph wrote the earliest Jewish medical text,
asceticism.
which intermingles Hippocratic ethics with faith in God. In
the tenth century the Moroccan physician Isaac Israeli au-
Judaism has no overarching healing concept; indeed the
thored treatises based on Galenic and Arabic medicine that
etiologic premises of the miracle, scientific medicine, and
became standard teaching texts throughout Islamic and
folklore are irreconcilable. Maimonides offers the only sys-
Christian lands. In the twelfth century the author of the Mis-
tematic formulation of the relationship of health to Jewish
hneh Torah, Moses Maimonides, who practiced medicine at
spirituality. His health concepts stem from the translated
the court of S:ala¯h: al-D¯ın, achieved such notoriety as a clini-
writings of the ancient Greek writers Aristotle, Hippocrates,
cian and writer that even for Islamic historians he typifies the
and Galen, which he refined; his spiritual beliefs stem of
remarkable accomplishments of an innovative era of Islamic
course from the Hebrew Bible and the Talmud; therefore,
medicine. Like him, learned Jews, even rabbis, became physi-
with respect to medicine and healing, he tried to harmonize
cians not only to their own people but also to caliphs, sul-
the literary heritages of Greece and Israel. A person’s spiritual
tans, popes, and Christian rulers. Following this professional
need, Maimonides wrote, is to acquire knowledge of God,
tradition, many Jews, then and now, have regarded scientific
and all actions in life should be directed toward that goal.
medicine as a spiritual calling, second only to the work of
Consequently, “the purpose of [the] body’s health is that the
a rabbi.
soul might find its instruments healthy and sound that it can
be directed toward the sciences and toward acquiring the
Since the Enlightenment, Jews have entered the health
moral and rational virtues. . . . On the basis of this reason-
professions in greatly disproportionate numbers and have
ing, the art of medicine is given a very large role with respect
made many important contributions to medical thought and
to the virtues. . . . To study it diligently is among the great-
science. Hospitals in the United States created in the nine-
est acts of worship” (Commentary on the Mishnah, chap. 5).
teenth and twentieth centuries for Jewish doctors and obser-
In other words, good health is necessary, even sacred, in Jew-
vant patients are now renowned medical centers. In its short
ish life but never as an end in itself; rather, it is subordinate
existence, Israel has created a universal medical system in
to the end of leading a life consecrated to God. Good health
which care, teaching, and research are as advanced as any in
makes possible a good life, which for the religious Jew con-
the world.
sists of worship, study, and mitsvot.
The earliest Jewish physicians were inclined to write
Conversely, Jewish sources suggest that a good life may
about professional excellence—to consider, that is, the ques-
promote good health or at least emotional well-being. Prov-
tion of what makes a doctor consummate—and thereby, like
erbs advises: “Fear the Lord and shun evil. It will be a cure
Asaph, to blend faith and profession. At a time of no medical
for your body” (Prv. 3:7). And if someone feels pain, the Tal-
licensure, no formal medical education, and no standardized
mud says, “let him engage in the study of Torah” (Erubin
professional standards, Isaac Israeli authored a book of moral
54a). Maimonides told an Arab prince that “passions of the
and professional maxims, which includes the directive “Be
psyche produce changes in the body.” To gain “strength of
especially concerned with visiting and treating the poor and
mind,” study philosophy and follow the “admonitions and
needy sick for you cannot assume a more rewarding work.”
disciplines of the Law” (Regimen of Health). According to
In a medical treatise, Maimonides emphasized that one
Rebbe Nachman of Breslov (1722–1810), “joy and dance,”
should consult only the best physicians, meaning those who
elements of Hasidic religiosity, relieve distress. The person
have thoroughly learned medical science and have extensive
utterly imbued with faith, in the words of a modern Ortho-
practical experience. Later Jewish physicians composed per-
dox theologian, “knows no fear or dread in the full sense of
sonal oaths, among them the famous Prayer of Maimonides,
the term . . . [and] vanquishes even the fear of death”
which though attributed to Maimonides, was written by a
(Soloveitchik, 1983).
prominent eighteenth-century German physician. “Al-
SICKNESS AND SPIRITUALITY: CONTEMPORARY DEVELOP-
mighty God,” it begins, “. . . inspire me with love for my
MENTS. How do Jewish healing traditions have relevance in
art and for thy creatures. Do not allow thirst for profit,
the early twenty-first century for the person who is ill? Many
ambition for renown and admiration, to interfere with my
people still find comfort and inspiration in biblical writings,
profession.”
especially in Psalms. The Bible voices, acknowledges, and
RELIGION AND HEALTH. The basis of Jewish concern for
shares the sufferer’s inner storm of anger, dread, pain, shame,
healing is the belief that healthiness is a spiritual virtue. Jew-
bewilderment, and tears, and it holds out hope, order, and
ish attitudes toward the body derive from the belief that the
coherence. Family, fellowship, prayer, and communal sup-
human body-soul, whether a unity or a dyad, is God’s cre-
port from congregations and social service agencies mitigate
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEALING AND MEDICINE: HEALING AND MEDICINE IN ISLAMIC TEXTS AND TRADITIONS
3831
the lonesomeness, bitterness, and devitalization that often ac-
QurDa¯n] is a guidance, and a healing.’” Similarly, according
company chronic disease. Clergy who are trained in hospitals
to verse 10:57, “O men, now there has come to us an admo-
as pastoral counselors offer solace, perspective, and attentive
nition [QurDanic revelation] from your Lord, and a healing
listening. Jewish medical ethics is a vital field of literature and
for what is in the breast, and a guidance, and a mercy to the
education and the subject of an ongoing dialogue between
believers.” Verse 26:80 quotes the words of Abraham and
physicians and rabbis. Finally, many Jewish practitioners in
makes it clear that God is the ultimate curer of illness: “Lord
the healing professions have internalized their spiritual heri-
of all Being who created me, and Himself guides me, and
tage, write about it, and exhibit it in their daily work.
Himself gives me to eat and drink, and, whenever I am sick
heals me, who makes me to die, then gives me life, and who
SEE ALSO Judaism, overview article.
I am eager shall forgive me my offence on the day of doom.”
The QurDa¯n (2:219; 2:168; 2:180; 5:90) recommends a
BIBLIOGRAPHY
wholesome lifestyle, forbids intoxicants, and mercifully ab-
A voluminous literature deals with various elements of the subject
solves the ill from fasting during Ramad:a¯n. Honey is one of
of Judaism and healing, yet there exists no single, compre-
many proofs of God’s majesty and is the only remedy for ill
hensive source. One might start with the three texts listed
health in the QurDa¯n: “Then comes there forth out of (Bees’)
below and then follow one’s interests to other books listed
bellies a drink of diverse hues wherein is healing for men.
in their bibliographies. Those in turn provide extensive refer-
Surely in that is a sign for a people who reflect” (16:72).
ences to periodical literature.
Berger, Natalia, ed. Jews and Medicine: Religion, Culture, Science.
The h:ad¯ıth, or sayings and doings of the Prophet col-
Philadelphia, 1995. Historical essays.
lected and compiled after Muh:ammad’s death, offer exten-
sive commentary on disease and medicine. In a much-quoted
Dorff, Elliot N. Matters of Life and Death: A Jewish Approach to
Modern Medical Ethics. Philadelphia, 1998. Religious law.
h:ad¯ıth Muh:ammad stated, “‘God has not sent down a dis-
ease without sending down a remedy for it.’ Bukhari trans-
Freeman, David L., and Judith Z. Abrams, eds. Illness and Health
mitted it. Jabir reported God’s messenger as saying, ‘There
in the Jewish Tradition: Writings from the Bible to Today. Phil-
adelphia, 1999. Spiritual anthology.
is a medicine for every disease and when the medicine is ap-
plied to the disease it is cured by God’s permission.’ Muslim
Soloveitchik, Joseph B. Halakhic Man. Philadelphia, 1983.
transmitted it.” (Mishka¯t al-mas:a¯b¯ıh:, Vol. III, p. 945). Other
DAVID L. FREEMAN (2005)
well-known h:ad¯ıth urge believers to seek treatment: “Usama
b. Sharik told that when God’s messenger was asked whether
they should make use of medical treatment he replied, ‘Yes,
servants of God, make use of medical treatment, for God has
HEALING AND MEDICINE: HEALING AND
not made a disease without appointing a remedy for it, with
MEDICINE IN ISLAMIC TEXTS AND
the exception of one disease, viz., old age.’ Ahmad, Tirhidhi,
TRADITIONS
and Abu Dawud transmitted it.” (Mishka¯t al-mas:a¯b¯ıh:, Vol.
In Islamic theology, God created nature, which functions in
III, p. 947.) According to Tirmidhi, “when God’s messenger
harmony and unity according to natural law. God also creat-
was asked whether [believers] should make use of medical
ed human beings, who must submit to both God’s law and
treatment, he replied: ‘Yes servants of God, make use of med-
natural law in order to function in harmony and unity in the
ical treatment for God has not made a disease without ap-
universe. Therefore human beings are above animals because
pointing a remedy for it, with the exception of one disease,
they alone can worship God and can redeem themselves
namely old age’” (Mishka¯t al-mas:a¯b¯ıh:, Vol. III, p. 947).
through piety and good works. When harmony is disturbed
by immoral or unhealthy behavior, a virus or microbe, an ac-
Often, h:ad¯ıth medical advice centers on the importance
cident, or a personal or societal catastrophe, physical or men-
of cleanliness in food, drink, and personal hygiene. In some
tal disease may result. When a person’s physical and mental
h:ad¯ıth disease is a test, trial, or punishment to be dealt with
functioning is impaired, he or she is considered sick and
patiently, and those who die from certain diseases or in child-
should seek treatment. In the Islamic worldview, good health
birth may achieve martyrdom and heavenly reward. The
is a sign of both a wholesome lifestyle and divine favor, and
QurDa¯n explicitly rejects magic, but many h:ad¯ıth recom-
the healer or medical practitioner plays an important and
mend amulets or other talismans and charms to ward off dis-
highly valued role in the social order by restoring the physical
ease. Belief in the evil eye as a cause of disease and other in-
or mental well-being of the patient. The physician must de-
flictions is common throughout and beyond the Muslim
termine the malady and prescribe the remedy, which should
world.
be directed at the source, whether a microbe, injury, malnu-
Both Sunn¯ı and Sh¯ıE¯ı texts stress the value of prayer in
trition, personal problem, societal disorder, or divine ill
healing. In both traditions, S:u¯f¯ı or mystical texts recom-
favor.
mend healing through prayer and other devotional rituals.
The QurDa¯n contains many verses that pertain to health
There are, however, substantial differences between Sunn¯ı
and healing and is considered the ultimate guide to good
and Sh¯ıE¯ı h:ad¯ıth. Sh¯ıE¯ı Islam values suffering and martyr-
health. Verse 41:44 states, “Say: ‘To the believers it [the
dom far more than Sunn¯ı Islam, so the Akhba¯r¯ı (Sh¯ıE¯ı
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3832
HEALING AND MEDICINE: HEALING AND MEDICINE IN ISLAMIC TEXTS AND TRADITIONS
h:ad¯ıth) literature recommends that the patient suffer
(school) that formed part of the complex still stand though
through the ailment and seek medical attention only in
the hospital building was replaced in 1920. It was used as
emergencies.
an ophthalmic clinic until the 1992 earthquake damaged it.
GRECO-ISLAMIC MEDICINE. When Muslims brought Islam
The complex is currently undergoing extensive restoration.
to the Byzantine and Sassadid (Iranian) regions, they sought
Only a few of the renowned physicians can be men-
knowledge from the peoples they encountered. The first
tioned here in order to demonstrate their contributions to
translators were mostly Christians who translated works
the received medical tradition. Abu¯ Muh:ammad al-Ra¯z¯ı
from Greek into Syriac and then into Arabic. Persian and In-
(Rhazes; d. 930 CE) was born in Rayy near Tehran but
dian medical texts were also translated into Arabic. The for-
worked mostly in Baghdad. He was the first to describe the
mal tradition of Islamic medicine was based on Galen’s
clinical symptoms of smallpox as distinguished from measles.
(129–c. 199 CE) descriptions of elements and humors. The
He also wrote cheerful essays, such as “Why Ignorant Physi-
basic elements were earth, fire, air, and water. Each element
cians, Common Folk, and Women in the Cities Are More
had a temperament: earth was dry and cold, fire was dry and
Successful Than Scientists in Treating Certain Diseases—
hot, air was humid and hot, and water was humid and cold.
and the Physician’s Excuse for This.”
The temperaments corresponded to the humors of the body:
blood, phlegm, yellow bile, and black bile. When the humors
EAli ibn al-DAbbas al-Majusi, or Haly Abbas (d. 994 CE),
were in balance, the body was healthy. When the humors
the director of the Adud-dawlah Hospital in Baghdad, com-
were out of balance, the result was disease, which the physi-
piled the Kita¯b Kamil al-Sina al-Tibbiyya (The complete
cian or patient could treat through appropriate food or
book of the medical art), also known as al-Kita¯b al-Maliki D
drink, drugs, or temperature adjustment. Islamic physicians
(The royal book). This famous text has one volume on theo-
generally distinguished between the body and the spirit or
retical medicine and another on practical medicine and is a
soul (ru¯h:), and they believed God worked through the ru¯h:
concise and well-organized summary of Greco-Islamic medi-
to cure the patient. The physician was to take care to address
cal knowledge.
the state of the patient’s ru¯h: in determining a treatment.
Abu¯ EAl¯ı Ibn S¯ına¯ or Avicenna (980–1037) identified
While some of the physicians denounced it, astrological
diseases such as meningitis and discovered new remedies, but
medicine was much practiced. Many medical texts had sec-
his greatest contribution was his system of medicine, in
tions on astrological influences on disease causation, and
which medical practice was combined with physical and psy-
most astrological manuals had sections giving medical
chological factors, drugs, and diets—or “holistic” medicine.
advice.
His Canon of Medicine was translated into Latin and was
By the ninth century, Muslim physicians were synthe-
used more than Hippocrates and Galen in Europe.
sizing and adding to the Greek, Persian, and Indian medical
Abu¯ EAli al-Hasan ibn al-Haytham (Alhazen; d. 1040)
traditions, and healthcare was becoming a major institution.
worked mostly in Cairo. He is known for his seven-volume
Caliph Ha¯ru¯n al-Rash¯ıd (d. 809 CE) built the first bimaristan
treatise on optics, Kita¯b al-Manazir, which built on Ptole-
(hospital) in Baghdad along the lines of the famous medical
my’s theories but demonstrated through experimental evi-
institution at Jundishapur. It was soon followed by other
dence that in vision light is reflected from an object into the
hospitals with physiologists, oculists, surgeons, and boneset-
eye, thus reversing the received theory.
ters on their staffs. In Cairo the Mamlu¯k ruler Mansur Qala-
wun (d. 1290) built the Mansuri Hospital in 1284–1285.
Ibn Nafis (d. 1288) studied medicine in Damascus and
The hospital complex had a substantial religious endowment
became director of the Mansuri Hospital in Cairo. His
(waqf) and served thousands of patients. According to the
Mujiz, a widely used commentary on Ibn S¯ına¯’s Canon, con-
founding waqf document:
tains his famous theory of the pulmonary or lesser circulation
of the blood, which was subsequently proved correct.
The [hospital] is for kings or subjects, old or young, free
or slave, male or female. Upon recovery patients shall
CUSTOMARY MEDICINE. Customary, or empirical, medicine
receive clothing while the deceased shall receive burial
was probably the most widely used type of medical interven-
shrouds and all funeral expenses will be paid. Funds are
tion in everyday life. EAbd al-Rah:ma¯n ibn Khaldu¯n (1332–
allocated for herbalists, surgeons, bonesetters, ophthal-
1406), the famous historian and sociologist, carefully distin-
mologists, and general practitioners, and for all pa-
guished between empirical medicine, Greco-Islamic or hu-
tients, whether male or female, and their caregivers.
moral medicine, and religious doctrine:
Funds are available for beds, bedding, patient hygiene,
and general sanitation. . . . Funds are also available for
Civilized Bedouins have a kind of medicine that is
outpatients for food and medicine. (Isa, pp. 86–88)
mainly based upon individual experience. They inherit
its use from the shaykhs and old women of the tribe.
The Mansuri Hospital had rooms for specialized cases in-
Some of it may occasionally be correct. However, it is
cluding fevers, eye diseases, and wounds, and a separate wing
not based upon any natural norm or upon any confor-
for women. It contained a kitchen, a dispensary, a laboratory
mity [of the treatment] to the temper of the humors.
for medicine, a library, and an auditorium where the chief
Much of this sort of medicine existed among the Arabs.
physician lectured his students. The mosque and madrasah
The medicine mentioned in religious tradition is of the
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HEALING AND MEDICINE: HEALING AND MEDICINE IN ISLAMIC TEXTS AND TRADITIONS
3833
Bedouin type. It is in no way part of the divine revela-
century. During that century cholera spread from India,
tion. [Such medical matters] were merely part of Arab
where it was endemic, via long-distance transportation to
custom and happened to be mentioned in connection
port cities and elsewhere in the Muslim world. In 1831
with the circumstances of the Prophet, like other things
Mustafa Behcet (d. 1833), head of the medical college in Is-
that were customary in his generation. They were not
tanbul, published a treatise on cholera based on an Austrian
mentioned in order to imply that that particular way of
source that Ottoman authorities distributed free throughout
practicing medicine is stipulated by the religious law.
the empire. Ottoman authorities established a quarantine
Muh:ammad was sent to teach us the religious law. He
was not sent to teach us medicine or any other ordinary
service in about 1832 and had religious leaders publish trea-
matter. None of the statements concerning medicine
tises showing that quarantines were not contrary to Islamic
that occur in sound traditions should be considered as
law.
[having the force] of law. The only thing is that if that
Today Western medicine is well established throughout
type of medicine is used for the sake of a divine blessing
the Muslim world. In several South Asian nations it is possi-
and in true religious faith, it may be very useful. How-
ever, that would have nothing to do with humoral med-
ble to study and be certified in Greco-Islamic medicine. In-
icine but be the result of true faith. (Ibn Khaldu¯n,
stitutes in Cairo and elsewhere study remedies recommended
p. 387)
in the h:ad¯ıth, such as “black seed,” to determine their effica-
ciousness in treating various diseases. Inexpensive compendi-
For Ibn Khaldu¯n, the humoral medicine of the Greco-
ums of prophetic medicine can be purchased in bookshops
Islamic tradition was scientific and therefore valid; faith, if
throughout the region and may be consulted for informal or
sincere, might be helpful; and empirical medicine might be
alternate treatments. Those with serious illnesses and ade-
useful in a haphazard way.
quate resources, however, generally prefer to consult reputa-
PROPHETIC MEDICINE. Prophetic medicine (tibb al-nabawi)
ble specialists trained in the Western medical tradition.
developed alongside the formal medical tradition. The au-
thors of prophetic medicine were generally not practicing
BIBLIOGRAPHY
physicians or scientists but rather Eulama¯D (specialists of Is-
Arberry, Arthur J. The Koran Interpreted. New York, 1955. An au-
lamic theological and legal sciences) who worked out “reli-
thoritative translation of the QurDa¯n.
giously correct” compendiums of medical lore that blended
Avicenna. A Treatise on the Canon of Medicine of Avicenna, Incor-
empirical medicine, religious formulas, and sometimes
porating a Translation of the First Book, by O. Cameron
Greco-Islamic ideas. Prophetic medical texts typically list
Gruner. London, 1930.
both physical and spiritual diseases (fevers, leprosy, plague,
Avicenna. Canon of Medicine. Chicago, 1999. An English transla-
poisonous insect and snake bites, melancholy) and offer rem-
tion of the classic text.
edies drawn from the QurDa¯n and h:ad¯ıth. Muh:ammad b.
Ah:mad al-Dhahab¯ı (d. 1348) cites several major Greek and
Elgood, Cyril. A Medical History of Persia and the Eastern Caliph-
Islamic medical authorities, empirical medicine, and the
ate from the Earliest Times to the Year AD 1932. Cambridge,
U.K., 1951.
QurDa¯n and h:ad¯ıth as his sources. Jala¯l al-D¯ın al-Suyu¯t:¯ı
(d. 1505), however, based his prophetic medical book on
Gallagher, Nancy. Medicine and Power in Tunisia, 1780–1900.
what was known of the medicine of the Arabian Peninsula,
New York, 1983. A study of the transition from traditional
the QurDa¯n, and the h:ad¯ıth but not the Greco-Islamic tradi-
Islamic to Western medicine.
tion. Suyu¯t:¯ı recommended prayers and invocations, amulets
Ibn Khaldu¯n. The Muqaddimah: An Introduction to History.
and talismans, but did not mention surgery. Much of his
Translated by Franz Rosenthal, edited and abridged by
medical advice was preventive and recommended moderate
N. J. Dawood. Princeton, N.J., 1969.
habits and the avoidance of intoxicants. Perhaps the most fa-
Ibn Qayyim Al-Jawziyya. Medicine of the Prophet. Translated by
mous of the prophetic medical compendiums, Medicine of
Penelope Johnstone. Cambridge, U.K., 1998. An informa-
the Prophet (1998) by Abu¯ Bakr ibn Qayyim al-Jawz¯ıya
tive and readable example of the prophetic medical tradition.
(1292–1350), has been published in English translation. Its
Isa, Ahmad. Ta Erikh al-bimaristanat fi al- EIslam. Damascus, 1939.
medical advice relies more on piety than on Greco-Islamic
Mishka¯t al-Mas:a¯b¯ıh:, translated by James Robson. Vol. III, La-
medical theory and contains much information on medical
hore, 1964.
beliefs and practices of ordinary people in the fourteenth
century.
Morsy, Soheir. Gender, Sickness, and Healing in Rural Egypt. Boul-
der, Colo., 1993. An anthropological analysis of medical
MODERN MEDICINE. Muslim physicians did not hesitate to
practices in contemporary rural Egypt.
borrow from European physicians, particularly for unfamil-
Rahman, Fazlur. Health and Medicine in the Islamic Tradition.
iar diseases. Da¯wu¯d ibn Umar al-Antaki (d. 1599) includes
New York, 1987. An analysis of traditional and modern
the standard mercury treatment for syphilis used in Europe
medical practices and ethics by a noted Muslim philosopher.
at the time. Syphilis was unknown in North African and the
Middle East until the late fifteenth century or early sixteenth
Ullmann, Manfred. Islamic Medicine. Edinburgh, 1978. A reliable
survey.
century. Ottoman physicians began translating selected med-
ical works from European languages in the early nineteenth
NANCY GALLAGHER (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
3834
HEALING AND MEDICINE: POPULAR HEALING PRACTICES IN MIDDLE EASTERN CULTURES
HEALING AND MEDICINE: POPULAR
sents an extremely influential healing tradition throughout
HEALING PRACTICES IN MIDDLE EASTERN
the region.
CULTURES
Historically prophetic medicine constituted a quasi-
Despite widespread Western misconceptions about techno-
medical “religious medicine” based exclusively (at least puta-
logical “backwardness” in the Middle Eastern world, the
tively) on passages in the Islamic Scriptures (Dols, 1984).
Middle East is home to thoroughly modern, high-tech,
After the Prophet’s death, Muslim believers, such as
Western-based biomedicine, often delivered in gleaming pri-
Al-Suyu¯t:¯ı in his Tibb-ul-Nabbi (Medicine of the Prophet),
vate hospitals and medical centers throughout the region.
collected everything the Prophet was reported to have said
Technologies such as coronary bypass surgery, organ trans-
about hygiene, alcohol consumption, circumcision, menstru-
plantation services, and the latest forms of in vitro fertiliza-
ation, breast-feeding, sanitation, and various diseases and
tion are widely available in urban centers. Thus middle- to
then institutionalized these sayings into a form of medical
upper-class Middle Eastern patients can avail themselves of
practice (Gran, 1979).
medical diagnosis and treatment services in cities such as Jid-
dah, Saudi Arabia; Cairo, Egypt; Tehran, Iran; or Beirut,
According to medical historians, however, prophetic
Lebanon, with expectations that the services rendered will be
medicine was actually a syncretic blend of biblical Jewish
on a par with those offered in the best medical centers in the
medicine as contained in the Book of Leviticus; Persian medi-
West.
cine as taught in the famous medical school of Gondeshapur,
which was attended by several of the Prophet’s relatives; no-
Bearing this medical modernity in mind, it is also im-
madic Bedouin medicine as practiced in Arabia (particularly
portant to acknowledge that popular healing traditions still
in Medina and Mecca) during the Prophet’s lifetime; and
exist in the Middle East, providing a less expensive alterna-
Hippocratic-Galenic yuna¯ni medicine from Greece. Further-
tive to biomedicine among rural populations and the urban
more, as Manfred Ullman (1978) has argued, many of the
underclass, as well as a spiritual connection to Islam and to
h:ad¯ıth (sayings and traditions of the prophet Muh:ammad),
earlier literate medical traditions in the region. The Middle
upon which prophetic medicine was supposedly based, were
East is home to a rich medical history and is one of the few
actually inauthentic, prescribing pre-Islamic folk practices
regions of the world in which written materials concerning
that were later reinterpreted using concepts from yuna¯ni
health-related ideologies, practices, and professional stan-
medicine.
dards date back literally five thousand years. Many of these
records provide an exquisitely detailed account of the medi-
Nonetheless, prophetic medicine acquired great signifi-
cal systems and accompanying ideologies that gained hege-
cance during later Islamic history and, in some cases, came
mony in this region through the millennia, as well as the cul-
to counter and supersede the then powerful yuna¯ni medical
tural and socioeconomic milieus in which they existed
system, which was suspected as being a science of heathen
(Gran, 1979; Inhorn Millar and Lane, 1988). Furthermore,
origin. Prophetic medicine was also popular with the people,
these records from the past show that popular healing prac-
for it incorporated traditional concepts and practices from
tices found throughout Middle Eastern countries are deeply
Arab folk medicine, such as the writing of religious sayings
embedded in three ancient healing traditions—pharaonic
in curative amulets, belief in the evil eye, and the practice of
(Egyptian), yuna¯ni (Hellenic), and prophetic (Islamic)—all
cupping (application of heated cups on the skin), all of which
of which gained ascendancy before the rise of Western
continue to be widely practiced in many parts of the Middle
biomedicine in the region during the nineteenth-century co-
East in the early twenty-first century.
lonial period (Adib, 2004; Inhorn, 1994a). Indeed, biomedi-
By the sixteenth-century, cults of popular Islamic mys-
cine can be thought of as a historical newcomer to this region
tics, known as S:u¯f¯ıs or marabouts, began to proliferate in the
of the world. It is not surprising, therefore, that previous tra-
countries of North Africa. As Peter Gran (1979) points out,
ditions live on—not as organized medical systems per se, but
the S:u¯f¯ı cults and their shrines flourished in countries such
rather as numerous syncretic healing philosophies character-
as Egypt because they catered to the spiritual, psychological,
ized by a multifaceted array of etiological, diagnostic, and
and political needs of the lower classes as well as to their med-
therapeutic beliefs and practices regarding the nature of
ical complaints. Cults also offered medical specialization; for
health and illness and the treatment of various forms of
example, some dealt specifically with the ailments of women,
sickness.
whereas others specialized in psychiatric problems, which
were usually attributed to spirit possession.
HISTORY OF PROPHETIC (ISLAMIC) MEDICINE. It is these
popular healing traditions and their connection to Islam that
SAINT VENERATION AND HEALING PILGRIMAGES. Prophetic
represent the substance of this brief essay. Although pharaon-
and S:u¯f¯ı healing traditions continue to flourish in many
ic medicine and later yuna¯ni medicine were extremely impor-
parts of the Middle East, particularly in the countries of
tant literate medical traditions in this region of the world,
North Africa. Thousands of Muslim pilgrims make ziya¯ra¯t,
this essay begins with a brief history of prophetic (Islamic)
or visits, to saints’ shrines, some large, some small, dotting
medicine, which arose during the period following the
the urban and rural landscapes of countries like Morocco,
Prophet Muh:ammad’s death in 632 CE and which still repre-
Tunisia, and Egypt but also in Middle Eastern countries out-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEALING AND MEDICINE: POPULAR HEALING PRACTICES IN MIDDLE EASTERN CULTURES
3835
side the Arab world, including Turkey and Iran. Most of
tal but responsive holy one who can be requested to act on
these shrines contain the tombs of dead saints, and some, es-
one’s behalf; the ability to be part of a sympathetic, experi-
pecially the relatively famous ones, host magnificent
enced community of female sufferers who often congregate
mosque-tomb complexes. Most of these shrines are associat-
at these shrines (Mernissi, 1977); and the ministrations of
ed in some way with a dead “pious one” (Eickelman, 1998),
the living, barakah-bestowing shaikhs who often attend to
either a sayyid (a descendant of the prophet Muh:ammad); a
these shrines and who pray and write healing amulets for suf-
renowned cleric regarded as pious for the quality of his learn-
fering pilgrims—are part and parcel of the healing process.
ing; a founder or descendant of a founder of a S:u¯f¯ı religious
Thus even if miraculous cures do not eventuate, the pilgrim-
brotherhood; or a holy person, male or female, known for
age itself may bring relief and psychological relaxation as well
exceptional religiosity and the demonstrated ability during
as spiritual renewal through contact with divinity.
his or her lifetime to perform miracles. For the masses of
rural and urban poor people who visit these sites as pil-
Furthermore as Fatima Mernissi (1977) has noted, Mid-
grims—given that healing pilgrimage of this sort tends to be
dle Eastern women’s pilgrimages to holy sanctuaries are
a class-based phenomenon in the Middle East these dead
“power operations,” means by which subaltern women can
saints are believed to radiate barakah, a living form of benefi-
seek control over their sexuality, fertility, health, and general
cial power associated with divine blessing, grace, or holiness
well-being in societies that tend to be decidedly patriarchal
that is transferable to their descendants, followers, and visi-
(Inhorn, 1996). Pilgrimages to saints’ tombs allow women
tors (Biegman, 1990).
to reaffirm, if only temporarily, control over their lives and
their personal well-being through actions that are autono-
Even though saint worship has always been frowned
mous from men. Typically, ziya¯ra¯t to the mosque-tombs of
upon as shirk, or polytheism, by more scripturally minded,
blessed saints are journeys that women make alone, allowing
orthodox Muslims (Doumato, 2000), belief in the miracu-
them the opportunity to demonstrate their agency and inde-
lous barakah of saints, the formation of cults involved in the
pendence. Even though women’s ziya¯ra¯t often require
veneration of such saints, and the subsequent movement of
money from husbands and, in most cases, permission to trav-
thousands of miracle-seeking pilgrims to and from saints’
el by husbands or other family members, the pilgrimage typi-
shrines are considered to be among the major hallmarks of
cally remains an exclusively female activity, with shrines
North African Islam.
often serving as protected “female turf” (Betteridge, 1983).
WOMEN, PILGRIMAGE, AND HEALING. From their begin-
Although women are barred in many ways from formal
nings in the tenth century, these cults were involved in heal-
public ritual practice, including participation in Friday com-
ing, especially among the poor and among women. In the
munal prayers at mosques, many of the popular healing ritu-
early twenty-first century, the poor, and poor women in par-
als and pilgrimages practiced in the Middle East are nonethe-
ticular, continue to worship dead, miracle-working saints
less carried out by women within the framework of the
whose tombs, if relatively accessible, they may visit on a regu-
Islamic ritual cycle. In many cases, pilgrimages and healing
lar basis. Indeed, it is women—not men—who are most ac-
rituals are undertaken during the exact hour of the Friday
tively involved in saint veneration and who are, therefore, the
communal noon prayer—the most important one in the Is-
primary participants in the salvation-oriented ziya¯ra¯t to local
lamic weekly cycle of thirty-five prayers. This syncretic asso-
and regional saints’ tombs. The essentially “female character”
ciation of healing practice with Islamic prayer ritual is ex-
of local pilgrimage in the Middle East (Betteridge, 1983)—
tremely significant, even though it is disdained by religiously
and men’s accompanying embarrassment and even disdain
literate orthodox Muslims.
regarding this activity—has been noted by a number of
scholars working in various regions of the Middle East (Cra-
ISLAM AND POPULAR HEALING. In the Middle East in the
panzano, 1973; Doumato, 2000; Dwyer, 1978; Mernissi,
early twenty-first century, opposition to popular healing rit-
1977; Tapper, 1990).
uals does not come mainly from biomedical quarters. Islamic
religious leaders and groups are increasingly spreading the
For women in the Middle East, healing as well as the
word that popular healing practices, especially those that in-
solution of other difficult life problems is a primary impetus
volve saint worship, are a form of shirk, or polytheism, which
for ziya¯ra¯t to saints’ shrines. Such healing furthermore may
is h:aram, or forbidden in the religion. Whereas biomedicine
be multifaceted. On the one hand, belief in barakah and the
is viewed for the most part as being h:ala¯l, or compatible with
abilities of barakah-bestowing dead saints to perform mirac-
Islamic doctrine, many alternative healing practices are con-
ulous cures, including the restoration of fecundity to the in-
sidered h:aram by religiously literate Muslims and conserva-
fertile (Inhorn, 1994a), brings hope to those whose health
tive Islamists (so-called fundamentalists), who see these prac-
problems seem intractable or who have failed to find relief
tices as being “against God,” “against the religion,” or “like
in other therapeutic venues. In addition, the activities of the
believing in something besides God.” This religious argu-
pilgrimage itself—including the respite from everyday rou-
ment is becoming increasingly apparent as a result of the
tine; the exhilaration of travel to a spiritually “magnetic” cen-
contemporary Islamic revival in many parts of the Middle
ter (Preston, 1992); the cathartic effects of unburdening
East and, according to Eleanor Abdella Doumato (2000), has
one’s “private heartaches” (Tapper, 1990) on a nonjudgmen-
severely restricted women’s healing practices in Saudi Arabia,
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3836
HEALING AND MEDICINE: POPULAR HEALING PRACTICES IN MIDDLE EASTERN CULTURES
regarded as the home of Islam and the site of the annual Is-
appeasement; and elaborate rituals for a culture-bound syn-
lamic pilgrimage, or h:a¯jj.
drome known in Egypt as musha¯hara or kabsa, which is
thought to be the major cause of infertility in women. In
Yet despite official Islamic opposition, popular healing
short, the ethnomedical treatments for infertility alone in
practices continue unabated, attesting to their power and im-
one Middle Eastern country are amazingly diverse and com-
portance in the minds of ordinary Muslims. Under the ru-
plex, suggesting the richness of popular healing beliefs and
bric of was:fa¯t balad¯ı (traditional remedies) or it t:ibb il-Earab¯ı
practices in this part of the world.
(Arabic medicine), popular healing in the Middle East comes
EXAMPLES OF POPULAR HEALING PRACTICES. Although it
in many forms other than saint veneration. Given the incred-
is important to emphasize the rich diversity of popular heal-
ible diversity of the region, the Middle East is home to a rich
ing practices in the Middle East, a number of main types of
armamentarium of popular healing practices delivered by
healing practices stand out as particularly relevant and repre-
multiple types of healers. In Egypt, for example, there are
sentative of the region. For this reason, they provide notable
four major categories of traditional healers, including da¯ya¯t
examples.
(lay midwives), who deliver babies and provide many types
of “ethnogynecological” care to lower-class women patients
Cupping and cautery. The practices of cupping and
(Inhorn, 1994a); Eat:t:a¯r¯ın (herbalists), who work with a rich
cautery were the most common healing methods employed
ethnopharmacopeia of herbal and mineral substances and are
in pre-Islamic times, according to medical historians (Ull-
often skilled ethnobotanists in their own right; munaggim¯ın
man, 1978). However, with the coming of Islam to the re-
(spiritist healers), who are known for specializing in diagnos-
gion, the prophet Muh:ammad is said to have forbidden cau-
tic clairvoyance and the treatment of the more difficult, so-
terization as a pre-Islamic, Bedouin practice of heathen
cially mediated causes of ill health (e.g., infertility, impo-
origin (Doumato, 2000; Ullman, 1978). Despite this pro-
tence), including angered spirits and the sorcery acts of
phetic denouncement, both cupping and cautery are found
enemies; and shuyu¯kh bil-baraka (blessed shaikhs), who are
widely throughout the Middle Eastern region in the early
typically, but not necessarily, associated with S:u¯f¯ı orders and
twenty-first century. Cautery is reportedly practiced in Mo-
who bestow their own inherited or acquired barakah on pa-
rocco, Sudan, Yemen, Jordan, Saudi Arabia, and among Pal-
tients through faith healing (i.e., laying on of hands, reading
estinian Bedouins in Israel. Although cupping has been re-
of the QurDa¯n, writing healing amulets with religious inscrip-
ported for other parts of the Middle East as well, it is
tions, and praying over the afflicted). In the neighboring
described much more frequently than cautery in reports on
countries of the Arab Gulf and Levant (Lebanon, Syria, Pal-
Egypt.
estine, Jordan), h:ukama¯ Earabi (Arabic doctors) may provide
Cupping (kasr or ka Dsa¯t hawa¯D) involves two objects—
a variety of herbal, spiritual, and other physical remedies for
one to be lit (usually a piece of cloth dipped in a flammable
difficult afflictions, such as male infertility and impotence,
liquid, a candle, or a corncob), and one to be used as a sort
sometimes operating out of their own clinics and charging
of suction cup (usually a glass jar, a pottery vessel, a mortar,
high prices for their services.
or a cup). When the vessel is placed over the flame, it extin-
As suggested by this great variety of popular healers, eth-
guishes the flame and causes vapor to rise. Adhered like a suc-
nomedical beliefs about the causes of ill health and its treat-
tion cup to the patient’s skin, the healing vessel is said to
ment are multifaceted and complex in the Middle East, defy-
“grab,” “suck,” or “collect” excess cold moisture inside the
ing easy categorization. Nonetheless, etiological beliefs about
body, or to “gather” parts of the body that have become di-
illness range from naturalistic (physical) to personalistic (so-
vided (e.g., the muscles in an “open” back). Given its per-
cial), to supernatural (spiritual), as is also common in many
ceived efficacy in the treatment of rheumatic, muscular, and
other parts of the world. To take one example from the Mid-
gynecological complaints, cupping is widely performed by
dle East, Egyptian ethnomedical beliefs about the causes of
both lay cupping (kasr or ka Dsa¯t hawa¯D) persons and eth-
infertility range from humidity to sorcery and include the
nomedical healers such as midwives in countries such as
possibilities of an open back, a shock, a polluting entrance,
Egypt.
an angered spirit-sister under the ground, and the ultimate
Cautery (kaw¯ı, kayy, makwa, h:ad¯ıd) involves placing a
cause, which is always God’s will. To counter these various
heated metal object, usually a nail or a small rod much like
etiological possibilities, lower-class infertile women often un-
a branding iron, on the patient’s skin. The procedure is pain-
dertake relentless “quests for conception,” in which they en-
ful, burning the skin and leaving a permanent scar. Cautery
gage simultaneously in arduous ethnomedical and biomedi-
may be used directly on the site of a patient’s bodily com-
cal therapeutic rituals (Inhorn, 1994a). Ethnomedical
plaint (e.g., lower back, arm or leg joints), or it may be used
therapies for female infertility in Egypt include vaginal sup-
on other sites of the body to “tighten” relaxed nerves and
positories with various herbal and mineral substances; cup-
muscles. For this reason, cautery is thought to be extremely
ping on the lower back; vapor sitz baths; cauterization of the
useful for male infertility and impotence, both of which may
skin with a heated rod; sewing of the skin of the lower back;
be attributed to “weak nerves” in the back (Inhorn, 1994a).
wearing a belt and padlock; countershocking the infertile
In Saudi Arabia, cautery has also been used historically as a
woman who has been shocked; sorcery nullification; spirit
favored technique to chase malevolent spirits causing emo-
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HEALING AND MEDICINE: POPULAR HEALING PRACTICES IN MIDDLE EASTERN CULTURES
3837
tional or physical illness out of the body, including spirits
Second, given these beliefs concerning child health, it
causing madness (Doumato, 2000).
is not surprising that women—and particularly reproduc-
tively troubled women incapable of fulfilling their mother-
Amulets and evil eye. As with cupping and cautery, the
hood expectations and desires—are deemed particularly like-
use of prophylactic and curative amulets dates to pre-Islamic
ly to cast the evil eye on children for the simple reason that
Arabic folk medicine; however, the use of amulets was not
women deprived of children cannot help but to envy them.
denounced by the prophet Muh:ammad and was eventually
Furthermore infertile women are considered to be dangerous
incorporated into prophetic medicine. In the early twenty-
to fertile women, especially those who are pregnant, who
first century, amulets are widely used throughout the Middle
have demonstrated their reproductive success repeatedly, or
East for three primary purposes: (1) to prevent the deleteri-
who have finally achieved a coveted pregnancy through tech-
ous envy (evil eye) that can destroy objects and lead to illness;
nological means such as in vitro fertilization.
(2) to nullify acts of sorcery, which are also thought to cause
illnesses such as impotence; and (3) on a more mundane
Spirit possession and the za¯r cult. Women who are
level, to treat physical complaints, ranging from headaches
reproductively troubled and who may be blamed for the evil
to fever.
eye seek refuge in the za¯r cult in some parts of the Middle
East. The za¯r is a women’s spirit possession cult, found pri-
Amulets often consist of small pieces of paper, some-
marily in Egypt, Sudan, and the Arab Gulf or the regions
times folded, upon which indecipherable formulas or reli-
closest to East Africa, where the za¯r cult probably originated.
gious verses have been inscribed by a shaikh bil-barakah or
According to Doumato (2000), in the late nineteenth centu-
quasi-religious male healer. Healers often provide special in-
ry and early twentieth century the za¯r cult could be found
structions on how the written amulet is to be utilized (e.g.,
virtually everywhere in the Arabic-speaking world and was
in bath water, in drinking water, worn next to the body, slept
integrated into the lives of women of all social classes.
on, stepped over, or burned with incense, which in and of
itself is deemed protective against harmful forces). Amulets
In the early twenty-first century the za¯r is found primar-
may also be store-bought, such as small charms made of gold,
ily among the socially marginalized, who seek refuge in a
silver, or other metals, or they may be made of brightly col-
healing fellowship with others who are similarly afflicted. For
ored pieces of cloth, sometimes adorned with shiny metallic
example, in Arabic-speaking northern Sudan, where za¯r is
coins.
actively practiced, infertile women suffering from poor self-
images are the primarily members of the za¯r cult. Through
Throughout the Middle East the most pervasive amulet
the za¯r they find a social etiology for their suffering (i.e.,
is the so-called hand of Fatima, a down-turned, stylized, five-
harmful spirits), a sense of community solidarity with other
fingered hand often made of silver or blue pottery (or both)
similarly afflicted women, and a way to press for demands
and often incorporating QurDanic verses or representations
(e.g., new clothing, jewelry, feasts) through the idiom of spir-
of a human eye. Middle Eastern citizens may adorn their
it possession and the invocation of these spirits through joy-
most prized possessions (e.g., homes, automobiles) with the
ful music and dance. Indeed za¯r has been described by some
hand of Fatima to ward off the deleterious effects of envy.
scholars as a proto-feminist challenge to women’s objectifica-
Wearing a hand of Fatima as a piece of jewelry is thought
tion and subordination (Boddy, 1989), a way to challenge
to prevent human harm and illness.
authority and compensate for exclusion from formal religion
Belief in the power of the envious glance to cause harm
in the Muslim world (Doumato, 2000).
is widespread throughout the Middle East, a region consid-
Although women’s za¯r cults have been suppressed in
ered one of the “core areas” where evil eye beliefs are found
some Middle Eastern societies by conservative religious
(although they are also found in other parts of the world)
forces, the za¯r is experiencing a revival in parts of the Arab
(Dundes, 1992; Maloney, 1976). The “evil of an envier” is
Gulf, particularly among socially isolated tribal communities
mentioned directly in the QurDa¯n, but the belief in evil eye
(Doumato, 2000). Furthermore beliefs in harmful spirits and
predates Islam, appearing in both the Bible and in Sumerian
spirit possession are found across the Middle Eastern region,
texts as early as five thousand years ago (Dundes, 1992).
from Morocco to Iran. In Egypt, for example, a class of spir-
In the early twenty-first century in the Middle East,
itist healers known as munaggim¯ın, who may be either male
there are two recurrent features of evil eye belief and practice
or female, specialize in diagnostic clairvoyance and the treat-
that are relevant to a discussion of health and healing. First,
ment of angered spirits. They do so either as “possessed” in-
children—and particularly more highly valued male chil-
dividuals, who use their own spirits to diagnose and treat
dren—are believed to be one of the main targets of the evil
other spirit-troubled individuals, or as skillful agents of spirit
eye, with their sickness, injury, and even death constituting
invocation, who make the wishes of others’ spirits known,
possible outcomes. Thus, in many settings in the Middle
then appease those spirits through communal za¯r rituals or
East, belief in the evil eye serves as a primary explanatory
private rituals of animal sacrifice and the provision of gifts
model for infant and child morbidity and mortality (Harfou-
to the spirit world.
che, 1992). For this reason amulets often adorn the clothing
FUTURE DIRECTIONS. As noted at the beginning of this
of infants and young children.
essay, high-tech biomedical therapies such as in vitro fertil-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3838
HEALING AND MEDICINE: POPULAR HEALING PRACTICES IN MIDDLE EASTERN CULTURES
ization exist simultaneously in the Middle East with popular
Eickelman, Dale F. The Middle East and Central Asia: An Anthro-
healing practices such as the za¯r cult. Neither domain has
pological Approach. 3d ed. Upper Saddle River, N.J., 1998.
been well studied by social scientists or historians. Healing,
Eickelman, Dale F., and James Piscatori, eds. Muslim Travellers:
both new and old, is clearly a rich area for future scholarship,
Pilgrimage, Migration, and the Religious Imagination. Berke-
as suggested by the brief examples provided in this essay. Fur-
ley, Calif., 1990.
thermore, such research is timely, given calls for an “Islamic
El-Hamamsy, Laila. The Daya of Egypt: Survival in a Modernizing
alternative” to the hegemony of postcolonial Western
Society. Pasadena, Calif., 1973.
biomedicine in the region. Although some contemporary Is-
El Messiri Nadim, Nawal. Rural Health Care in Egypt. Ottawa,
lamists are calling for a return to prophetic-Islamic medi-
1980.
cine—with its promotion of dietary and lifestyle changes as
El Sendiony, M. F. “The Problem of Cultural Specificity of Men-
well as faith healing through prayer, writing of religious amu-
tal Illness: The Egyptian Mental Disease and the Zar Cere-
lets, laying on of hands, and recitation of holy verses from
mony.” Australian and New Zealand Journal of Psychiatry 8
the QurDa¯n (Adib, 2004)—it is important to remember that
(1974): 103–107.
these are among the very practices that have been employed
Gellner, Ernest. Saints of the Atlas. London, 1969.
for centuries in popular healing rituals throughout the re-
Gran, Peter. “Medical Pluralism in Arab and Egyptian History:
gion. It is fair to conclude that Islam—at least in its more
An Overview of Class Structures and Philosophies of the
populist form—has always been a major influence on the
Main Phases.” Social Science and Medicine 13B (1979): 339–
healing practices, pilgrimages, and rituals that continue, un-
348.
abated, among the poorer urban and rural communities in
Greenwood, Bernard. “Perceiving Systems: Cold or Spirits?
the Middle East in the early twenty-first century.
Choice and Ambiguity in Morocco’s Pluralistic Medical Sys-
tem.” Social Science and Medicine 15B (1981): 219–235.
SEE ALSO Islam; Pilgrimage, article on Muslim Pilgrimage.
Harfouche, Jamal Karam. “The Evil Eye and Infant Health in
Lebanon.” In The Evil Eye: A Casebook, edited by Alan
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But the Homeric epics speak also of an empirical ap-
MARCIA C. INHORN (2005)
proach to medicine. According to the Odyssey a group of phy-
sicians existed called demiourgoi, who were itinerant mem-
bers of a medical craft. They relied on their experience and
skill to treat wounds, broken bones, and diseases symptomat-
HEALING AND MEDICINE: HEALING AND
ically by employing traditional treatment that was passed on
MEDICINE IN GREECE AND ROME
by apprenticeship. In the sixth century BCE, groups of physi-
In the ancient world there were four models of disease causa-
cians began to assemble in several cities throughout the Med-
tion. The first viewed disease as retributive, caused directly
iterranean. Although they did not train physicians, they of-
by a divinity, usually a god or gods. The second postulated
fered apprenticeship to aspiring doctors. Associated with one
a demonic force as being responsible for inflicting disease on
of the best known of these medical “schools,” that of Cos,
individuals. The third explained disease as the result of
off the coast of Asia Minor, was the physician Hippocrates
magic, often brought by sorcerers or magicians. Finally, the
(c. 460–c. 380 BCE). Although he acquired the reputation as
ancients ascribed some disease to natural causes. These etio-
the father of medicine, little is known about Hippocrates.
logical models were not mutually exclusive. In most ancient
There exist only two contemporary references to him (both
societies, in fact, they were complementary. But the treat-
by Plato), but he became the subject of much idealized leg-
ment prescribed differed according to the perceived causative
end after his death.
factors. When gods were assumed to be responsible, a reli-
gious response (e.g., prayer, sacrifice, or purification) was re-
In the fifth century BCE, Greek medicine began to devel-
quired. When demonic causation was assumed, exorcism or
op beyond mere craftsmanship into a science that possessed
divine healing was called for. If illness was attributed to mag-
a body of theoretical knowledge. The craftsman or empiric
ical forces, counter-magic was expected to be efficacious. If
was often skilled in practical knowledge and the application
disease was thought to be the result of natural causes, medical
of traditional methods. However, the addition of theory to
treatment was ordinarily sought. Throughout the period of
practice actually created scientific medicine. The physician
classical antiquity (c. 800
(iatros) attempted to understand disease and its causes in
BCE–c. 500 CE), one finds all four
models manifesting themselves in different times, often in a
terms of natural processes. To do so he turned to philosophy,
harmonious or complementary relationship, as they reflected
from which he borrowed the ability to frame universal for-
the changing spirit of the age.
mulations. The Hippocratic Corpus is the earliest attempt
to provide a theoretical basis for medicine. The collection
GREECE. The earliest Greek literary works that have come
consists of about seventy treatises, most of which were writ-
down to modern readers are the Iliad and Odyssey, tradition-
ten in the fifth and fourth centuries BCE. The treatises eschew
ally ascribed to Homer, who probably lived between about
magical or divine factors in accounting for disease, rather
750 and 650 BCE. Although the historical setting of these
employing naturalistic theories of disease that were taken
epic poems is that of the Trojan War, which the Greeks
over from the pre-Socratic philosophers. The best known is
dated to about 1200 BCE, it is widely held that much of the
the theory of the four humors, which was borrowed from
social and cultural backdrop is that of the Dark Age in
Empedocles.
Greece (c. 1200–800 BCE). In the Homeric epics the gods
play an active role in every area of life, including health and
The writer of On the Sacred Disease argues that epilepsy,
sickness. Apollo sends arrows that cause disease and death
commonly attributed to divine possession, is not more sacred
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than any other disease but has a natural cause. He writes,
were convincing. At this distance in time, to explain fully
“There is no need to put the disease in a special class and to
how pilgrims were healed is impossible; rationalistic ap-
consider it more divine than the others; they are all divine
proaches are unconvincing. Perhaps many of the pilgrims
and all human. Each has a nature and power of its own; none
suffered from chronic diseases that doctors could not success-
is hopeless or incapable of treatment” (On Sacred Disease, ch.
fully treat. Others probably suffered from hysteria that was
21). Although the Hippocratic treatises generally espouse a
susceptible of psychotherapy. The Asclepieion at Epidaurus
naturalistic explanation of disease, there is no evidence that
grew over time to become a complex of buildings that in-
this approach was regarded as atheistic. Hippocratic writers
cluded guest houses for pilgrims, gymnasiums, theaters, sta-
regarded nature as divine and medicine as a gift of the gods.
diums, and baths—all of which provided a sanatorium-like
Nor did they reject appeal to the gods for healing. “Prayer
setting that offered a peaceful retreat and therapeutic envi-
indeed is good, but while calling on the gods a man should
ronment for physical healing and recuperation.
himself lend a hand” (Decorum 87).
Asklepios was both the dispenser of divine healing
Hippocratic medicine spread rapidly in the late fifth and
through incubation and the patron of physicians. Galen
fourth centuries BCE. But alongside this rational or specula-
(129–c. 210 CE), the great physician and polymath, referred
tive medicine, which assumed natural causes of illness and
to himself as a servant of Asklepios, who had healed him
sought to heal by natural means, there existed a tradition of
when ill with a life-threatening abscess. Physicians did not
religious healing. Those suffering from illness sought divine
doubt the god’s ability to heal in any way he wished, whether
healing from gods, demigods, and heroes. Initially cures
miraculously or by natural means. They viewed religious
might be sought at the temple of any god or at the shrines
healing as complementary to medicine. When they could
of local heroes, but in the fifth century Asklepios emerged
offer no further medical help to their patients, they had no
as the chief healing deity of Greece. In the Iliad Asklepios
objection to their seeking supernatural healing at the shrine
is the “blameless physician” to whom the centaur Chiron
of Asklepios. Because Asklepios was their patron, who
taught medicine. He is said in later legend to have been a
blessed their efforts as medical practitioners, physicians saw
god. His cult initially came from Tricca in Thessaly (in
no conflict with his healing supernaturally in temples. They
northern Greece), but it spread to Epidaurus (in the Pelo-
regarded both secular and temple medicine as legitimate
ponnese), which became the most important cult center of
means of healing, and they existed in relative harmony, but
Asklepios. It was carried throughout the Mediterranean
probably with little contact. The rapid spread of the cult of
world to Athens, Pergamum in Asia Minor, Crete, Cyrene
Asklepios in the fourth century BCE coincided with the de-
in North Africa, and Rome in 291 BCE, where the god was
cline of the older civic religions, and the cult appealed to the
worshiped as Aesculapius.
growing individualism of Greek religion. He was regarded
The temples of Asklepios, known as Asclepieia, attracted
as a philanthropic god and had an appeal to ordinary individ-
large numbers of the sick who sought miraculous healing. At
uals that the great Olympian deities lacked. The poor, who
Epidaurus those seeking healing underwent a rite of ritual
could not afford physicians’ fees, sought treatment at his
purification before offering simple sacrifices of cakes or fruit.
temples. So popular was the worship of Asklepios that more
The focal point of the pilgrimage was incubation, in which
than four hundred temples and shrines were devoted to his
pilgrims spent a night in the abaton (inner sanctum) at the
worship in the Greco-Roman world.
center of the temple. Lying on a couch, they would await a
Following the conquest of the Persian Empire by Alex-
dream or vision from the god, who appeared with a caduceus
ander the Great (356–323 BCE; ruled 336–323 BCE), foreign
(a staff around which a snake was coiled), which later became
cults poured into Greece from Egypt and Asia, brought back
the symbol of modern medical healing. The healing process
by soldiers returning from his campaigns. The Greek world
was varied to suit the pilgrim. Asklepios might merely touch
itself was enlarged and now comprised the eastern Mediterra-
the patient, or he might perform surgery or administer a
nean, including the Hellenistic kingdoms of Macedonia,
healing drug. Sometimes a serpent or dog would bring heal-
Egypt, and the Seleucid Empire in Asia. The mystery reli-
ing by licking the wound. Whatever the means, when the in-
gions, as they have been called, offered a sense of personal
cubants awoke the next morning, they expected to have been
union with the deity that was often formalized in a rite of
healed.
initiation. Enormously popular during the Hellenistic period
That many were cured of their illnesses or physical dis-
(323–30 BCE), they supplemented the official cults that were
abilities is evident from the several tablets, called iamata, that
maintained by the Greek city-states as the focal point of pub-
were posted at the temple site at Epidaurus, which recorded
lic worship. Many of them offered healing, which adherents
case histories of pilgrims who had been healed. These testi-
of almost any Greek or foreign deity, demigod, or hero might
monials were doubtless meant to encourage pilgrims to trust
expect. Incubation was the most common means of temple
that they too might experience the god’s favor. Some of the
healing, but other forms existed as well. The use of magical
testimonials were fictional or based on significant misunder-
practices in Greek medicine, common in Homeric and ar-
standings (such as that of a woman who delivered a baby that
chaic Greece, did not play a major role from the middle of
she thought she had carried for five years), whereas others
the fourth century BCE until the second century CE. Although
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3841
some physicians might resort to chants, amulets, or sympa-
and boarded the Roman ship, which carried him to Rome,
thetic magic, in general magical practices were the preserve
where he disembarked onto the Tiber Island. The Romans
of magicians, not of physicians. Indeed Greek medicine dif-
built a temple for him and he came to be worshiped as Aescu-
fers significantly from Mesopotamian and Egyptian medi-
lapius.
cine, which routinely incorporated magical practices.
The Romans also personified forces like Febris (Fever),
ROME. For the first six centuries of their history (Rome was,
which came to be represented as a goddess whose anger
according to tradition, founded in 753 BCE), the Romans
might be propitiated for remedies from disease. The Romans
lived without either rational medicine or physicians. They
believed that every natural function was under the protection
used native folk remedies, which they supplemented with
of a particular deity. Hence every stage of life, including con-
magic and divination that they inherited from the Etruscans.
ception, gestation, and birth was subject to a numen, and the
The paterfamilias (the eldest male member of the household,
protection of the appropriate spirit or deity was sought.
which included slaves and up to three generations) adminis-
Given the dangers of childbearing, which claimed the lives
tered folk remedies to his household. A well-known example
of many women, a Roman matron might appeal to any num-
of such a family practitioner was Cato the Elder (234–149
ber of Roman goddesses in childbirth, although through a
BCE). According to Plutarch (before 50–after 120 CE),
process of syncretism Juno Lucina and Diana came to replace
[Cato] compiled a book of recipes that he used for the
most of the others. Incantations and magical formulas were
treatment of members of his household who fell ill. He
often recited, together with the laying on of hands, which
never made his patients fast, but allowed them to eat
was thought to transfer the power of a deity and provide safe-
herbs and morsels of duck, pigeon, or hare. He main-
ty in childbearing or healing.
tained that this diet was light and thoroughly suitable
for sick people, apart from the fact that it often pro-
The first physician to practice medicine in Rome was
duced nightmares, and he claimed that by following it
Archagathus, a Greek who settled in Rome in 219 BCE. Al-
he kept both himself and his family in perfect health.
though he was initially well received, he relied heavily on sur-
(Plutarch, Life of Cato 23)
gery and cautery, which damaged his reputation and gained
for him the title of carnifex (the executioner). Many subse-
Cato relied on folk remedies, together with prayers, sacri-
quent Greek physicians were attracted to Rome, where they
fices, magical incantations, and rituals, to protect his family,
enjoyed great popularity in a city that had never before had
crops, and herds. He was renowned for his advocacy and use
professional medical practitioners. Yet some Romans, like
of cabbage in medicinal recipes and for his contempt of
Cato the Elder and the encyclopedist Pliny the Elder (23/
Greek medical theories and practitioners.
24–79 CE,) distrusted physicians and relied on popular folk
The Romans initially worshiped spiritual powers with-
medicine long after the introduction and widespread accep-
out defined personalities that they called numina. Under the
tance of rational Greek medicine. Pliny included many folk
influence of the Etruscans, they came over time to represent
and magical remedies in his influential Natural History.
numina as gods, many of whom they identified with Greek
As Rome conquered the Mediterranean world in the
gods of similar characteristics, but animistic elements re-
second and first centuries
mained. Roman religion was a state cult, staffed by unpaid
BCE, Roman culture underwent
many rapid changes owing to Eastern influences and Greek
priests who carried out formal observances that maintained
thought. Some Romans abandoned traditional religion for
the pax deorum (peace of the gods) and guaranteed the con-
philosophy or skepticism, whereas others supplemented the
tinuing divine favor to the city and its fortunes. The Romans
mechanical and formal civic religion with Eastern religions.
believed that if they neglected to observe formal religious ob-
The influence of foreign beliefs, such as astrology and magic,
ligations, the gods would send disasters. Hence public disas-
spread throughout Italy as soldiers returned from foreign
ters like epidemics, droughts, and defeats in battle were ex-
campaigns and slaves were brought to Italy. Although amu-
plained as being sent from the gods, and great care was taken
lets had always been worn to ward off disease and personal
to propitiate them to avert their anger. The earliest Romans
disaster, magicians now abounded, selling charms and incan-
had no specific gods associated with disease or healing, al-
tations to exorcize demons or to heal diseases. The belief that
though specific deities might be appealed to if they were
certain animals, plants, and precious stones possessed occult
thought to be especially concerned with bodily parts or func-
properties, which released magical forces through manipula-
tions. Sometimes, if prayers to Roman gods had failed to
tion, influenced healing practices. Astrologers, too, had be-
produce the desired effect, the Romans introduced foreign
come popular in Rome by the first century
deities. Thus in 433
CE, and some
BCE the Romans built a temple to the
physicians began to integrate astrology into their medicine.
Greek god Apollo, whom they credited with ending a plague
Galen, for example, held that the condition of patients was
that had lasted for two years. They worshiped him as Apollo
affected by the course of the moon and the planets.
Medicus (Apollo the Physician). In 293 BCE, during a pesti-
lence, the Romans consulted the oracular Sibylline Books,
However, it was the popularity of mystery religions that
which directed them to send a mission to Epidaurus to bring
more than any other factor produced new forms of popular
the god Asklepios to Rome. Two years later they did so. Ac-
religious belief. From Egypt and Asia Minor came many
cording to the legend, Asklepios took the form of a serpent
cults that offered a personal satisfaction not found in the for-
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mal religion of Rome. They were often modified and West-
Over six centuries later, the greatest Roman jurist, Ulpi-
ernized by their contact with the Greeks. The most promi-
an (d. 228 CE), when discussing the qualifications necessary
nent were those of Isis and Serapis from Egypt, Mithra from
to sue for unpaid remuneration for services, says regarding
Persia, and Magna Mater (the Great Mother) from Asia
physicians (medici), “But one must not include people who
Minor. These cults sometimes offered healing in a supernat-
make incantations or imprecations or, to use the common
ural fashion, most commonly by means of astrology, magic,
expression of impostors, exorcisms. For these are not branch-
divination, or the use of herbs. Although the cult of Ask-
es of medicine, even though people exist who forcibly assert
lepios was introduced into Rome in 291 BCE, it was not until
that such people have helped them” (Digest 50.13.1.3). Nei-
the first century CE that his temple on the Tiber Island came
ther Sophocles nor Ulpian was implicitly denying that alter-
to be a popular healing site. By the second century CE Perga-
native healing practices may have proven efficacious under
mum in Asia Minor had replaced Epidaurus as the center of
some circumstances. Furthermore, both make it evident that
healing by Asklepios. Moreover, the nature of the cures per-
those who called themselves physicians were not effective
formed by Asklepios underwent change. Miraculous healing
physicians or even physicians at all if they engaged in the
by the god was replaced by therapeutics that were not in
practices specified. One of the greatest legacies of classical
many respects very different from those that a physician
culture was a scientifically based medicine that, irrespective
might prescribe. Instead of supernatural cures through incu-
of the enormous changes and developments in its theoretical
bation, Asklepios’s priests often recommended practical regi-
and practical aspects over the past two and a half millennia,
mens of exercise, swimming, diet, and purgatives to incu-
has been the expectation of those in Western cultures who
bants.
have chosen to consult a physician or surgeon rather than an
Among the Eastern influences that became prominent
alternative healer.
in the imperial period was belief in the power of demons. In
ancient Middle Eastern cultures like Mesopotamia and
SEE ALSO Amulets and Talismans; Asklepios; Galen; Greek
Egypt, demons had been an important part of the religious
Religion; Hippocrates; Roman Religion, articles on The
framework, and diseases were often attributed to them. In
Early Period and The Imperial Period.
Greek and Roman culture, belief in the demonic etiology of
disease, although always present, was less common, especially
BIBLIOGRAPHY
after the advent of rational medicine with its naturalistic un-
On Greek medicine, religion, and magic, see Ludwig Edelstein,
derstanding of disease. But in the mid-second century CE, the
“Greek Medicine in Its Relation to Religion and Magic,” in
mood began to change. Diseases were attributed to demons
Ancient Medicine, edited by Owsei Temkin and C. Lilian
by an increasing number of people, who believed that they
Temkin, pp. 205–46. (Baltimore, Md., 1967); Jacques Jo-
consequently could be cured only by supernatural means.
uanna, Hippocrates, translated by M. B. DeBevoise,
For example, the Gnostics believed that diseases themselves
pp. 181–209 (Baltimore, Md., 1999); Antje Krug, Heilkunst
were demons that might be expelled by the use of magical
und Heilkult: Medizin in der Antike (Münich, 1985); Vivian
formulas (Plotinus, Enneads 2.9.14), a view that was widely
Nutton, Ancient Medicine, pp. 103–114, 273–91 (London,
held in the late Empire. Hence ritual purification, on which
2004); and Owsei Temkin, Hippocrates in a World of Pagans
the mystery religions placed much importance, was used to
and Christians (Baltimore, Md., 1991).
exorcize evil spirits.
On medicine and magic, see H. C. Kee, Medicine, Miracles and
CONCLUSION. Throughout the history of Greek and Roman
Magic in New Testament Times, pp. 112–16 (Cambridge,
cultures, a medical pluralism prevailed. There were always
U.K., 1986) and Georg Luck, Arcana Mundi (Baltimore,
healing cults of various gods and heroes available, including
Md., 1985). On the religious views of Galen, see Fridolf
both indigenous and foreign deities. The most significant
Kudlien, “Galen’s Religious Belief,” in Galen: Problems and
was Asklepios. The extent of belief in magic, astrology, and
Prospects, edited by V. Nutton, pp. 117–30 (London, 1981).
demonic activity varied over the centuries of classical antiqui-
Pierre Bonnechere, Trophonios de Lébadée: cultes et mythes
ty. At all times natural healing, whether by empirics or by
d’une cité béotienne au miroir de la mentalité antique (Leiden,
Netherlands, 2003) is essential reading on incubation.
practitioners of rational medicine, was an accepted, but not
an exclusive, means of healing. Beginning in the fifth century
On the cult of Asklepios, see Emma J. and Ludwig Edelstein, As-
BCE, physicians appropriated constructs of natural philoso-
clepius: Collection and Interpretation of the Testimonies (New
phy to provide a theoretical understanding of health and dis-
York, 1975; repr., 1998) and Charles A. Behr, Aelius Aristides
ease. Although many physicians considered Asklepios their
and the Sacred Tales (Amsterdam, 1968). On other gods of
patron, the medicine they practiced was devoid of religious
healing, see Samuel Angus, The Religious Quests of the Graeco-
or magical elements. Many sources besides medical authors
Roman World, pp. 414–38 (New York, 1929). On the heal-
attest—usually indirectly but sometimes directly—to this ex-
ing cult of Isis and Serapis, see H. C. Kee, Miracles in the
Early Christian World, pp. 105–45 (New Haven, Conn.,
pectation in classical antiquity. For example, the tragedian
1983), 105–45.
Sophocles (496–406 BCE) makes one of his characters say,
“No good physician (iatros) chants incantations over a mala-
GARY B. FERNGREN (2005)
dy that needs the knife” (Ajax 581–2).
DARREL W. AMUNDSEN (2005)
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3843
HEALING AND MEDICINE: HEALING AND
THE POST–NEW TESTAMENT CHURCH. Leading Christian
MEDICINE IN CHRISTIANITY
writers of the earliest centuries of Christianity for the most
The four Gospels recount the career of Jesus of Nazareth
part exhibit positive views of medicine. Thus Origen (c.
(c. 4 BCE–c. 29 CE), the founder of Christianity. Jesus is re-
185–c. 254) considered medicine “beneficial and essential to
corded as having performed many miraculous healings,
mankind” (Contra Celsum 3.12), and Tertullian (c. 200 CE),
which included restoring to health (among others) the blind,
who was fond of employing medical analogies in his writings,
the dumb, the deaf, the lame, and lepers. The Gospels de-
believed that medicine was appropriate for Christians to use.
scribe Jesus’ miracles as signs that provided evidence of his
The theme of Jesus as the Great Physician (Christus medicus)
messianic identity, as well as a manifestation of the presence
was popular in the writings of the Church Fathers, who used
of the kingdom of God and a fulfillment of Hebrew prophe-
the expression in a metaphorical sense to describe him as the
cy (e.g., Mt. 11:4–5, which echoes Is. 35:4–6; 61:1). The
savior of sin-sick souls, not as a healer of physical ills. Medi-
Gospel of John declares that Jesus himself maintained that his
cal care, far from being rejected by early Christians, was re-
miracles were evidence of his messiahship (Jn. 10:37–38).
garded as a model of the care of the soul.
The Gospels differentiate Jesus’ miracles from the miracles
of exorcists and magicians. Moreover, although Jesus is said
Early Christians regarded disease as a material, rather
to have cast out demons, the Gospels invariably distinguish
than a moral, evil that had resulted from the fall. Within the
between exorcism and healing (e.g., Mt. 8:16; cf. Mk. 6:12;
theistic context they had inherited from Judaism, they typi-
Acts 19:12). Nor does it appear that either he or his disciples
cally viewed illness as the result of natural, although provi-
considered demons to be the cause of disease. One finds sev-
dential, causes that could be treated by physicians or other
eral medical conditions described in the Gospels, mostly or-
healers, to whom they could legitimately have recourse so
dinary diseases or congenital conditions for which a natural
long as they did not employ pagan religious practices. Chris-
cause appears to have been assumed by those who suffered
tians were encouraged, of course, to pray that God would
from them. The Gospels distinguish the symptoms of such
heal, whether by medical means or without them. When
conditions from those that accompanied demonic posses-
medicine did not avail, they might still seek healing by
sion, which usually manifested erratic or abnormal behavior.
prayer, but recognized that they were to submit patiently to
Whether those who approached Jesus for healing had already
God’s will.
sought assistance from physicians is not indicated except in
By the late fourth century, there was a marked increase
one incident in which medical treatment had been unsuc-
cessful (Mk. 5:24–34).
in claims of divine healing. The growing veneration of relics
associated with Christian martyrs and the new importance
Outside the Gospels, one finds little reference to mirac-
that Christian leaders like Ambrose (374–397) and Augus-
ulous healing in the New Testament. The Book of Acts de-
tine (354–430) placed on miracles of healing signaled a
scribes a relatively small number of healings that are attribut-
major change in Christian approaches to healing. The bur-
ed to Jesus’ disciples (Acts 3:1–11; 9:33–34; 14:8–10). They
geoning fascination with demonic activity did not, however,
belong to the category of “signs and wonders” that confirm
preclude a sustained belief by many in naturalistic explana-
the disciples’ apostolic credentials (Acts 14:3). The diseases
tions of disease. For example, Augustine’s delight in describ-
healed are natural conditions, and none are attributed to de-
ing spectacularly miraculous cures (City of God 22.8) was not
monic etiology. In the epistles, there are no sicknesses that
diminished by his assumption of a natural etiology for every
are either healed miraculously or attributed to demonic cau-
case mentioned. Indeed, the rapid spread of hospitals at the
sation. The Epistle of James (5:13–15) prescribes a rite of
end of the fourth century suggests that Christians still sought
healing in which the presbyters of the church anoint the sick
medical assistance for their illnesses, perhaps resorting to reli-
and pray for their recovery. But there is no evidence that
gious cures primarily when physicians had failed them.
anointing for healing was employed in the church before the
third century, and it is possible that the passage refers to
From the beginning Christians had exhibited a philan-
prayers for those who are spiritually rather than physically
thropic spirit that was evident in their concern, both person-
ill. In fact, the epistles suggest that first-century Christians
ally and corporately, for those in physical need. This spirit
suffered from ordinary illnesses from which they sometimes
was in marked contrast with that of the classical world, in
recovered gradually (e.g., Phil. 2:25–27) and sometimes did
which there was little or no religious basis for charity that
not recover (e.g., 2 Tm. 4:20). They typically did not seem
expressed itself in a personal or organized concern for those
to expect that their diseases would be miraculously healed.
who suffered physical distress. Christian concepts of philan-
The New Testament repeatedly speaks of suffering as intend-
thropy were motivated by agape, a self-sacrificing love of oth-
ed by God to produce spiritual maturity (e.g., Heb. 12:7–11,
ers that bore witness to the love of Christ as reflected in his
1 Pt. 4:12). Faith and trust in God could transform suffering
incarnation and redemptive work on the cross (e.g., Mt.
into a positive experience and nurture Christian graces such
25:35–40, Jas. 1:27). Christians were encouraged to visit the
as humility, patience, and dependence on Christ (e.g., Rom.
sick privately, and deacons (whose duties largely consisted of
5:2–5; Jas. 5:10–11; 2 Cor. 12:7–10). Such suffering in-
the relief of physical want and suffering) were expected to
cludes sickness and disability.
visit the ill.
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HEALING AND MEDICINE: HEALING AND MEDICINE IN CHRISTIANITY
In the third century, as Christianity grew rapidly in the
Egypt, Palestine, and Syria in the third century, grew out of
large cities of the Roman Empire, extensive benevolent work
attempts to deepen the spiritual life by the renunciation
was organized and centered in the local congregation. Minor
of the world and the practice of self-mortification. The
ecclesiastical orders were created to assist deacons in their
founders of the movement were anchorites or hermits who
charitable work. In Rome, for example, by 251 the Christian
sought solitude in the desert, but by the fourth century an-
church had divided the city into seven districts, each under
choritic monasticism had largely given way to cenobitic mo-
the responsibility of a deacon and his assisting clergy. Ac-
nasticism in which monks and nuns lived in ordered com-
cording to Eusebius of Caesarea (c. 260–c. 330), the church
munities. The creation of the hospital represents the
supported 1,500 widows and others, including the ill, who
culmination of three centuries of medical philanthropy, dur-
experienced suffering and want (Eccles. Hist. 6.43). Adolf
ing which time the church maintained an extensive program
Harnack (1851–1930) estimated that the Roman church at
of caring for the sick. During the first two centuries of its
this time spent an amount between 500,000 and 1 million
existence, the church carried on its medical charity through
sesterces (Roman coins) each year in support of its charitable
the voluntary efforts of local congregations, which were su-
ministry. Other churches in the large cities of the Roman
pervised by presbyters and deacons. In the third century
Empire spent similar sums on charities, which were adminis-
widespread plagues throughout the Roman Empire led
tered by bishops or presbyters.
Christians to establish emergency care for the community in
the large urban areas. Organized medical attendants began
Beginning in 250, the cities of the Roman Empire expe-
to appear in the early fourth century, and the creation of the
rienced a major plague that lasted for fifteen to twenty years
hospital followed later in the century.
and reached epidemic proportions. Because the civic authori-
ties did little to deal with the plague, the Christian churches
Christianity had gradually spread in the first two centu-
undertook the systematic care of both pagan and Christian
ries throughout the Roman Empire to diverse peoples who
plague victims and the burial of the dead, despite the fact
shared a common culture and a knowledge of Greek as a uni-
that Christians were at the time a persecuted minority. De-
versal language. In the third century, a change began to occur
scriptions exist of the organization of the care of the sick in
that by late antiquity eventuated in a cultural cleavage be-
Rome, Carthage, and Pontus. In Alexandria, a medical corps
tween the East and the West. The division of the Roman
known as the parabalani was formed to transport and nurse
Empire into eastern and western halves in 395 contributed
the sick under the jurisdiction of the patriarch of Alexandria.
to this development, with Latin as the common language of
Although the parabalani are first mentioned in the fifth cen-
the West. After a century and a half of barbarian invasions,
tury, they may date from the time of an earlier plague. Dur-
the last emperor of the western Empire was dethroned in
ing a plague in 312, Christians in many cities in the East per-
476. Already the West was slowly being drawn into an
formed public medical charity of the kind carried out later
emerging European rather than a strictly Mediterranean
by the parabalani.
ethos, whereas the eastern Empire was developing into the
Byzantine Empire. Christianity in the East and West were
The legalization of Christianity by Constantine in 313
to follow different courses.
resulted in major changes in the church’s administration of
medical philanthropy. The role of individual congregations
EASTERN ORTHODOXY. Eastern Orthodoxy encompasses the
and of the laity declined, whereas that of bishops who ad-
largest body of churches that originated in the eastern Medi-
ministered the charitable programs grew. In the 370s Chris-
terranean world. Over time it took on a very different identi-
tians created the hospital (xenodochium), a specifically Chris-
ty from that of the Western (later Roman Catholic) church,
tian institution that arose out of the philanthropic ideals of
and the two separated in a formal schism in 1054. Within
the early church. No similar organization existed in the clas-
modern Orthodoxy are several autocephalus (self-governing)
sical world; Roman infirmaries (valetudinaria) for soldiers
churches, with their patriarchs centered respectively in Con-
and for slaves on plantation estates were not philanthropic
stantinople (Greek), Antioch (Syrian), Moscow (Russian),
in nature. The hospital often included an orphanage and
and various capitals in Eastern Europe.
houses for the poor and aged in a single complex. One of the
earliest and most celebrated was the Basileias, founded by
Central to the specifically Orthodox approach to heal-
Basil the Great, bishop of Caesarea (in modern Turkey),
ing and medicine has been the concept of philanthropia
about 372. Hospitals modeled on the Basileias spread quick-
(kindness or love toward others), especially as it was mani-
ly in the East and somewhat later to the West. The first hos-
fested in monasticism. The ascetic tradition was a major
pital in the West was founded in Rome by Fabiola, whose
force in the eastern Mediterranean from the third century on
friend Jerome describes how she gathered the sick from the
and an important component in Orthodoxy both in its an-
public squares of Rome (where the homeless ill could often
choritic (hermit) and cenobitic (communal) forms. Within
be found in the ancient world) and nursed the most seriously
Orthodoxy, monasteries have always been regarded as reposi-
ill herself (Epistle 77.6.1–2).
tories of spirituality, holiness, and wisdom. Ascetics believed
that the gospel required that they actively pursue the charita-
Many of the early Christian hospitals were staffed by
ble care of the ill. As previously noted, this motivating force
monks. Monasticism, which originated in the deserts of
led to the establishment of the earliest Christian hospitals
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HEALING AND MEDICINE: HEALING AND MEDICINE IN CHRISTIANITY
3845
(xenodochia) in the eastern Mediterranean and such groups
healing offered at the shrines of saints. Miracles became part
as the parabalani and, later, the philoponoi (lovers of labor)
of ordinary life. Most of them were claimed for the healing
and spoudaioi (the zealous ones), which also arose in the large
of a physical affliction. Pilgrimages to these shrines, which
cities of the eastern Mediterranean. Composed of lay people
had begun in late antiquity, became enormously popular in
who were without medical training and drawn from the low-
the Middle Ages and beyond. At some pilgrimage centers,
est class, they flourished in the sixth and seventh centuries,
clergy, who had limited knowledge of medicine but access
giving assistance to the sick, especially to the urban poor.
to a good library of medical works, were available to treat
They bathed and anointed them, but they offered no profes-
medically those who came. Popular too were quasi-medical
sional medical assistance. These lay orders were attached to
practices of the kind described in Marcellus of Bordeaux’s
large churches and came to be recognized over time as an in-
fifth-century work De Medicamentis (On Remedies), which
termediate order between the clergy and laity.
mingled pharmacology, herbal lore, and spells (both Celtic
The Byzantine Empire maintained a much greater cul-
and Roman) to help individuals treat their own illnesses. The
tural continuity with its classical past than did the West. Be-
church opposed this magico-medical approach, which com-
cause the tradition of medical research and writing continued
bined spells and incantations with the occult properties of
in the East, monastic physicians were in a position to appre-
gems and herbs, and it attempted, not always successfully,
ciate classical medicine and to use it. Imperial troubles within
to substitute for pagan incantations specifically Christian for-
Orthodoxy in the seventh century led to a decline of clerical
mulas like the Lord’s Prayer and the Creed.
medicine, an anti-intellectualism that remained for centu-
Although many people resorted to folk remedies, a tra-
ries, a growing spirit of mysticism, and a new emphasis on
dition of secular medicine was transmitted from classical an-
the ability of saints to heal. The last had been a continuing
tiquity to the Middle Ages. There were two kinds of physi-
aspect of the eastern Empire since the fourth century. Never-
cians, secular practitioners and clerical physicians, the latter
theless, hospitals and healing shrines, as well as physicians
usually being monks who had been trained by apprentice-
and holy men, continued to work in tandem and relatively
ship. Hospitals that had survived the chaos of the Germanic
without tension. In the thirteenth century, as the Byzantine
invasions became the property of monasteries and several re-
Empire shrank and resources for supporting hospitals de-
portedly had very skilled physicians in residence. Educated
clined, sacramental anointing for healing became wide-
men continued to read classical medical literature, for medi-
spread. All these components continued in diminished form
cine was a part of the curriculum studied in monastic
after the Turkish conquest of Constantinople in 1453, in-
schools. Nearly all who received an education in the early
cluding the tradition of clerical physicians and the belief that
Middle Ages were trained in monasteries and became mem-
philanthropia is an essential component of the Christian
bers of the clergy. Gregory of Tours (c. 540–594) was typical
gospel.
of scholars of the early Middle Ages in his credulity regarding
MEDIEVAL CATHOLICISM. The barbarian invasions of the
miracles. He frequently alludes to the sick whose physicians
fifth century (most of them Germanic) brought about the
had failed to heal them but who later found healing at the
breakup of the Western Roman Empire by 476. The political
shrine of Saint Martin. However, he was not opposed to
and social break was definitive and western Europe declined
medicine for he regularly consulted medical and pharmaco-
into chaos, poverty, and disorder. Cities declined or disap-
logical handbooks. Pope Gregory I (590–604) encouraged
peared as centers of population, and the preservation and
the cult of saints and relics, miraculous healing, and the
transmission of literacy and learning came to be centered in
study of demonology, yet had a life-long interest in medicine
monasteries. The Germanic settlers brought with them into
and retained a personal physician. Both are typical of educat-
what had been the Western Roman Empire their folk pagan-
ed men who found a place in their thinking for both tradi-
ism that threatened to overwhelm traditional medical ap-
tional medicine and miraculous healing and for both natural
proaches to illness. Although missionaries to western and
and demonic causality.
northern Europe tried to eradicate these folk practices, many
Given the fact that the clergy, especially monks, were
of them were employed as alternatives to Christian practices.
responsible for much of the medicine practiced, not surpris-
Features of late Roman culture, such as the growing practice
ingly the literature of the period emphasizes medical charity,
of healing through the cult of saints and relics, found fertile
citing biblical passages that admonish the care of those in
soil in the cultures that succeeded the dissolution of the em-
need. Benedict of Nursia (c. 480–c. 547) and Cassiodorus
pire. Christian missionaries to northern Europe encouraged
(c. 485–580), both of whom founded monasteries in the
the adoption of these practices, finding them useful in win-
sixth century, urged physician-monks to take the greatest
ning semi-Christianized pagans away from traditional ani-
care of the sick whom they treat. Monasteries, especially
mism. For a thousand years the cult of saints and relics domi-
those that maintained xenodochia, became a refuge for the
nated Western Christianity.
sick, not merely for Christians but for non-Christians (Jews
Although sacramental healing, especially by anointing,
and pagans) as well. Monks produced medical treatises to ad-
had already become widespread among Christians in late an-
vise the poor how to find medically efficacious herbs. Be-
tiquity, it could not compete in popularity with miraculous
cause so many clergy practiced medicine, the church eventu-
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3846
HEALING AND MEDICINE: HEALING AND MEDICINE IN CHRISTIANITY
ally passed a good deal of legislation to regulate them, for
cians enjoyed a high status in most Protestant countries
example, to limit the opportunities for avarice among clerical
owing to the Protestants’ respect for learning and the value
physicians who might be tempted to neglect their spiritual
they placed on the professions as an area for spiritual cultiva-
duties for a more remunerative career in medicine. Numer-
tion. In eighteenth-century Edinburgh, the center of a strong
ous treatises appeared as well that dealt with medical ethics
Presbyterian (Calvinist) tradition, the Scots established what
and etiquette, as their authors (mostly monks) encouraged
became one of the most celebrated medical faculties in Eu-
physicians, whether clerical or secular, to model Christian
rope.
ideals in their character and medical practice.
Because medicine was regarded as a sacred calling, medi-
As Europe began to change from a largely rural and
cal literature before the nineteenth century describes the
manor-based society to an urbanized one in the eleventh cen-
ideals of the profession in terms of religious and moral values.
tury, medicine developed into a profession and the clergy’s
The physician was expected to be educated and a person of
role was diminished over time. The growing sense of profes-
impeccable character and behavior. Christians had always
sionalism among secular physicians led to the creation of li-
seen affinities between the care of the body and the care of
censure requirements for the protection of the public against
the soul. The practice of medicine provided opportunities for
incompetent medical practitioners (the first were promulgat-
the physician to give spiritual counsel and to provide reli-
ed by Roger II of Sicily in 1140) and to the organization of
gious comfort, assurance, and admonition. Clergy-
medical and surgical guilds for the purpose of ensuring a mo-
physicians played an important role among Protestant minis-
nopoly of practice. As an authoritative international body,
ters from the sixteenth through the eighteenth centuries. In
the church routinely extended its jurisdiction over guilds by
an age in which trained physicians were especially uncom-
granting charters and enforcing them.
mon in villages and rural areas, the Protestant belief in an
PROTESTANTISM. When Martin Luther (1483–1546) nailed
educated clergy ensured a supply of persons who had both
his “Ninety-Five Theses” to the door of the castle church at
the leisure and the learning to read medical books. John
Wittenburg, he inaugurated not merely a schism, but a very
Wesley (1703–1791) took a course in medicine so that as a
different way of conceiving of humans’ relationship with
minister he could be of help to those who had no regular
God. Out of the Protestant Reformation there arose four
physician. In 1746 he opened a dispensary and in the next
separate traditions—Lutheran, Reformed (Presbyterian),
year published a lay medical guide, Primitive Physick. Clerical
Anabaptist, and Anglican (Episcopal)—united to a large de-
physicians were common in colonial New England, where
gree in their basic differences with Rome, but by no means
Cotton Mather (1663–1728), a Bostonian minister who
constituting a uniform movement.
himself practiced medicine, called the combination of the
Protestants differed from Catholics in their approach to
care of soul and body the “angelical conjunction.” During
the Christian life. The Catholic tradition saw in the ascetic
an epidemic of smallpox in 1721, many physicians (together
or reclusive life the Christian ideal, whereas Protestants en-
with members of the local press) opposed inoculation as a
couraged a life of active participation in the world. In Catho-
hazard to health and a rejection of divine providence. Mather
lic thought the world was divided into temporal and spiritual
defended the practice, maintaining that any medical proce-
estates. Catholics who desired wholeheartedly to serve God
dure might invite the same kind of objections. He was sup-
entered holy orders, and they considered secular professions
ported by five other prominent clergymen.
to be of secondary importance. Martin Luther and John Cal-
The nature of authority for Protestants is different from
vin (1509–1564) abolished the distinction between secular
that of the Roman Catholic and Orthodox churches. The re-
and sacred callings. They broadened the idea of vocation (in
formers rested religious authority not on ecclesiastical tradi-
medieval terms, a call to a contemplative life) by incorporat-
tion but on scripture alone (sola scriptura). The Bible enjoyed
ing into it the secular professions. A physician or a nurse
primacy over all human traditions and institutions, even over
might glorify God in treating others medically as much as
the church itself. Scripture was the medium of God’s special
a priest might do so in caring for souls. The reformers’ desire
revelation as it was interpreted with the guidance of the Holy
was to extend God’s redeeming grace into every activity of
Spirit. Hence it was the touchstone for judging all matters
life.
of theology, morals, and practice. However, Protestantism
Given the reformers’ rejection of the medieval supersti-
was not a monolithic tradition, and there remained a good
tions of Catholic saints, relics, and pilgrimages, not surpris-
deal of diversity between confessional bodies as well as theo-
ingly Protestants also rejected the miraculous healing prac-
logians. Protestantism has never had a locus for the definitive
tices associated with them. The reformers respected
formulation of matters of faith and morals like the magisteri-
medicine, as indeed they did the natural sciences; empiricism
um (teaching authority) of the Roman Catholic Church.
in the search for natural causes and the rejection of deductive
Moreover, the Protestant belief in the priesthood of all be-
Scholasticism were regarded as an extension of the theologi-
lievers has meant that much theological controversy has in-
cal ideas of Protestantism. There was no tension between
volved individual opinion. Protestants for the most part, per-
faith and medicine in the view of the reformers, who regard-
haps in reaction to the Roman Catholic tradition of natural
ed medicine as a gift of God for the healing of illness. Physi-
law, never developed a system of casuistic ethics. Instead,
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HEALING AND MEDICINE: HEALING AND MEDICINE IN CHRISTIANITY
3847
Protestants made commandment and conscience the twin
Since the 1950s Pentecostal influences, usually without their
pillars of ethics. An emphasis of Protestantism historically
sectarian flavor, influenced mainstream Protestant and even
has been the cultivation of the individual conscience, which
Roman Catholic churches. The charismatic renewal, as it
seeks to apply biblical principles and specific texts to particu-
came to be called, gained widespread influence as it intro-
lar ethical situations. In practice, this has meant that Protes-
duced healing, sometimes in a sacramental fashion, to
tants have been less willing to insist on a single authoritative
churches that had not traditionally practiced it.
Protestant position on complex medical-ethical issues that
ROMAN CATHOLICISM SINCE TRENT. The late medieval cor-
might inhibit the exercise of private conscience. Paul Tillich
ruption of the Catholic church, which led to the separation
(1886–1965) called this refusal to absolutize the relative the
of Protestants in the sixteenth century, was seriously ad-
“Protestant principle.” Thus on questions such as whether
dressed by the Council of Trent (1545–1563). The Council
suicide always precludes God’s forgiveness (Augustine’s
introduced long-needed reforms and firmly restated every
view) or whether abortion is ever justified, there has been
doctrine that had been challenged by the Protestant Reform-
some disagreement among Protestants because the biblical
ers. The results of the Counter or Catholic Reformation were
evidence is not clear enough to permit a definitive solution.
a conservative theology, a strict discipline, and a centraliza-
FAITH HEALING. Belief in miraculous healing has always ex-
tion of the church that remained in place until the Second
isted in Christianity, sometimes within the mainstream and
Vatican Council (1962–1965). By contrast, Vatican II
sometimes on the sectarian fringe of the movement. Al-
opened the floodgates to the liberalization and moderniza-
though there is little evidence that it was prominent in the
tion of the church. Among those practices that were retained
first three centuries, by the fourth it had emerged as a signifi-
after Vatican II was a ban on artificial contraception, which
cant component of the Christian view of illness. Claims of
was confirmed by Pope Paul VI in his encyclical Humanae
miraculous healing were ubiquitous in the Middle Ages. The
Vitae (1968).
Roman Catholic and Eastern Orthodox churches continue
to teach that miraculous healing is an ongoing phenomenon
Many popular forms of Catholic piety have remained
and a demonstration of God’s working in the church. Protes-
outside the control of the institutional structure of the
tants have historically claimed that miracles ended with the
church. There has existed within the church a tendency,
apostolic age. Although they have maintained that God heals
which was not limited to post-tridentine Catholicism, to blur
in answer to prayer (i.e., as a special providence), they have
the distinction between officially sanctioned rites and popu-
considered supernatural healing (i.e., healing apart from
lar practices. The officially sanctioned practices of venerating
means) to be rare. In the mid-nineteenth century, however,
relics and blessing animals, for example, seemed to many
faith healing became prominent in American Protestantism
Catholics not very different from popular cults that attribut-
largely through Methodist and Holiness influences. Some
ed supernatural healing to statues of the Virgin Mary. Al-
prominent Pietist preachers in Europe (e.g., Christoph
though educated Catholics might consider some manifesta-
Blumhardt in Germany and Otto Stockmayer in Switzer-
tions of Catholic piety that syncretized pagan survivals as
land) and evangelical ministers in the United States (e.g.,
superstitious, they reflected an important aspect of the Cath-
A. B. Simpson and A. J. Gordon) sought to reclaim a healing
olic faith. Hence there remained within the larger confines
ministry for the church.
of the church as much a place for supernatural healing as ex-
isted within Protestant Pentecostalism. Chief among them
At the turn of the twentieth century a new movement,
was the miraculous healing offered at pilgrimage sites.
Pentecostalism, claimed that the supernatural gifts of the
Lourdes in France, Fatima in Portugal, and Guadalupe in
Holy Spirit described in 1 Corinthians 12 and 14 (particular-
Mexico continued to draw large numbers of pilgrims year
ly supernatural healing and glossolalia or speaking in un-
after year despite modern advances in medicine that would
known languages) were normative for the church in every
seem to render them less attractive to pilgrims than in previ-
age. The movement began in 1901 with Charles Fox
ous centuries.
Parham, a faith healer, whose teachings spread to Los Ange-
les, where they led to the celebrated Azusa Street revival. Pen-
At the same time post-tridentine Catholicism retained
tecostalism, which grew rapidly in the first two decades of
and enlarged its vast reservoir of medical philanthropy. The
the twentieth century, taught that Jesus’ death on the cross
Sisters of Charity, founded by Saint Vincent de Paul (1580–
atoned not only for sin but for disease as well. Hence Chris-
1660), became a major force in caring for the sick. Catholics
tians could seek supernatural healing by the “prayer of faith.”
excelled in organizing and institutionalizing their medical
Pentecostalism produced many itinerant healers who
charities, including hospitals, most of which were main-
claimed to possess the gift of miraculous healing. Some prac-
tained by religious orders of women. Similarly missionaries
ticed exorcism, regarding demons as the cause of illness. A
to colonial areas often included a medical component and
minority of Pentecostals recognized medicine as an alterna-
much of their work focused on the founding of hospitals, le-
tive to supernatural healing, albeit an inferior one. The ma-
prosaria, and other health-related institutions.
jority rejected it as unfaithful to God’s unconditional prom-
CENTRAL THEMES IN CHRISTIAN HEALING. The relation-
ise to heal. In the last third of the twentieth century some
ship between Christianity and medicine is a complex one
Pentecostals modified their categorical rejection of medicine.
that is marked by a number of relatively consistent themes.
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3848
HEALING AND MEDICINE: ALTERNATIVE MEDICINE IN THE NEW AGE
In general, Christians have considered the body as a relative,
“Medicine and Christianity in the Modern World,” in
not an absolute, good. They have viewed health as a blessing
Health/Medicine and the Faith Traditions, edited by Martin
given by God, not (as did the Greeks) a virtue. Disease and
E. Marty and Kenneth. L. Vaux, pp. 133–60 (Philadelphia,
pain were material, although not moral, evils, the result of
1982); Ronald L. Numbers and Darrel W. Amundsen, eds.,
the fall of humanity, but they were often used under God’s
Caring and Curing: Health and Medicine in the Western Reli-
providential care to produce spiritual good. Hence a place
gious Traditions (New York, 1986; repr., Baltimore, Md.,
1997); and W. J. Sheils, ed., The Church and Healing,
existed in God’s world for suffering, as many spiritual writers
Studies in Church History 19 (Oxford, 1982).
have observed. Few serious Christians could anticipate a fu-
On medicine and healing in the early and medieval church, see
ture in this life in which bodily affliction would be complete-
Darrel W. Amundsen, Medicine, Society, and Faith in the An-
ly eliminated. In a world of sin, the curse of disease and phys-
cient and Medieval Worlds (Baltimore, 1996); Gary B. Fern-
ical suffering would always be present. Christians anticipated
gren, “Early Christianity as a Religion of Healing,” Bulletin
the resurrection of the body, in which illness and death, the
of the History of Medicine 66 (1992): 1–15 and “Early Chris-
final enemy, would be conquered.
tian Views of the Demonic Etiology of Disease,” in From
The majority of Christians at most times have consid-
Athens to Jerusalem: Medicine in Hellenized Jewish Lore and
in Early Christian Literature, edited by S. Kottek and H. F.
ered medicine a gift of God, offering relief to sufferers of ill-
J. Horstmanshoff, pp. 183–201 (Rotterdam, Netherlands,
ness. In nearly every era, miraculous healing has either com-
2000); and Owsei Temkin, Hippocrates in a World of Pagans
plemented medicine or, among a small minority who
and Christians (Baltimore, 1991).
repudiated all medicine as contrary to God’s will, replaced
The history of supernatural healing in the history of Christianity
it. Most Christians have not considered the use of medicine
is explored by Benjamin B. Warfield, Counterfeit Miracles
and the practice of healing through prayer to be incompati-
(1918; repr., Edinburgh, 1972). The standard history of hos-
ble. Believing that God is sovereign over life and death and
pitals is Guenter B. Risse’s Mending Bodies, Saving Souls: A
that God most often works through natural means, they have
History of Hospitals (New York, 1999). On clergy-physicians
prayed for healing through the use of medicine or, when it
in colonial New England, see Patricia A. Watson, The Angeli-
has failed, by miraculous means. When both have failed,
cal Conjunction: The Preacher-Physicians of Colonial New En-
Christians have always been encouraged to pray for patient
gland (Knoxville, Tenn., 1991). A comprehensive treatment
endurance of their suffering.
of Pentecostalism is David E. Harrell, Jr.’s All Things Are Pos-
sible: The Healing and Charismatic Revivals in Modern Ameri-
The New Testament and early Christian literature en-
ca (Bloomington, Ind., 1975).
joined Christian care, both on the individual and the corpo-
GARY B. FERNGREN (2005)
rate level, for those who were suffering from physical ills. Al-
DARREL W. AMUNDSEN (2005)
ready in the first century, the early church organized a
systematic effort to care for the sick through voluntary assis-
tance. It became so successful that it formed the basis for the
hospital, created at the end of the fourth century. Medical
HEALING AND MEDICINE: ALTERNATIVE
philanthropy has played a paramount role in Christian chari-
MEDICINE IN THE NEW AGE
ty among Christians of all persuasions. Historically, it has
Healing is a profoundly cultural activity. The labeling and
been the greatest contribution of Christianity to health care.
treating of a disease reflect a culture’s deepest understandings
of the causal powers affecting human well-being. For this
The impulse to philanthropy reflected the conviction
reason, the notion of orthodoxy pertains to medical systems
that human beings were created in the image of God, which
as surely as it does to religious or political traditions. Ever
gave to every individual an inherent worth. This, in turn,
since the Enlightenment, medical orthodoxy has been de-
formed the basis for a respect for life from conception to
fined by a commitment to the causal role of “material” fac-
death, which clearly distinguished the ethics of Christian
tors in the etiology of disease. Western medical science thus
physicians from the prevailing medical ethics of classical
emerged in direct opposition to the pre-Enlightenment wor-
polytheistic pluralism as it does in the twenty-first century
ldview within which the church supplied culturally compel-
from the bioethical consequentialism of secular pluralism.
ling explanations of nonmaterial or spiritual causes of disease
(e.g., sin or spirit possession), as well as corresponding strate-
SEE ALSO Christian Social Movements; Pentecostal and
gies for therapeutic intervention (e.g., confession or exor-
Charismatic Christianity; Protestantism; Reformation;
cism). The continual successes of medical science have
Roman Catholicism; Science and Religion.
understandably garnered wide cultural support for its under-
lying worldview. As a consequence, most educated Western-
BIBLIOGRAPHY
ers have implicitly endorsed a clear-cut division of labor
On the relation of Christianity to medicine and healing generally,
whereby religion continues its age-old practice of the cure of
see Darrel W. Amundsen and Gary B. Ferngren, “Medicine
souls, while scientific medicine uses its secular methods for
and Religion: Early Christianity Through the Middle Ages,”
healing the body.
in Health/Medicine and the Faith Traditions, edited by Mar-
tin E. Marty and Kenneth. L. Vaux, pp. 93–131 (Philadel-
The fact that a wide array of contemporary medical sys-
phia, 1982); Ronald L. Numbers and Ronald C. Sawyer,
tems continue to espouse theories that defy scientific ortho-
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HEALING AND MEDICINE: ALTERNATIVE MEDICINE IN THE NEW AGE
3849
doxy is therefore of particular interest to religious and cultur-
between the many dimensions that make up the universe.
al historians. Popular interest in alternative healing systems,
Closely connected with this doctrine of correspondence was
such as holistic healing methods, twelve-step programs, and
a corollary belief in the possibility of spiritual “influx.” That
Asian systems for self-purification, seems to indicate that a
is, it was believed that when a particularly harmonious rela-
fairly large number of Westerners subscribe to beliefs that be-
tionship or rapport is achieved between two dimensions, en-
long neither to science nor to the more genteel theologies of
ergies from the “higher” dimension flow automatically
our mainstream churches. Because these unorthodox healing
into—and exert positive influence within—the “lower” di-
systems contradict the materialistic assumptions underlying
mension. Each of the United States’ many metaphysical sys-
medical science, they are often taken to be propounding irra-
tems brought a distinct vocabulary to the explanation of
tional understandings of health and healing. Yet, strictly
these twin doctrines of correspondence and influx. The
speaking, any healing system is rational insofar as its methods
American public, however, took little effort to discriminate
of treatment are logically entailed by its fundamental prem-
between these metaphysical teachings and gradually blended
ises or assumptions about the nature of disease. We might,
them together to create a form of unchurched spirituality
for example, recognize at least four different types of explana-
that might be termed harmonial piety. As described by reli-
tions that could “rationally” be used to describe the cause of
gious historian Sydney Ahlstrom, harmonial piety consists of
disease and, therefore, healing: physiological, environmental,
all forms of belief and practice predicated upon the assump-
attitudinal or psychological, and spiritual or metaphysical
tion that physical health, spiritual composure, and even eco-
(i.e., caused by the activity of entities or forces that are con-
nomic well-being flow automatically from a person’s rapport
sidered to be both extrasomatic and extrapsychological).
with the cosmos. This harmonial piety, anchored as it was
Those propounding “metaphysical-cause” explanations of
in metaphysical understandings of the correspondence and
healing are thus not necessarily less rational than those en-
influx, defined the core commitments of the New Age move-
gaged in medical science. They are, however, advancing an
ment that came into cultural prominence during the 1970s
ontological claim concerning the existence of causal forces
and 1980s. Contemporary systems of alternative healing,
not recognized by contemporary scientific theory.
such as chiropractic, twelve-step programs, Therapeutic
Alternative healing systems thrive in contemporary cul-
Touch, crystal healing, and sundry holistic therapies, all in
ture precisely owing to their unorthodox articulation of a re-
some way utilize notions of health and healing born of this
ligiously charged interpretation of reality. Indeed, from a
metaphysical tradition.
cross-cultural perspective it is clear that one of the most im-
The best example of how the twin doctrines of corre-
portant functions of healing rituals is their capacity to induce
spondence and influx gave rise to alternative medicine is the
an existential encounter with a sacred reality. In traditional
gradual diffusion of mesmerism into the vocabulary of mid-
societies, healing rituals involve participants in the reenact-
dle-class Americans. Franz Anton Mesmer (1734–1815), a
ment of cosmological dramas: the shaman is both a healer
Viennese physician, claimed to have detected the existence
and mediator between the divine and human realms. And in
of a superfine substance or fluid that had until then eluded
the case of Christianity, Jesus’ healing was thought to be a
scientific notice. Mesmer referred to this invisible fluid as an-
sign of his divine nature and has subsequently been institu-
imal magnetism, owing to the fact that it is found in all living
tionalized as a function of Christian proclamation and minis-
creatures and seems to respond to the influence of magnets.
try. Yet, with the gradual divorce of physical healing from
He postulated that animal magnetism permeates the physical
the church’s routine activities, this means of introducing in-
universe. He further conjectured that it forms the medium
dividuals to a higher spiritual reality necessarily shifted to “al-
through which forces of every kind—light, heat, magnetism,
ternative” religious and medical traditions, such as those
electricity—pass as they travel from one physical object to
found in the New Age movement.
another. If for any reason an individual’s supply of animal
HEALTH AND HEALING IN NEW AGE METAPHYSICS. The
magnetism was thrown out of equilibrium, one or more bod-
term New Age defies strict definition. One can, however,
ily organs would consequently be deprived of sufficient
identify many of the basic themes in today’s alternative spiri-
amounts of this vital force and would begin to falter. “There
tual practices by tracing their historical origin in a cluster of
is,” Mesmer reasoned, “only one illness and one healing.”
nineteenth-century “metaphysical movements.” Transcen-
Therefore, because any and all illness can ultimately be
dentalism, Swedenborgianism, mesmerism, Mind Cure,
traced to a disturbance in the body’s supply of animal mag-
New Thought, Spiritualism, and Theosophy all claimed to
netism, medical science can be reduced to a set of simple pro-
have made bold new discoveries concerning humanity’s con-
cedures aimed at supercharging a patient’s nervous system
nection with a higher spiritual order. Their teachings espe-
with this mysterious life-giving energy.
cially appealed to progressive-minded persons who yearned
Mesmer and his followers were intrigued by the fact that
to reconcile their scientific and religious interests within a
their patients routinely entered into a hypnotic-like trance
single metaphysical system.
as magnets were passed over their bodies in an effort to in-
Common to these nineteenth-century metaphysical
duce the inflow of animal magnetism into their physical sys-
movements was their belief in the lawful “correspondence”
tems. “Mesmerized” patients fell into a peaceful trance and,
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3850
HEALING AND MEDICINE: ALTERNATIVE MEDICINE IN THE NEW AGE
upon awakening, pronounced themselves cured of their
healing systems in the United States thus goes well beyond
physical and emotional ailments. Many mesmerized patients
the explanation typically given by social scientists when they
also displayed paranormal mental powers, such as telepathy,
draw attention to the fact that these systems treat the whole
clairvoyance, and even communication with the spirit world.
person (as opposed to scientific medicine’s tendency to treat
Proponents extolled mesmerism as a spiritual technique for
relatively isolated biophysical symptoms). Indeed, the ongo-
producing the very condition of “correspondence” that tran-
ing popularity of metaphysical New Age systems is rooted
scendentalists and Swedenborgians had already claimed
squarely in their ability to bring explicitly religious under-
makes people susceptible to the influx of the currents of
standings to the issue of health and healing.
“universal being.” The mesmerists thus succeeded in giving
NEW AGE ENERGY MEDICINE. The metaphysical notions of
succinct medical expression to the harmonial vision. Illness
correspondence and influx have supported a variety of heal-
was understood to be the lack of mental or psychological cor-
ing systems based on belief in the existence and healing
respondence with higher spiritual dimension. Healing sim-
power of subtle spiritual energies. A perfect example can be
ply requires the use of physical and psychological techniques
found in the emergence of the alternative healing system that
for reestablishing this correspondence and thereby permit-
has gained the widest following, chiropractic medicine. Its
ting the inflow of the subtle energies that impart vitality and
founder, Daniel David Palmer (1845–1913), had studied
progressive movement throughout the universe.
both Spiritualism and mesmerism before concluding that
One American mesmerist, Phineas P. Quimby (1802–
there is a vital energy at work in the universe that is the ulti-
1866), reasoned that people’s thoughts function something
mate source of the body’s health and vitality. This energy,
like shunting valves that either connect them with or close
which he termed Innate, is itself a segment of god or the uni-
them off from animal magnetism, which he variously re-
versal intelligence that fills the universe. Palmer reasoned
ferred to as “vital force” or “divine spirit.” He concluded that
that humans remain in perfect health so long as this vital en-
“disease is the effect of a wrong direction given to the mind.”
ergy flows from the brain to the various organs of the body.
If people think spiritually and optimistically, they remain in-
But when the flow of this energy is blocked due to mis-
wardly receptive to the spiritual world and thereby maintain
aligned spinal vertebrae, one or more parts of the body will
physical vigor. If, however, they become embroiled in pessi-
begin to falter. Palmer, like Mesmer, thus concluded that
mism, materialism, or fear, they fall out of harmony with
there is one ultimate cause of illness and one ultimate cause
higher spiritual influences and fall victim to physical disease.
of all healing—the restoration of the flow of subtle spiritual
Quimby taught thousands of patients that by making appro-
energies. Palmer called his new medical philosophy chiro-
priate adjustments in their own thoughts they could establish
practic from the Greek words cheiro (hand) and prakitos
rapport with the very spiritual power that makes for health
(done or performed). At least nine million persons visit the
and overall prosperity. One such patient, Mary Baker Eddy
forty thousand chiropractic physicians currently practicing
(1821–1910), transformed Quimby’s teachings into Chris-
in the United States. And although the majority of these pa-
tients receive little or no instruction about the healing power
tian Science. Others, including Warren Felt Evans (1817–
of Innate, chiropractic medicine nonetheless remains a prin-
1889), expanded Quimby’s teachings into what became
cipal source from which millions of Americans have been in-
known as the Mind Cure (or New Thought) movement. The
troduced to the healing power of spiritual energies not recog-
latter advocated not only positive thinking but also the culti-
nized by scientific medicine.
vation of certain mystical states to reestablish inner corre-
spondence with higher spiritual realms (and the healing ener-
A second example of New Age “energy medicine” is the
gies that flow automatically once such correspondence is
system of Therapeutic Touch. Dolores Krieger, a nursing in-
established). In so doing, advocates of Mind Cure and New
structor at New York University and student of Theosophi-
Thought injected a metaphysical vocabulary into popular
cal teachings, working with Dora Kunz, former president of
American culture that would be rediscovered in the last dec-
the Theosophical Society in America, developed a healing
ades of the twentieth century by proponents of New Age
technique predicated upon the existence of a universal energy
healing systems.
underlying all life processes. Krieger explains that this energy,
which she refers to by using the Hindu term prana, naturally
Mesmerism, as with other metaphysical movements
instills a higher spiritual dimension into every living organ-
such as Spiritualism and Theosophy, was thus a forerunner
ism. So long as individuals remain inwardly receptive to the
of the many New Age healing systems proclaiming belief in
inflow of this vital energy they will remain healthy; illness
the causal power of “subtle energies.” Historian Catherine
ensues when prana is no longer flowing freely into the physi-
Albanese suggests that belief in the subtle energies of spirit
cal system.
is the most distinctive feature of New Age spirituality. In the
New Age movement, to be spiritual is equivalent to being
Recapitulating Mesmer’s science of animal magnetism
sensitive to subtle energies and responding to them both by
in nearly every detail, Krieger devised a system of practices
cultivating states of inner receptivity and by cultivating men-
for nurses to use in their efforts to “channel” prana into pa-
tal attitudes that utilize these energies to create bodily and
tients. She explains that healers must themselves become in-
worldly prosperity. The sustained presence of metaphysical
wardly receptive to the flow of this spiritual energy. New-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEALING AND MEDICINE: ALTERNATIVE MEDICINE IN THE NEW AGE
3851
comers to the field are guided along an “archetypal journey,”
ture of many medical treatments. Yet many holistic healing
whereby they learn to explore the farther reaches of the psy-
systems have gone further still and addressed themselves to
che. Nurses trained in medical science are encouraged to read
the treatment of the body, mind, emotions, and spirit. The
books on yoga, Tibetan mysticism, and the relationship be-
introduction of the term spirit alongside body, mind, and
tween the “new physics” and Eastern religious traditions.
emotions takes holistic conceptions of healing well beyond
The goal is to help them open up their own internal energy
psychosomatic models and stakes out a bold metaphysical
centers (referred to as chakras, a term drawn from esoteric
understanding of reality. In some cases this amounts to little
forms of yoga and largely introduced to Western culture
more than a romanticization of the body’s self-regenerative
through Theosophy-inspired movements) and to become
and self-reparative tendencies. Yet in other cases it also in-
more receptive to the inflow of prana into their own systems
cludes a bolder ontological claim that the whole of nature
so that they might in turn channel it to their patients.
is suffused with an immanent spiritual force. And, in still
other cases, metaphysical conceptions of the human psyche
This interest in helping persons release subtle healing
are invoked to suggest the human system is susceptible to the
energies by opening their chakras is common to most forms
influx of higher spiritual powers.
of New Age medicine. For example, Caroline Myss has syn-
thesized her knowledge of Theosophy, the work of Dolores
Among the best-known spokespersons for holistic heal-
Krieger, and the trance-channeled wisdom of A Course in
ing in the late twentieth century were Norman Cousins and
Miracles into a healing philosophy predicated upon the caus-
Bernard Siegel. Both offered inspiring visions of humanity’s
al role of the chakras. Myss has published several best-selling
potential for self-regeneration that broadly hinted at the
books and videotapes that explain how each chakra is associ-
mind’s susceptibility to influence from metaphysical forces.
ated with specific emotional issues. By helping people gain
Cousins, for example, suggested that his studies of the mind’s
insight into their “energy anatomy,” Myss believes they can
full potential to avail itself of cosmic healing energies also
learn to open their chakras and facilitate the flow of the ener-
suggests new directions and new possibilities in future
gy needed to sustain physical health, emotional well-being,
human evolution. Siegel was even more forceful in linking
and sustained growth toward higher levels of spiritual con-
holistic healing with a decidedly metaphysical conception of
sciousness.
the human condition. He had cancer patients read books on
meditation and psychic phenomena so that they might awak-
Other New Age energy healers make use of rock crystals.
en their own latent abilities to tap into higher healing ener-
Belief in the healing properties of crystals is frequently associ-
gies. According to Siegel, we are not far from the creation
ated with shamanic traditions, including those of Native
of a “theophysics” that will demonstrate how all people have
Americans. Western interest in the occult powers of crystals,
a divine energy available to them through a collective uncon-
however, is more directly linked with Baron Charles von Re-
scious, and if they open themselves to this energy there is no
ichenbach’s studies in the 1840s and 1850s. Reichenbach
limit to the health and vitality they can express in their lives.
took up the scientific study of Mesmer’s theory of animal
magnetism and ultimately devised his own theory concern-
Perhaps the most successful of all holistic health systems
ing the power of quartz crystals to restore the flow of a subtle
is Alcoholics Anonymous (AA) and the many twelve-step
healing energy throughout the body. Today’s crystal healers
programs it has launched. The founder of AA, Bill W., ap-
are likely to extol the ability of quartz crystals to capacitate
propriated the psychological theories of both William James
and refract the spiritual energies that enter humans through
and Carl Jung to explain how every person might make inner
their chakras. Many New Age healers combine the use of
connection with a higher spiritual power. Describing AA as
crystals with various forms of meditation, believing that the
“a spiritual rather than a religious program,” Bill W. con-
crystals amplify the mind’s innate powers to make contact
tended that the restoration of personal wholeness is impossi-
with the higher spiritual dimensions from which spiritual
ble without letting go of our personal will and finding inner
healing energies flow.
harmony with a spiritual power he preferred to describe in
metaphysical rather than biblical terms.
THE HOLISTIC HEALTH AND HUMAN POTENTIAL MOVE-
MENTS. Ever since Quimby and the nineteenth-century
There are numerous other varieties of holistic systems
Mind Cure movement, there has been an identifiable subcul-
that utilize metaphysical explanations of the causal forces re-
ture in Western nations that has explored novel systems for
sponsible for healing: acupuncture, iridology, massage and
integrating the mind, body, and spirit. The 1970s witnessed
various forms of “bodywork,” meditation and visualization,
a revival of such interest as a variety of new systems appeared,
Ayurvedic medicine, shiatsu, transpersonal psychologies, and
all aiming to help persons achieve optimal health and all rife
New Age shamanism. Many of these might also be described
with imagery drawn from Western metaphysical traditions.
as constituting the Human Potential movement that also has
Many of these systems sought to distinguish themselves from
roots in the Western esoteric and metaphysical traditions.
scientific medicine by invoking the notion of “holistic heal-
Common to these systems is the belief that conformity to so-
ing.” Part of the appeal of holistic approaches to healing was
cietal expectations comes at a price. Modern individuals have
their pronounced concern for individuals as both physical
lost awareness of their deeper selves and their deeper poten-
and emotional beings, in contrast to the depersonalized na-
tials for creativity and transcendence. Full human health
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3852
HEALING AND MEDICINE: HEALING AND MEDICINE IN A¯YURVEDA AND SOUTH ASIA
therefore requires far more than just eliminating illness. It
Melton, J. Gordon, Jerome Clark, and Aidan Kelly, eds. New Age
also requires utilizing physical and psychological techniques
Encyclopedia. Detroit, 1990.
for promoting awareness of the full range of one’s creative
ROBERT C. FULLER (2005)
powers, including the power for complete spiritual enlight-
enment and union with the godhead.
ALTERNATIVE HEALING, ALTERNATIVE SPIRITUALITY. Most
HEALING AND MEDICINE: HEALING AND
of the alternative healing systems that have attracted popular
MEDICINE IN A
¯ YURVEDA AND SOUTH ASIA
followings proclaim the existence and causal power of spiri-
A¯yurveda is one of several traditional medical systems that
tual energies unrecognized by either scientific or religious or-
originate from the Indian subcontinent. It is now represent-
thodoxy. Adherents of these groups are typically white,
ed as the indigenous Indian medical tradition par excellence.
urban or suburban, and have more education and higher in-
As is the case with other Indian medical systems, the origins
comes than the general population. The impress of secular-
of A¯yurveda long predate the formation of an Indian nation
ization has made biblical religion problematic to them, and
and are not necessarily set within its geographical bounda-
yet scientific rationality has failed to sustain their general op-
ries. In the context of the history of medicine, therefore, “In-
timism or to meet their desire for experiential connection
dian” often denotes quite a large area within South Asia. A
with the sacred. Alternative healing systems have thrived in
second great tradition of medicine, called Siddha, developed
a particular cultural niche, appealing to persons who yearn
in the south of India. It is less well known outside of India,
to find spiritual fulfillment while reluctant to join established
but of similar antiquity and authority to A¯yurveda. Other
religious institutions. Their doctrines (myths) and therapeu-
medical systems, originating from countries outside the Indi-
tic techniques (rituals) function much like the initiation rites
an subcontinent, have been integrated into its cultures and
of archaic religions and mystery cults in that they provide an
now form part of its medical traditions. The earliest, and per-
experiential encounter with a more-than-physical reality.
haps most important of these systems to be imported and ac-
Newcomers are helped to discard a no-longer functional
culturated is U
¯ na¯n¯ı medicine. Much later, but equally signif-
identity and to discover new and unsuspected sources of
icant, additions were homeopathy and naturopathy. A
comfort and power. The existence and continued popularity
different development has taken place in the case of Yoga.
of New Age healing systems testifies to their enduring capaci-
Here, an indigenous knowledge system has been reinter-
ty to enable otherwise secular persons to symbolize what, at
preted as the focus has shifted from the philosophical tradi-
the deepest level of mystery, is the ultimate source and mean-
tion to the health-related aspects of postural and meditative
ing of their lives.
Yoga practice. The developments within the old traditions
S
with their long and varied histories, the addition of new tra-
EE ALSO Christian Science; Eddy, Mary Baker; New Age
Movement; New Thought Movement; Spiritualism; Swe-
ditions to the established ones, their interrelations and the
denborgianism; Theosophical Society; Transcendental Medi-
interweaving of medical thought with a changing religious,
tation.
political, and cultural climate, all form a rich and complicat-
ed pattern of medical and social history. The developments
BIBLIOGRAPHY
starting in the early twentieth century toward the moderniza-
Ahlstrom, Sydney. A Religious History of the American People. New
tion and professionalization of medicine have brought these
Haven, 1972. Although known for its comprehensive treat-
and other medical systems into a common frame of health
ment of “consensus religion” in the United States, the chap-
policy and legislation, as health has become the responsibility
ters on “Harmonial Religion since the Later Nineteenth
of the government. Thus, the more recent history of tradi-
Century” and “Piety for the Age of Aquarius” help situate the
tional Indian medicine is shaped by health politics. At the
New Age movement in the larger sweep of American reli-
same time, the sphere of its influence has widened, as
gious history.
A¯yurveda and other traditional medical systems have come
Albanese, Catherine. “The Subtle Energies of the Spirit: Explora-
to the attention of an international public, taking a position
tions in Metaphysical and New Age Spirituality.” Journal of
beside other complementary and alternative therapies.
the American Academy of Religion 67 (1999): 305–326.
Eisenberg, David. “Unconventional Medicine in the United
THE TEXTUAL TRADITION OF A¯YURVEDA. The A¯yurvedic
States: Prevalence, Costs, and Patterns of Use.” New England
medical tradition has a lively history of more than 2,000
Journal of Medicine 328 (1993): 246–252.
years, during which it has continually developed. This devel-
Fuller, Robert. Alternative Medicine and American Religious Life.
opment has been accompanied by continuous textual pro-
New York, 1989.
duction, resulting in an enormous corpus of literature.
Gevitz, Norman, ed. Other Healers: Unorthodox Medicine in Amer-
A¯yurvedic literature not only makes it possible to reconstruct
ica. Baltimore, 1988.
the history of A¯yurvedic thought and practice, it also adds
Hanegraaff, Wouter. New Age Religion and Western Culture: Es-
to the general understanding of Indian history from its antiq-
otericism in the Mirror of Secular Thought. Albany, N.Y.,
uity to the present. It encompasses a wide range of topics that
1996.
go beyond simple medical instructions, constructing a com-
McGuire, Meredith. Ritual Healing in Suburban America. New
plex worldview from philosophical, religious, political, and
Brunswick, N.J., 1988.
social perspectives.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEALING AND MEDICINE: HEALING AND MEDICINE IN A¯YURVEDA AND SOUTH ASIA
3853
A¯yurveda’s beginnings, as known from early classical
modern A¯yurvedic texts. However, only one manuscript of
Sanskrit treatises, are predated by instances of medical
this work survives and its importance for the development
knowledge found in Vedic literature. A¯yurvedic tradition
of A¯yurvedic thought does not parallel that of the treatises
postulates a direct lineage with Vedic medicine and refers to
of Caraka and Su´sruta.
its medical system as an appendix to the Atharvaveda. Debi-
Chronologically, next to be mentioned is the collection
prasad Chattopadhyaya, in Science and Society in Ancient
of medical and divinatory texts dated to the sixth century,
India (1977), was the first to contest the traditional view that
now commonly referred to as the “Bower Manuscripts.” The
A¯yurveda developed directly from the medicine of the Vedas,
manuscripts were found buried close to a monastery situated
pointing to strong conceptual and epistemological differ-
near the old Silk Route trading stop of Kuqa, which testifies
ences between Vedic and A¯yurvedic medicine. Kenneth G.
to the presence of Indian medicine in Inner Asia in the early
Zysk, in Asceticism and Healing in Ancient India (1998), has
sixth century CE.
subsequently shown that A¯yurvedic theory generally does not
rely on Vedic medicine although A¯yurvedic literature uses
A work of major importance was composed by
Vedic imagery and mythology to evoke a sense of continuity
Va¯gbhat:a in the early seventh century. Together with the
with the past and to establish legitimacy in a society domi-
two older treatises, it is part of the “great threesome”
nated by Brahmanic ideology. According to Zysk, the roots
(Skt., br:hattray¯ı) of A¯yurveda. Va¯gbhat:a’s treatise, the
of A¯yurveda lie in the medical knowledge of wandering ascet-
As:t:a¯n˙gahr:daya Sam:hita¯ (The heart of medicine), is a summa-
ics, most notably Buddhist monks. This is corroborated by
ry of medical knowledge, extracting the essence of medicine,
the fact that Buddhist texts reveal the first glimpses of a sys-
as its title suggests, from previous works in an attempt to syn-
tematized medicine similar to A¯yurvedic theories expounded
thesize, unify, and put into order their contents. This text-
in the classical treatises.
book soon gained great popularity and was widely dissemi-
The classical era of A¯yurveda begins with the medical
nated throughout India and beyond. Foreign translations of
treatise of Caraka—the Caraka Sam:hita¯—which is written
the As:t:a¯n˙gahr:daya Sam:hita¯ were appearing within a century
in Sanskrit and dates to about the first century
of its composition and copies of the medical textbook are
CE, though
its foundations most likely go back to a much earlier time.
found in abundance in manuscript libraries both in North
Caraka (Su¯trastha¯na 30.28) presents the first systematized
and in South India. The As:t:a¯n˙gahr:daya Sam:hita¯ is in many
medical theory of Indian antiquity, formally dividing medi-
ways the most important A¯yurvedic text. Its doctrines are
cine into eight branches (Skt., as:t:a¯n˙ga):
widely regarded as authoritative and form an integral part of
modem A¯yurvedic education and practice.
1. Ka¯yacikitsa¯ (devoted to general medicine).
2. S´a¯la¯kya (devoted to the surgical treatment of body parts
Three later works have similar status to that of the “great
above the shoulders).
threesome” and are called the “lesser threesome.” These are
the works of Ma¯dhava (c. 700 CE), S´a¯rn˙gadhara (c. 1300),
3. S´alya¯pahartr:ka (devoted to the removal of foreign bo-
and Bha¯vami´sra (sixteenth century). Ma¯dhava’s work on the
dies—surgery).
causes and symptoms of diseases was widely read and set the
4. Vis:agaravairodhikapra´samana (devoted to toxicology).
pattern for later systematic descriptions of diseases. It is cited
5. Bhu¯tavidya¯ (devoted to the treatment of possession by
by al-T:abar¯ı in the Firdaws al H:ikmah. S´a¯rn˙gadhara’s com-
various supernatural beings).
pendium is one of the most successful A¯yurvedic books ever
6. Koma¯rabhr:tyaka (devoted to pediatrics).
written, as the great number of copies found in libraries
across India testifies. More recently, the pharmaceutical in-
7. Rasa¯yana (devoted to the preparation of life-prolonging
dustry has made use of its recipes in the manufacture of
tonics).
A¯yurvedic products. Bha¯vami´sra’s work is innovative in sev-
8. Va¯j¯ıkaran:a (devoted to aphrodisiacs and treatments re-
eral respects. It is perhaps most noteworthy that he intro-
lating to virility).
duced the subject of syphilis to Indian medicine.
While later texts do not slavishly follow this division into
Translations of passages in the above-mentioned works
eight general subjects, the term as:t:a¯n˙ga thereafter becomes
can be found in Dominik Wujastyk’s Roots of A¯yurveda
a synonym for medicine. Later works often refer to Caraka,
(2003). However, this selection of medical works only forms
and today the Caraka Sam:hita¯ is part of the curriculum
the tip of the iceberg. To give just a few examples, further
taught in modern A¯yurvedic colleges in India.
remarkable works include the numerous encyclopedias and
The Caraka Sam:hita¯ is chronologically followed by the
dictionaries containing A¯yurvedic material, such as the
Su´sruta Sam:hita¯, which probably reached its present form
Ma¯nasolla¯sa (twelfth century), the Laks:man:otsava (fifteenth
around the third century CE. Its most important addition to
century), the A¯yurveda saukhya of the T:od:ara¯nanda (six-
medical history is its information on surgical operations.
teenth century), the V¯ıramitrodaya (seventeenth century),
These very advanced surgical methods are neither mentioned
the S´ivatattvaratna¯kara (early eighteenth century), the
in the Caraka Sam:hita¯ nor in later A¯yurvedic works.
Vaidyaka´sabdasindhu (late nineteenth century), and the
The only other surviving treatise that belongs to this
Br:hannighan:t:uratna¯kara (late nineteenth to early twentieth
early period is the Bhela Sam:hita¯, which is quoted in pre-
century).
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3854
HEALING AND MEDICINE: HEALING AND MEDICINE IN A¯YURVEDA AND SOUTH ASIA
Julius Jolly’s Indian Medicine (1994) is still a useful ref-
ly motivated by compassion for his suffering fellow beings,
erence for the A¯yurvedic textual tradition. However, Gerrit
the physician’s task is to alleviate bodily and mental discom-
Jan Meulenbeld’s History of Indian Medical Literature
fort and to help restore health through administering medi-
(1999–2002) offers the most comprehensive and thorough
cine or providing other forms of therapy. The other very im-
overview. This magnum opus is an invaluable source for
portant part of the profession would be to give advice on the
A¯yurvedic studies and certainly the most important work of
prevention of disease: that is, on how to lead a good and
its kind to date. Other reference works are written in Indian
healthy life, broadly understood.
vernacular languages, as for example the Hindi A¯yurved ka¯
Vaijña¯nik Itiha¯s (1975) by P. V. Sharma.
Health is interpreted not only as the absence of illness
but as a state of complete well-being. The individual’s condi-
THE PRINCIPLES OF A¯YURVEDA. Far from comprising a uni-
tion can only be fully understood within the context of soci-
form theoretical body, the various A¯yurvedic sources differ
ety at large and of the person’s environment. This has been
considerably in their statements on the fundamental princi-
discussed by Francis Zimmermann in his groundbreaking
ples of A¯yurveda. Given A¯yurveda’s large and varied litera-
book The Jungle and the Aroma of Meats (1987). Caraka
ture, and that it is a living and changing tradition that looks
back at more than 2,000 years of development, this is hardly
(S´a¯r¯ırastha¯na 5.3) defines the connection of humans with
surprising. New theories and treatment methods evolved, old
nature as one mirroring the other. The microcosmic human
ones were mostly recounted with respect, but sometimes
reflects the macrocosm of the universe and ultimately of all
openly disputed and sometimes silently replaced. The use of
there is, and vice versa—a concept that already appears at an
the materia medica changed due to the availability of plants
early stage of Vedic literature as the conceptual basis of
and of other resources, and new environments and ways of
sacrifice.
living changed the basic assumptions of the older texts. Thus,
Within the physical body of the human, health is under-
though the sources certainly share common features that
stood as the proper functioning of certain processes that are
make it possible to define them as part of the A¯yurvedic med-
based on the body’s inherent structure of fluids and channels.
ical system, any overall definition of the basic tenets of
The A¯yurvedic view of the human body differs substantially
A¯yurveda is necessarily a selective construct. To arrive at
from the biomedical understanding of anatomy. Thus, the
more precise and coherent definitions of A¯yurvedic theories,
As:t:a¯n˙gahr:daya Sam:hita¯ states that dos:as, dha¯tus, and malas
research often focuses on a certain period of time or on cer-
are the root of the body (Su¯trastha¯na 11.2). These three San-
tain texts. Here, the main sources used to represent the
skrit technical terms are used to describe the physical and (to
A¯yurvedic opinion will be the treatises of Caraka and Su´sruta
a limited extent) the mental processes involved in the causing
and Va¯gbhat:a’s As:t:a¯n˙gahr:daya Sam:hita¯, with a strong em-
of health and disease. Their translation presents a set of diffi-
phasis on the latter text. It should be kept in mind, however,
culties, as their literal translation does not fully convey their
that there exist other versions of the A¯yurvedic doctrines
meaning. The word dos:a, for example, is derived from the
presented here, as well as altogether different approaches.
causative of the verb root dus:, which literally translates as “to
The term A¯yurveda translates as “the knowledge [Skt.,
spoil” or “to corrupt” (Monier-Williams et al., 1899,
veda] of longevity [Skt., a¯yus].” This name points to a funda-
p. 488). The negative connotation of something that causes
mental characteristic of A¯yurvedic medicine expressed in the
damage is definitely inherent to the understanding of the
classical texts, namely that its emphasis is on establishing
dos:as, but as the above citation of the As:t:a¯n˙gahr:daya Sam:hita¯
ideal conditions for living a long life. Health is not only a
shows, they are also positively interpreted as an essential part
goal in itself, but, perhaps more importantly, the means by
of the body. Translations often use the term humor for dos:a,
which to achieve longevity. According to Caraka
as there are strong parallels (if also differences) between the
(Su¯trastha¯na 1:15), a long life offers the human being the op-
dos:a theory and the Greek humoral system. Generally, a dos:a
portunity to fulfill the “four duties” (Skt., caturvarga)—
is a substance that flows or circulates within the body and
namely ka¯ma, artha, dharma, and moks:a. The connections
fulfills particular functions within it. A¯yurvedic theory usual-
between the trivarga (excluding moks:a)—or caturvarga—and
ly speaks of three dos:as, namely wind (va¯ta), bile (pitta), and
medical theory are discussed by Arion Ro¸su in “Études
phlegm (kapha or ´sle´sman), often also glossed somewhat
a
¯yurvédiques: Le trivarga dans l’a¯yurveda” (1978). The re-
more glamorously as wind, fire, and water, in analogy to
sponsibility to fulfill these duties can be extended to main-
their presumed properties. There are also occasional refer-
taining health: each person is an active participant in estab-
ences to four dos:as, most notably in the Su´sruta Sam:hita¯
lishing the grounds for a long life (or the reverse) by living
(Su¯trastha¯na 21.28), blood being added as the fourth. Each
(or not living) according to certain standards, which are de-
of these dos:as is located mainly in a particular area of the
fined in the A¯yurvedic texts. The medical manuals not only
body, though they can also move around along special chan-
provide the professional physician with specialized instruc-
nels without causing damage. Thus, va¯ta is mostly situated
tions on medical practice, but also offer the general public
in the large intestine, pitta in the navel, and kapha in the
a wide range of practical advice on different aspects of life.
chest and above. Their functions are summarized in the
The physician’s role is complementary to the efforts made
As:t:a¯n˙gahr:daya Sam:hita¯ (Su¯trastha¯na 1.1–3) as follows: Va¯ta
by those afflicted with disease and by the healthy alike. Ideal-
gives the body strength, activates speech, body, and mind,
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3855
induces the evacuation of the intestinal tract, supports the
various symptoms of illness. The increase or decrease of a
dha¯tus, and sharpens the senses. Pitta regulates digestion,
dha¯tu effects the dha¯tu chain, one dha¯tu vitiating the next,
body heat, sight, hunger, thirst, and appetite. It makes the
which in turn leads to conflicting symptoms and complicates
body soft and supple. On a mental level it gives understand-
diagnosis. The treatment of dha¯tu-related illnesses is fairly
ing, intelligence, and courage. Kapha gives the body firmness
straightforward in contrast to their diagnosis: an illness that
and smoothness and holds the joints together. Its psychologi-
is diagnosed as an excess of blood is countered with bloodlet-
cal quality is patience.
ting; an excess of flesh, (e.g., a tumor), with its removal. The
decrease of dha¯tus on the other hand, is counteracted with
Disease is often defined as an imbalance of the dos:as.
appropriate nutrition, based on the principle that what has
However, this is only part of the picture and does not repre-
been lost should be added again.
sent the full A¯yurvedic explanation of how the dos:as cause
disease, as a closer look at the specifications of the texts re-
The malas are called the third root of the body. Mala
veals. Va¯gbhat:a, for example, uses the metaphor of balance
as a medical term denotes any bodily excretion or secretion—
and imbalance, but explains that imbalance denotes a change
that is, urine, feces, and sweat, but also mucus, earwax, and
in quantity as well as the dislocation of a dos:a. The quantity
tears. The As:t:a¯n˙gahr:daya Sam:hita¯ (Su¯trastha¯na 11.5) ex-
of a dos:a can both increase and decrease, which leads to vari-
plains that feces sustain the body, urine evacuates the fluids,
ous symptoms of disease. The increase of a dos:a is a process
and sweat holds the fluids inside. The treatment of mala-
that evolves in two stages: its accumulation (Skt., caya) and
related illnesses corresponds to the treatment of the dos:as in
its subsequent surge (Skt., kopa), in which the dos:a leaves its
that the malas increase and decrease, but also because the
own area. The symptoms for accumulation are different from
dos:as are seen as the underlying cause of the increase or de-
those for the surge, which causes a graver condition of disease
crease of the malas.
that is more difficult to treat. Thus, the state of the
There are, however, also other forces at work on the
dos:as—that is, whether they are increased or decreased, in a
body. One central concept is that of a¯ma, which is the prod-
stage of accumulation, or in surge—is relevant for treatment,
uct of improperly digested food that has turned to poison in
as they require different measures. However, differences in
the body. As a poison, it vitiates the dos:as and the dha¯tus and
treatment based on distinctions between decrease and in-
causes the disruption of their course of flow or development.
crease, accumulation and surge, are so subtle as to nearly jus-
The descriptions of what the vitiation of a dos:a means or of
tify the sweeping statement that the imbalance of the dos:as
how exactly the disruption of flow is effected are somewhat
causes disease.
vague. The general concept is that a¯ma can in various ways
The second component the As:t:a¯n˙gahr:daya Sam:hita¯
block the channels through which the dos:as are meant to
names as the root of the body is the dha¯tus, literally “constit-
move. Treatment aims at ridding the body of this unwanted
uent parts” or “elements.” In a medical context, these are de-
substance and consequently focuses on cathartic procedures
fined as elements or essential ingredients of the body, namely
using purgatives, enemas, and emetics.
chyle (i.e., food that has undergone the first process of diges-
It has been mentioned above how the theory of the three
tion), blood, flesh, fat, bone, marrow, and semen. To this
dos:as affects treatment. An interesting aspect of A¯yurvedic
list of seven dha¯tus, hair, skin, and sinews are sometimes
medical practice, however, is that treatment is in many cases
added. The dha¯tus are thought to evolve in succession from
not necessarily dependent on theory. An infection of the ure-
each other: semen from marrow, marrow from bone, bone
thra, for example, will commonly be treated with turmeric.
from fat, and so on. Confusingly, the dos:as are also some-
In modern A¯yurvedic treatment, the identification of the
times called dha¯tu, particularly to denote their positive quali-
urethra as the site of infection and the understanding of in-
ty of sustaining the body. This has been addressed by Hart-
fection are based on modern medical conceptions that do not
mut Scharfe in “The Doctrine of the Three Humors in
occur in classical A¯yurvedic literature. However, stereotyped
Traditional Indian Medicine and the Alleged Antiquity of
diagnosis and treatment disregarding the theory of the indi-
Tamil Siddha Medicine” (1999), in which he argues that the
vidual constitution also forms an intrinsic part of premodern
usage of dha¯tu in lieu of dos:a goes back to an older under-
A¯yurvedic medicine, as Gerrit Jan Meulenbeld has pointed
standing of the dos:as found in the Buddhist Pali canon, in
out in “The Surveying of Sanskrit Medical Literature”(1984;
which dos:a unambiguously denotes a negative force causing
pp. 44–46). A urethra infection can be explained as the
disease.
symptom of excess pitta and the use of turmeric as counterac-
tive to the heat-related dos:a because of its cooling properties.
The dha¯tus shape the physical body but also have sepa-
This, however, does not influence the primary prescription
rate functions that are specified in the As:t:a¯n˙gahr:daya Sam:hita¯
that pain in the urinary tract should be treated with turmeric.
(Su¯trastha¯na 11.4) as follows: chyle causes the sensation of
delight, blood is a stimulant and increases the life force, meat
In short, A¯yurveda offers more than one solution to
covers the bones, fat regulates the greasiness (for example of
medical problems. While the abundance of often conflicting
the eyes), the bones keep the body upright, marrow fills the
material on A¯yurveda is vexing for the historian or the sociol-
bone, and semen is responsible for procreation. Parallel to
ogist trying to delineate A¯yurvedic theory, the maxim “what-
the dos:as, the dha¯tus also can increase or decrease, causing
ever works is right” seems to have been sufficient for the
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A¯yurvedic practitioners who have continued and developed
Debates on the role and position of indigenous medical
the tradition of A¯yurveda from its beginnings.
systems within Indian health policy have a long history,
The best overview of A¯yurvedic theory and treatment
which is interlinked with colonial health policies on the one
procedures is probably still Jolly’s Indian Medicine. Wujas-
side and Indian nationalism on the other. Among the indige-
tyk’s Roots of A¯yurveda offers a good selection of translated
nous medical systems, A¯yurveda takes the first place (fol-
texts pertaining to A¯yurvedic principles and procedures and
lowed by U
¯ na¯n¯ı), as measured by the number of its practi-
Guy Mazars in La médecine indienne (1995) gives a very con-
tioners, institutions, manufacturers, and political bodies.
cise and accessible introduction to A¯yurveda. S. K. Rama-
While the well-developed infrastructure testifies to its suc-
chandra Rao’s Encyclopedia of Indian Medicine deals with
cess, the professionalization and institutionalization of
A¯yurvedic theory in more detail. However, for an in-depth
A¯yurveda has been a long and troubled process. In the first
understanding of A¯yurveda, the primary sources themselves,
third of the nineteenth century, British health and education
which are increasingly available in translation, are of funda-
policy started to emphasize support for the modern system
mental importance.
of biomedicine. This resulted in the patronage of modern
T
medical colleges and hospitals and ultimately produced a
HE POLITICS OF A¯YURVEDA. In 1970 the Indian parliament
passed the Indian Medicine Central Council Act (IMCCA),
number of practitioners with a medical reputation superior
setting up a central council for the indigenous medical sys-
to that of traditional practitioners. The direct effects of Brit-
tems of A¯yurveda, Siddha, and U
¯ na¯n¯ı. The council is re-
ish policy on indigenous medicine, however, date to a much
sponsible for laying down and maintaining uniform stan-
later period, when Indians were admitted to the biomedical
dards of education and for regulating practice in these
colleges and health services were extended to the Indian pub-
systems. It also prescribes the standards of professional con-
lic. To meet the competition of the new system and to show
duct and etiquette, and the code of ethics for practitioners
the value of their science, traditional practitioners needed to
of Indian Systems of Medicine (ISM). The IMCCA of 1973
(re)define the theoretical foundations of their medical system
added homeopathy to the list, changing ISM to Indian Sys-
and to formulate their professional identity. In the case of
tems of Medicine and Homeopathy (ISM&H). Yoga and na-
A¯yurveda this meant the birth of a new era, as A¯yurvedic
turopathy (and a number of local health traditions) are rec-
practitioners had never before organized themselves into one
ognized as ISM by the Indian government, but do not
uniform body. The traditional education system, which is
receive the same amount of funding and also are not centrally
still predominant in religious teaching and in other disci-
regulated by the Indian Medicine Central Council (IMCC).
plines in India today, had been that of pupilage; that is, the
Yoga was included as a research subject by the Central Coun-
passing down of knowledge from teacher to one or several
cil for Research in Indian Medicine and Homeopathy
pupils, from father to son, or from uncle to nephew. This
(CCRIM&H), founded in 1969, and naturopathy was
led to the formation of medical lineages or schools, as famous
added as a research subject in 1978, when the CCRIM&H
teachers could have quite a large following.
was divided into separate councils, isolating homeopathy and
One step toward a modernized A¯yurveda, therefore, had
U
¯ na¯n¯ı and coupling A¯yurveda with Siddha and Yoga with
to be a break with the educational tradition of pupilage to-
naturopathy. S. K. Mishra outlines these developments in his
ward an expanded college system, in order to keep up with
article “Ayurveda, Unani, and Siddha Systems: An Overview
the growing number of graduates and license holders that the
and Their Present Status” (2001).
biomedical colleges were producing. Another was to form a
Thus, with the IMMCA of 1970, the Indian govern-
unified theory of the A¯yurvedic medical system, to present
ment for the first time officially recognized A¯yurveda, Sidd-
as the voice of A¯yurveda at a political and ideological level
ha, and U
¯ na¯n¯ı as national systems of medicine, and at the
and to shape the curriculum of the colleges. Following the
same time it centralized their administration in order to set
Orientalist ideology that the “purest” and most original
an all-India standard. The Central Council Act was the result
forms of A¯yurveda must be found in the oldest texts, it was
of a series of discussions concerning Indian health policies
widely agreed among the advocates of A¯yurveda that the tra-
that were made both before and following Indian Indepen-
ditional A¯yurvedic treatises offered a reasonable basis for a
dence in 1947. Paul Brass has pointed out in “The Politics
common identity and a unified medical system. The goal,
of Ayurvedic Education” (1972) that as early as 1946 a reso-
then, was to restore and to revive the ancient tradition and
lution had been passed by the First Health Ministers’ Con-
its presumed past glory rather than to maintain contempo-
ference, giving recognition to indigenous systems of medi-
rary traditional practices, which were often labeled “degener-
cine by recommending that practitioners trained in these
ate.” Accordingly, a distinction was made between an ideal-
systems should be utilized in federal state health programs.
ized A¯yurveda based on the classical texts, and traditional
State responses were varied, with some giving considerable
practice based on later texts and folk medicine. While Orien-
support to the indigenous systems while others ignored the
talist rhetoric may have been a major component in revivalist
health ministers’ recommendation, preferring modern medi-
ideology, it would not be true to say that it was the cause of
cine to the traditional systems. No state government, howev-
the decision to present the teachings of the classical texts as
er, declared A¯yurveda or any other indigenous system as its
the basis of A¯yurvedic theory. Traditional families of
state system of medicine.
A¯yurvedic practitioners had been using these texts as the
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3857
basis of their practice long before official debates on the theo-
integrated system were Kaviraj Gananath Sen and later
retical foundations of A¯yurveda started. However, A¯yurvedic
Chandragiri Dwarkanath. The council therefore represented
practitioners not only made use of the oldest treatises, but
the established educational system, which would seem to
also of a multitude of texts that were composed after the clas-
suggest it was the more powerful organization. However, the
sical texts. The wide publication of later A¯yurvedic texts, ed-
members of the Congress also had considerable political in-
ited from the late nineteenth century onwards by A¯yurvedic
fluence and powerful support in the central government.
scholars like J¯ıva¯nanda Vidya¯sa¯gara Bhat:t:a¯ca¯rya, J¯ıvara¯ma
Thus, in 1962, Pandit Shiv Sharma was able to exert his in-
Ka¯lida¯sa S´a¯stri, Dattara¯ma Kr:s:n:ala¯la Ma¯thura, and Ya¯davji
fluence as the appointed honorary advisor on the decisions
Trikamji A¯ca¯rya, testifies that such texts were considered im-
made at the annual meeting of Central Council of Health.
portant.
The resulting Vyas Committee report advised that A¯yurvedic
education and practice be developed on “purely ayurvedic
Modern A¯yurvedists needed not only to overcome sec-
lines, involving deep and intense study of the Classical Ayur-
tarian and regional differences (including language barriers
vedic literature including its materia medica and pharmacy”
and diverging religious identities) in search of a uniform
and not to include “any subject of modern medicine or allied
identity, but were also confronted with new educational
sciences in any form or language”(Brass, 1972, p. 360). Al-
methods and technology for diagnosis and research intro-
though the government of India and the state health minis-
duced to India by the British. The dominant form of
ters ultimately accepted the recommendations of the Vyas
A¯yurvedic education that developed from this background
Committee, the implementation of the new policy did not
at the end of the nineteenth century was an integrated or
proceed smoothly, due to inconsistent policies regarding the
concurrent education system, which included both A¯yurveda
use of modern technology, resistance on part of the state gov-
and modern medical subjects in varying proportions. The
ernments, and the low enrollment numbers of students.
basic education in modern medicine was meant to enable
The debate on the educational system of A¯yurveda (and
students to play a role in public health programs. The ques-
of the other Indian systems of medicine) and its implementa-
tion of the proportional distribution of A¯yurveda and mod-
tion into public health schemes is far from resolved even
ern medicine within the curriculum—that is, which system
today. Despite all decisions from the government as recorded
should be the main focus of education and which should be
in the various IMCC acts, the failure of the A¯yurvedists to
taught as the complementary system—had from the begin-
agree among themselves on the goals to be pursued and on
ning been a bone of contention among the supporters of the
the appropriate standards for education, practice, and re-
integrated system. Furthermore, the concept of the integrat-
search has so far led to the inability of A¯yurveda to compete
ed system, as such, received heavy criticism both from
with modern medicine and to fulfill its potential as a national
biomedical advocacy groups and from other factions within
system of medicine.
the A¯yurvedic movement as having produced practitioners
qualified in neither system of medicine. The defects of the
Overviews and more detailed surveys dealing with the
integrated system, made apparent by recurring student
politics and epistemological context of A¯yurveda, its eminent
strikes and low enrollment numbers, and by divisions within
advocates and opponents, and the modernization of tradi-
its support group, strengthened the case of the rivaling inter-
tional medical systems in general can be found in Mishra
est group arguing for a ´suddha (pure) A¯yurveda that would
(2001); Gupta (1998); Leslie (1992, 1983, 1975, 1998a);
be true to its tradition and ideologically free from Western
Brass (1972); Jeffery (1988); Shankar (1995); Stepan (1983);
influence.
Taylor (1998); Zimmermann (1992); Zysk (2001), and
Phillips (1990).
Charles Leslie has pointed out in “Interpretations of Ill-
ness: Syncretism in Modern A¯yurveda ” (1992) how these
SEE ALSO Health and Religion.
issues became increasingly politicized, as the A¯yurvedic
movement divided into two main advocacy organizations:
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Mazars, Guy. La médecine indienne. Paris, 1995.
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HEALING AND MEDICINE: HEALING AND
for example, the seasons, directions, colors, virtues, and mu-
MEDICINE IN CHINA
sical notes, as well as different aspects of physiology. The last
In modern Western societies people tend to demarcate disci-
included organ systems, sense organs, affects, the tracts (also
plines of healing as they divide the self: biomedicine for the
translated vessels or meridians) through which qi (pro-
body, psychology for the mind, and religion for the spirit.
nounced “chee” and also sometimes spelled ch’i, here vapor
If the popularity of holistic alternative healing systems sug-
and vitality) flows, and nodal points along them through
gests that these categories do not sit entirely well even with
which qi might be affected (see Tables 1 and 2). Physiologi-
modern Westerners, they are even more inadequate to
cal patterns could be felt through the pulse, most commonly
China. Historically and still today in China, the manage-
felt through three spots at the left and right wrists. Changes
ment of sickness and health is rooted in different views of
in one system will manifest in multiple associated registers:
self, different social and institutional configurations, and dif-
in changes in emotion, perception and sensation, color,
ferent healing traditions.
smell, and discharge of bodily fluids.
PATIENTS: DISORDERED SELVES. Chinese sources do make
In this modality, the integrity of physical structures was
distinctions not dissimilar to those of body, mind, and spirit:
considered an essential precondition of health, but interven-
they speak of the body as physical form. They speak of the
tion was more concerned with alterations that occurred prior
person’s spirit, of multiple bodily spirits, and of yin and yang
to gross corporeal change. Tracts mapped not visible ana-
souls. People are known to think and to have emotions, and
tomical structures, but felt flows of qi. Organs were of inter-
medical sources speak of these states as both normal func-
est less for their size, shape, and location than as systems of
tions and, when out of balance, illness. These categories,
function for which the physical organs might be considered
however, are subsidiary in the organization of understand-
substrates. Each of the Five Phases and its associated organ
ings of health and treatment of disease. Medicinal therapies
system is also linked to every other Phase and organ system
are ingested for ailments related to emotional excess and to
through either a “promoting relationship,” such that it is
the destabilization or detachment of the body’s spirits. Herb-
nourished by one system and nourishes another, or a “con-
al and ritual therapies are applied to prevent attack by ani-
trolling” relationship, such that it is restrained by one system
mals as well as demons, and to treat gross bodily pathologies.
and restrains another. Thus, excessive or deficient activity in
Affects are not only implicated in, they are integral to both
one system can propagate stagnation, repleteness, and imbal-
the origins and processes of bodily disorders, and to their
ance in other systems (see Table 3).
healing. Major Chinese categories and practices distinguish
The medium of this resonance is qi, which could refer
four modes for imagining the healthy self, and illness as devi-
multivalently or in different contexts to air, vapor, breath,
ation from it: the resonating self, the dissipating self, the moral
vitality, vitality in its yang aspect, and something akin to “the
self, and the ecological self.
psychophysical stuff and energy” that constitutes all phe-
The resonating self is the mode most characteristic of
nomena. Besides resonating, qi could also dissipate. The dis-
Chinese canonical medicine, but it also came to powerfully
sipating self was understood as being born with a full endow-
shape everyday Chinese views of the body, and to contribute
ment of vitality, or “original qi,” which dissipates through
to nonmedical styles of healing. The core features of this
the course of life. Health and longevity could be enhanced
physiology developed in the fourth to first centuries BCE and
by replenishing qi, or by slowing its dispersal. This could be
have remained fairly stable, albeit with elaboration and varia-
affected most commonly through ingestion of tonifying
tion along the way, over the following two millennia. In this
medicines, a range of “cultivating vitality” practices (see
view, the person, polity, and cosmos operate as a series of
below), or by avoiding particularly qi-draining activities. For
nested microcosms and macrocosms according to the cycli-
men, a special focus of concern was the expenditure of the
cal, dynamic, and complementary principles of yin and yang
most concentrated essence of yang vitality, semen, in sexual
and the Five Phases. The emperor and his bureaucratic repre-
intercourse. Women were particularly vulnerable to the
sentatives stand at a critical nexus of responsibility for order
draining of yin vitality, blood, through menstruation.
in these realms. If they do not properly align their behavior
Despite these sex-specific sources of danger, canonical
to the normative cycles of the cosmos, heaven and earth reso-
medicine did not take gender as a fundamental human or
nate, producing floods, drought, and epidemics. The people
medical division. Gender tended to be constructed according
resonate, straying from their socially appropriate roles, even
to social function rather than biological essence. While femi-
as far as banditry and rebellion. As emperor and officials
ninity was yin and masculinity was yang, both male and fe-
must match their policies and ritual to cosmic cycles, so must
male bodies operated according to these principles and the
individuals harmonize their activities, whether sleep, work,
circulation of both yin blood and yang qi. Women and men
diet, or sex, to the appropriate phases of the day and year.
were not absolutely yin and yang, but contingently yin and
Discordant activity can produce illness.
yang in relation to each other, on a continuum rather than
Yin and yang and the Five Phases, then, were under-
radically distinct. While medical texts did include separate
stood to pattern and resonate through all phenomena. From
sections on disorders related to the uniquely female functions
the Han period (206 BCE–220 CE) the Five Phases mapped,
of gestation and childbirth, it was only in the learned medi-
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HEALING AND MEDICINE: HEALING AND MEDICINE IN CHINA
Yin and Yang Aspects in Physiology
Yin
Inner,
Upper
Dorsal
Qi (as Yang Vitality)
Stimulation
Increase
Outward Movement
Ascent
Yang
Outer,
Lower
Ventral
Blood (as Yin Vitality)
Restraint
Decrease
Inward Movement
Descent
T ABLE 1 . Illustration courtesy of the author.
cine of the Song period (960–1279 CE) that therapies for
substances, noxious fumes, and demons or ghosts. Prior to
non-gender-specific disorders came to be constructed on the
the twentieth century, small demonic creatures were under-
basis of gender-differentiated bodies. Female physiology was
stood as capable of infesting the body, sometimes entering
set apart from male here by the dominance of blood (yin vi-
as ethereal spirits but taking form within as gnawing insects
tality) over qi (yang vitality), not absence of the latter. While
or worms. With the acceptance of germ theory in the twenti-
this therapeutic distinction fell out of practice in later centu-
eth century, infecting parasites, viruses, and bacteria joined
ries, the approach generated attention to menstrual regula-
with or replaced this list of external hazards.
tion as a basis of health and of the essential social function
of fertility, concerns that continue today.
This ecosystem extended to the body’s internal and
numinously populated landscape. Han period texts describe
While this cosmos operates according to rationalistic
a yin and a yang soul. After the Han, especially but not exclu-
principles of yin, yang, and the Five Phases, it is also both
sively in Daoist texts, we find descriptions of three yang and
inherently moral and animated. The emperor can provoke
seven yin souls, spirits associated with the various organ sys-
disastrous weather and social disturbances through unrigh-
tems, and the “three corpse worms.” Most of the souls and
teous behavior, not only by failing to perform rituals and
spirits of the body are responsible for its healthy function,
enact policies that are synchronized to the phases of the cos-
and not unlike bureaucratic officials, can produce disorder
mos. Besides cosmic resonance, the moral self can become
if they do not attend to their posts properly. Dreams, often
ill in retribution for misdeeds. From the Han period, as the
understood as the roaming of the yang soul, are considered
spirit world came to be seen as dominated by a celestial pan-
an occasion of particular vulnerability. The three corpse
theon modeled on the human imperial bureaucracy, illness
worms are demonic agents that are, like the body spirits,
also came to be seen as resulting from celestially administered
born within the person, in this case located in the three cin-
punishment. Aggrieved spirits could make people ill by di-
nabar fields, centers of vitality located in the head, chest, and
rectly attacking them, or from medieval times often through
lower abdomen. These body spirits seek release from their
litigation in the courts of the afterlife. As in the worldly legal
host by his or her death, and expedite this by inciting qi-
system, punishment could extend to family members, so that
squandering behaviors, such as sexual indulgence, gluttony,
for the sources of ailments one might need to address the
and immoderate ambition; by conspiring with external de-
crimes of a forebear. With the spread of Buddhist ideas, ill-
mons to infest the person and bring about illness; and by re-
nesses and other misfortune could also be understood as kar-
porting to the Celestial Jade Emperor on the person’s mis-
mic consequence for the misdeeds of a previous life.
deeds so that compensatory time is deducted from their
As in most of the world’s societies, the self was not con-
allotted lifespan.
ceived as a thing utterly detached from the world around it;
Healthy selves, then, would resonate harmoniously with
it was permeable to and an organically integral part of its en-
a properly aligned polity and cosmos, would retain or only
vironment. The ecological self not only responds to the
slowly dissipate their vitalities, would be morally upright,
world through cosmic resonance, it is acted upon by agents,
and would harmonize with both internal and external envi-
things, and events in its internal and external social, spiritual,
and physical environments. The outer world provides nur-
ronments, maintaining strong relationships with good peo-
ture, but again poses threats to one’s well-being, for example
ple and spirits, and avoiding dangerous people, spirits, and
through the stress and violence of interpersonal conflict, im-
situations. Selves could be disordered in resonance with cos-
proper diet, poisons, and physical attack or accidental injury.
mic discord; could be weakened by draining vitalities; could
face consequences for misdeeds in this or in previous lives,
Besides dangerous animals and people, vectors of vio-
or even for the crimes of their forefathers; and could suffer
lence included spirits and ghosts. Although ancestors, when
distress or violence from within or without. These views of
ritually cared for, looked after their descendants, if not at-
the self contribute to organizing approaches to health man-
tended to they could punish their neglectful offspring. The
agement, and inform the choices people make among healers
pores and orifices expose the self to invasion by poisonous
and healers’ therapeutic recommendations. These choices,
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3861
Five Phases in Physiology
Phase
Wood
Fire
Earth
Metal
Water
Field
Direction East
South
Center
West
North
Color Green/Blue
Red
Yellow
White
Black
Season Spring
Summer
Mid-Summer
Autumn
Winter
Yin Organ Systems
Heart
Liver
Spleen
Lung
Kidney
Associated Tracts
Hand
Foot
Foot Greater
Hand Greater
Foot Lesser
Lesser Yin
Reverting Yin
Yin
Yin
Yin
Yang Organ Systems
Small Intestine
Gallbladder
Stomach
Large Intestine
Bladder
Associated Tracts
Hand Greater
Foot Lesser
Foot Yang
Hand Yang
Foot Greater
Yang
Yang
Brightness
Brightness
Yang
Affect Joy
Anger
Cogitation
Grief
Fear
Sense Organ/Orifice
Tongue
Eyes
Mouth
Nose
Ear, Genitals,
Anus
T ABLE 2 . Illustration courtesy of the author.
however, are also significantly shaped by social context and
coction of elixirs, the process recapitulating a reverse cos-
by available choices in healing specialists.
mogony in both the elixir cauldron and in the self. In later
PERSONAL AND SOCIAL CONTEXTS OF HEALTH MANAGE-
centuries, the imagery of this “external alchemy” remained
MENT. Social contexts of health management correspond to
a part of “internal alchemy,” cultivation of vitality primarily
spheres expanding from the individual to the family, com-
through breathing and visualization, without the actual pro-
munity, and polity. Structuring these arenas are hierarchical
duction and ingestion of elixirs. This includes the cinnabar
relationships, such as those based on patriarchy and class.
(a mercuric sulfide that also gives East Asian lacquerware its
distinctive red) that also stands synecdochically for both elix-
Self. From the mid-fourth century BCE we have texts de-
ir and Daoist alchemy.
scribing methods for cultivating vitality geared both toward
slowing its dissipation and toward harmonizing it with the
While women also participated in these practices, it is
cosmic cycles. Practices included meditation, regulation of
only from the seventeenth century that texts describing a dis-
breath/qi/vitality and its circulation around the body, gym-
tinct style of cultivation geared to female physiology and for
nastic movements for “guiding and pulling” qi in the body,
the guidance of women practitioners appear. These were
retention and recirculation of seminal essence during inter-
written by men, and aimed in part at supporting practice by
course in order to prevent the attendant loss of original qi,
women in the home, and discouraging them from seeking
dietary restrictions, and absorption of vitalities from sexual
guidance by leaving the home or by bringing in teachers who
partners or from the outside world. These practices seem to
elite men saw as potentially corrupting. Among its distinctive
have been widespread among the Han elite, and were associ-
characteristics, this practice aimed at “beheading the red
ated during that period with Huang-Lao, practices of the
dragon,” or stopping the menses and returning the body to
mythic figures of the Yellow Emperor and Laozi, and with
a prepubescent state.
the pursuit of transcendence. The descriptions of physiology
Family, community, and state. As in most societies,
developed through these practices contributed greatly to the
the primary locus for managing health in China was the fam-
canonical medical tradition. In later centuries, while some
ily. The first to care for the sick were usually the adult
moderate breathing and dietary practices remained part of
women of the family, although especially from around the
the elites’ repertoires of healthcare, more esoteric practice
Song period elite men often also took an interest in medical
came to be associated with religious Daoists.
learning and sometimes practiced in an amateur capacity on
From the Han and continuing into the seventh or
their friends and families. Women left their natal families
eighth centuries, Daoist cultivation included the ritual con-
upon marriage, bringing with them and exchanging with
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HEALING AND MEDICINE: HEALING AND MEDICINE IN CHINA
palace or capital, of demons responsible for disease. In later
periods, for which more is known, other annual festivals,
Water
such as the Dragon Boat Festival, also had such apotropaic
functions, and special rites could be commissioned to pre-
vent or expel particular plagues.
Monasteries (especially from the fifth century) or local
Metal
Wood
gentry (especially between the twelfth and nineteenth centu-
ries), often with administrative help from officials, would
also organize food, shelter, burial, and medical relief for the
indigent during disasters. Monasteries also built hospitals
with state cooperation in the eighth century. After confisca-
tion of monastery properties in the 840s, these were shifted
to state administration. In response to disasters, emperors
Earth
Fire
often granted tax abatements and distributed relief on an ad
hoc basis. It became more common in the Northern Song
period (960–1127 CE) for officials to distribute medicines
during epidemics, and later in the period state-run subsidized
Promoting Relationship
pharmacies and hospitals were set up in the capital and in
Controlling Relationship
some prefectural seats. Christian missionaries began to set up
clinics and hospitals providing Western-style medical care
beginning in the nineteenth century. In the twentieth centu-
T ABLE 3 . Illustration courtesy of the author.
ry, the state again became the primary builder of both
biomedical and Chinese medical hospitals.
their new families practical everyday knowledge about
While most healing, healthcare, and disease prevention
healthcare, including management of diet, methods of mas-
has always taken place without the aid of specialist healers,
sage, herbal remedies, and avoidance of pollution or conta-
extant writings tend to leave better records by and about
gion. With the spread of commercial printing from the elev-
these figures.
enth century, some of this household lore, as well as specialist
medical works, made their way into publication, increasing
HEALERS. Disorders of different types might suggest particu-
the circulation of knowledge about health and healing.
lar healing specialties, but often a given ailment might be
considered susceptible to multiple avenues of attack. Ecstatic
When illnesses seemed to warrant specialist attention,
and ritual specialists were concerned with expelling demons,
the decision of whom to consult was often made in consulta-
with moral management and consequences, and with align-
tion with members of the extended family and local commu-
ment with cosmic cycles. Canonical medical traditions were
nity. In the large and complex households of wealthier fami-
concerned primarily with patients’ disharmonies and the dis-
lies, which could contain multiple generations, several
sipation of their vitalities, but also sought to buttress defenses
subsidiary wives, and numerous servants, decision-making
against violation by external noxious agents. Experts in eso-
could involve negotiation among the preferences of compet-
teric practices of cultivating vitality shared these concerns,
ing parties. In general, elite men of late imperial times
good health being prerequisite to higher goals of transcen-
(roughly, the fourteenth to nineteenth centuries) seem to
dence, but additionally advised devotees in methods of al-
have favored the services of elite scholar-physicians, while
chemical refinement and transformation.
women tended to prefer the more eclectic and hands-on
Ecstatic and ritual healers. Analysis of the earliest sur-
ritual, massage, moxibustion, acupuncture, and also herbal
viving written references to disease and healing, from Shang
and dietary treatments of female and other lower-status spe-
period (c. 1500–1050
cialists.
BCE) oracle inscriptions, suggests that
at this time, in what today is northern China, Shang royalty
Households and communities were also a basic unit for
attributed at least some disease to the dead and to demons.
containing or repelling contagion. When someone was
They responded by communicating with and propitiating
thought to bear a contagious illness, they might be isolated
their ancestors or expelling disease demons through wu,
in their room, with their care charged to a specialist healer.
often translated as “shaman” or “spirit-medium.” As Chi-
Outsiders would avoid visiting a family or village so stricken,
nese-writing empires spread, the ecstatic and religious healers
and in severe cases members of the family and community
of diverse peoples came to be identified in literature as wu,
might flee the area, leaving the sick behind. The windows,
the once-respected term taking on senses of exoticism and
doorways, and circumference of a household might also be
derogation close to “witch doctor.” While in many dynasties
ritually sealed to prevent the entrance of plague-spreading
through history wu enjoyed the court’s favor and high status,
demons. Early texts contain references to annual exorcistic
they came under attack from competitor physicians, from
festivals for cleansing the community, or in some cases the
Daoists and Buddhists beginning in the third to fourth cen-
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HEALING AND MEDICINE: HEALING AND MEDICINE IN CHINA
3863
turies, from Confucian officials as early as the Han but espe-
thy. Although literate, these were not those family lines with
cially in the eleventh century, from local gentry between the
access to the highest levels of office. In the late tenth and
twelfth and nineteenth centuries, and from the state-building
eleventh centuries, however, expansion of imperial involve-
Nationalist and Communist governments in the twentieth
ment in producing and disseminating medical texts and in
century. Despite these periods of suppression, however, ec-
medical relief raised the status of medicine. The period also
static healers are active in Taiwan and China today.
saw increased socializing between literati and physicians, and
Priests of the Daoist religion could intervene for parish-
literati and official compilation and publication of prescrip-
ioners in illnesses produced by litigation from beyond the
tion texts. Between the twelfth and fourteenth centuries, as
grave, submitting counter-petitions and countersuits on their
office became accessible to a larger and more fluid stratum
behalf. They also guided parishioners in confessing and puri-
and chances of actual attainment to this coveted status be-
fying themselves of their misdeeds, performing exorcisms
came increasingly rare, pursuit of medicine as avocation and
and communal rituals, and providing talismans for the
eventually occupation became a socially accepted alternative
expulsion of evil spirits for pasting on doorways or for
for elites. Reacting both to the more eclectic practices of he-
ingesting.
reditary physicians and to the standardized prescriptions of
eleventh-century official relief efforts, these scholar-
Whereas Daoist cultivation tended to take the health of
physicians developed styles of medicine based more strictly
the whole self, including the physical body, as a precondition
on canonical texts, such as the Inner Canon of the Yellow Em-
for soteriological goals, Buddhists took the illusory nature of
peror (second to first century BCE), and followed more indi-
the phenomenal world, including bodily illness, as a central
vidualized and dynamic approaches to diagnosis and treat-
tenet. The rigors of monastic practice in fact were known to
ment. They focused on the treatment of underlying
be hard on health. On the other hand, Buddhists taught
physiological conditions rather than “superficial” manifesta-
compassionate concern for the suffering of others, and intro-
tions, and they might, for example, leave the treatment of
duced new therapeutic and institutional approaches to the
lumps or lesions to specialists in external medicine. Scholar-
treatment of illness. The idea of karmic causality and the pro-
physicians employed complex and individually tailored herb-
vision of medical and disaster relief were mentioned above.
al prescriptions, eschewing those therapies that were consid-
Buddhist missionaries introduced South Asian drugs and
ered both less subtle and less suitable to their social standing,
therapies, including cataract surgery, to China. Buddhists
such as acupuncture, moxibustion, and massage.
also introduced practices that were applied to prevent or treat
illness, including mudra¯s and mantras, new types of incanta-
These therapies became the preserve of lower-status
tions and rituals, and new approaches to meditation. Certain
healers. Besides specialists in particular diseases or therapies,
South Asian ideas about illness, such as the Four Elements,
these included shamans, diviners, and other religious figures;
also occasionally appear in Chinese medical texts, notably
itinerant healers; and in general female healers and midwives.
Sun Simiao’s (581–c. 682) Beiji qianjin yaofang (Essential
Ironically, the stricter segregation of genders in the late impe-
prescriptions worth a thousand in gold for preparing for
rial period increased demand for female experts. Besides
emergencies). Over the long term, however, these do not
those who practiced a more eclectic mix of skills, female phy-
seem to have fundamentally reshaped Chinese medical ap-
sicians who were trained in their family’s hereditary learned
proaches to etiology, nosology, diagnosis, or therapeutics.
medicine also practiced in elite circles, including at court.
Drug sellers. From at least the Han we also have re-
In the twentieth century, as “modernity” and “science”
cords of specialized drug sellers. They were sometimes associ-
came to be broadly valued in China, and as a result of nation-
ated with Daoist transcendents, and drugs were stored in
building efforts and anxiety about Chinese culture, indige-
gourds or gourd-shaped containers, an image of primordial
nous healing practices came under attack as “superstitious.”
chaos in Daoism. With the expansion of commerce from the
Both in order to stave off threats to their legality and to make
eleventh century, commercial pharmacies and itinerant drug
their practices more modern, practitioners experimented
sellers became more widely available as sources of both medi-
with different approaches to reforming Chinese medicine:
cines and medical advice.
mapping tracts and disorders onto Western-style anatomical
Hereditary doctors, scholar-physicians, and special-
structures and biomedical disease categories; dropping minor
ists. The fourth to first centuries BCE saw the emergence of
surgery from the repertoire of what we know as acupuncture;
literate medical practitioners who distinguished themselves
emphasizing aspects of the tradition that resembled biomedi-
from other healers with the development of distinctive textu-
cine in some way; shedding the more elaborate cosmological
al traditions and practices based on the cosmologically reso-
frameworks; emphasizing the empirical foundations of Chi-
nating and vitality-dissipating models of physiology devel-
nese medicine; integrating Chinese and Western medical
oped at the same time by cultivating vitality practitioners.
practices; and asserting the scientific legitimacy of a newly
They did not, however, entirely eschew ritual therapies or de-
emphasized “differentiation of manifestation types” in oppo-
monic views of disease.
sition to Western “distinguishing of diseases.”
These physicians tended to pass their knowledge and
For a time it was anticipated that these modern transfor-
texts to sons or to duly recommended outsiders deemed wor-
mations, confusingly referred to as traditional Chinese medi-
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3864
HEALING AND MEDICINE: HEALING AND MEDICINE IN TIBET
cine, would leave these traditions completely subsumed
Strickmann, Michel. Chinese Magical Medicine. Edited by Bernard
under biomedical paradigms. The utility of acupuncture
Faure. Stanford, Calif., 2002.
would be disproved or explained in relation to nerves and the
Unschuld, Paul U. Medicine in China: A History of Ideas. Berkeley,
endocrine system. The active components of individual
Calif., 1985.
herbs would be isolated and their efficacy would be identified
TJ H
by biomedical procedures. Complex diagnoses and herbal
INRICHS (2005)
prescriptions would be eliminated. Instead, the styles of Chi-
nese medicine have proliferated with the revival of respect for
the virtuosity of older masters, with the increasing popularity
HEALING AND MEDICINE: HEALING AND
of “complementary and alternative medicine” around the
MEDICINE IN TIBET
world, and with variations brought about by attempts to
Premodern Tibetan ideas about healing and medicine, like
adapt Chinese styles of healing to diverse environments. At-
those of other Buddhist societies of Asia, derived from dispa-
tempts to test the efficacy of Chinese medical systems in ran-
rate sources. These included local versions of widespread
domized trials have been stymied by their very diversity, by
Asian concepts regarding spirit-causation of illness and soul-
the individual tailoring of much practice, and by the failure
loss, Indian and Chinese-derived ideas about good fortune
of attempts to map Chinese onto biomedical physiology or
and astrological influences, the various major medical tradi-
diagnoses.
tions of Asia (A¯yurvedic, Islamic, and Chinese), and Bud-
Health and illness in China must be understood in rela-
dhism itself, with its understandings of the suffering implicit
tion to Chinese understandings of self. Their management
in life within the universe of cyclic existence (sam:sa¯ra) and
is shaped both by the social context of care, and by the avail-
its body of ritual techniques to relieve that suffering and pro-
able range of healing resources. While institutions of the last
mote the well-being of its followers. A range of discourses
century have tended to support the separation of biomedi-
and approaches arose from these various sources and these
cine from Chinese medicine, and the dominance of the for-
underlie both popular and elite understandings of illness and
mer and standardizing of the latter, the preferences of both
healing. This entry covers healing specialists; spirit causation
healthcare consumers and providers for eclecticism have kept
of illness; life-force, soul, well-being, and related concepts;
multiple indigenous traditions alive and changing.
astrology; the Tibetan medical tradition; Buddhist Tantric
medicine; Buddhist attitudes toward illness; death and
SEE ALSO Chinese Religion; Qi.
dying; and the effects of modernity.
B
HEALING SPECIALISTS. Depending on how a particular ill-
IBLIOGRAPHY
DeWoskin, Kenneth. Doctors, Diviners, and Magicians of Ancient
ness is understood, Tibetans may approach a traditional Ti-
China: Biographies of Fangshi. New York, 1983.
betan doctor (a mchi), a folk shaman, spirit-medium or other
Furth, Charlotte. A Flourishing Yin: Gender in China’s Medical
folk diviner (lha pa, dpa’ bo, mkha’ ’gro ma, etc.), or a lama
History, 960–1665. Berkeley, 1999.
(bla ma) for assistance. Traditional Tibetan doctors practice
a humorally-based medical system closely related to the Indi-
Harper, Donald, trans. with study. Early Chinese Medical Litera-
ture: The Mawangdui Medical Manuscripts. New York, 1998.
an A¯yurvedic medicine. Shamans or spirit-mediums are men
or women who act as mediums through which local gods
Hinrichs, TJ. “New Geographies of Chinese Medicine.” In Be-
yond Joseph Needham: Science, Technology, and Medicine in
communicate; some also perform folk rituals of healing.
East and Southeast Asia, edited by Morris F. Low,
Lamas may be monks or lay people but are almost always
pp. 287–325. Chicago, 1998.
male. They belong to one of the four main Buddhist tradi-
Hsu, Elisabeth. The Transmission of Chinese Medicine. Cambridge,
tions or to the Bon tradition, which claims pre-Buddhist ori-
UK, 1999.
gins but is in most respects similar to the Buddhist traditions.
Katz, Paul. Demon Hordes and Burning Boats: The Cult of Marshal
All five traditions possess a similar range of divinatory tech-
Wen in Late Imperial China. New York, 1995.
niques and ritual countermeasures, mostly deriving from the
Tantric (Vajraya¯na) Buddhism of India. Patients may also
Kleinman, Arthur. Patients and Healers in the Context of Culture:
An Exploration of the Borderland between Anthropology, Medi-
try more than one kind of practitioner, and in the contempo-
cine, and Psychiatry. Berkeley, Calif., 1980.
rary situation both in the People’s Republic of China and
Kohn, Livia, ed., in cooperation with Yoshinobu Sakade. Taoist
among Tibetan refugees such medical pluralism is extended
Meditation and Longevity Techniques. Ann Arbor, Mich.,
to include Western-style biomedicine.
1989.
SPIRIT CAUSATION OF ILLNESS. Illness can be caused by spir-
Kuriyama, Shigehisa. The Expressiveness of the Body and the Diver-
its, typically local deities who have taken offense at some un-
gence of Greek and Chinese Medicine. New York, 1999.
intentional action. Thus a class of spirits living in streams or
Maspero, Henri. Taoism and Chinese Religion. Translated by
trees (klu, equated by Tibetan scholars to the Indian na¯ga)
Frank A. Kierman. Amherst, Mass., 1981.
may cause boils, skin diseases, or leprosy if their homes are
Sivin, Nathan. “State, Cosmos, and the Body in the Last Three
dirtied or polluted, while another class of spirits (gza’, equat-
Centuries B.C.” Harvard Journal of Asiatic Studies 55, no. 1
ed with Sanskrit gra¯ha) cause strokes and partial paralysis if
(June 1995): 5–37.
offended. In many such cases, Tibetans will recognize from
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HEALING AND MEDICINE: HEALING AND MEDICINE IN TIBET
3865
the nature of the complaint the kind of spirit involved. A
large parts of the content are adapted from the Tibetan
lama or spirit-medium may be consulted to discover the na-
translation of a well-known A¯yurvedic text, the
ture of the offense and the best approach for remedy. The
As:t:a¯n˙gahr:dayasam:hita¯ of Va¯gbhata. Other sections indicate
remedy may include purificatory actions using empowered
borrowings from Chinese and perhaps also Islamic medicine,
water and other consecrated substances, avoiding “dirty”
as well as indigenous Tibetan developments. An alternative
foods, and making offerings to the offended spirit.
textual tradition associated with the Tibetan Bon religion
L
varies only in details.
IFE-FORCE, SOUL, WELL-BEING, AND RELATED CON-
CEPTS. A series of folk concepts (dbang thang, rlung rta) refer
A series of commentaries were composed to the Rgyud
to various aspects of health, vitality, well-being, and good
bzhi, of which the best-known is the Vaid:u¯rya sngon po (Blue
fortune. These can be strong or weak, and their loss can
beryl) by Sangs rgyas Rgya mtsho (Sanggye Gyats’o; 1653–
threaten illness, misfortune, or death. Probably the most sig-
1705), sde srid or regent to the fifth Dalai Lama. A substan-
nificant of these is bla, and Tibetan ideas regarding the loss
tial literature of other medical works has also been written
of bla parallel those found in many of the neighboring Hima-
by Tibetan doctors and scholars.
layan and Southeast Asian peoples (e.g., Thai khwan). As
Sde srid Sangs rgyas Rgya mtsho was also responsible for
elsewhere, there are ritual techniques to recall the bla and re-
the foundation in 1696 of the main Tibetan medical college,
integrate it with the body, and both lamas and the idea that
named Lcags po ri (Chakpori) after the hill in Lhasa where
the vitality or “soul” (bla) of the human organism may be
it was situated. A second college, the Sman-rtsis-khang, was
lost or scattered. Both lamas and spirit-mediums can perform
founded in Lhasa by the thirteenth Dalai Lama in the early
rituals to recover the lost “soul” in cases where illness is attri-
twentieth century, and the Rgyud bzhi system is now taught
buted to such sources.
in more or less modernized versions by training institutions
Other personal qualities (tshe or life-span, dbang thang
in Chinese-controlled Tibet and among the refugees, as well
or personal power, etc.) can also be partially or wholly lost.
as in Europe and the United States. There are also many local
Such loss may be due to spiritual contamination (grib) result-
versions of the Tibetan medical tradition, often passed down
ing from contact with polluting situations such as death or
hereditarily, also for the most part derived from the Rgyud
childbirth. It can also be due to the action of witches or sor-
bzhi. Doctors may be lay people or monks. In the past, they
cerers. Ideas of loss of health or vitality shade into concepts
were almost all men, but there have been some notable
of spirit-attack, since a weakened vitality can leave a person
women doctors in recent years, and the profession is becom-
open to such attack. An important function of the lamas,
ing increasingly open to women.
dramatized in particular through major monastic ritual festi-
The Rgyud bzhi texts have been widely studied in the
vals attended by the local lay community, is to defend the
West, often in conjunction with the works of Sde srid Sangs
community against spirit-attack. They also maintain the
rgyas Rgya mtsho, and many Western presentations of Ti-
strength and vitality of the community through life-
betan medicine are little more than paraphrases of these
empowerment (tshe sgrub) rituals on these and other occa-
texts. This material, however, does not necessarily relate
sions. Rituals to maintain or recover good fortune may be
closely to current medical practice. While memorizing all or
performed by lay people or lamas.
part of the Rgyud bzhi remains central to the training process,
ASTROLOGY. Tibetan astrology derives from both Indian
other texts are also studied, and doctors undoubtedly acquire
(dkar rtsis) and Chinese (nag rtsis) sources. The Chinese sys-
much of their knowledge and clinical expertise through sub-
tem, also known as ’byung rtsis or elemental astrology, is
sequent apprenticeship with a practicing doctor.
based on the daily variation of five personal quantities in as-
The Tibetan medical tradition today employs the three
trologically determined cycles, which are correlated with the
A¯yurvedic dos:a or “humors” (nyes pa) as basic theoretical and
five elements (iron, wood, water, fire, air) and the Chinese
diagnostic categories. The three nyes pa are rlung (wind; Skt.,
twelve-animal cycle. The five quantities are bla (life-force),
va¯ta), mkhris pa (bile; Skt., pitta), and bad kan (phlegm; Skt.,
srog (vitality), dbang thang (strength or personal power),
kapha). Thus illness can be understood in terms of one or
rlung rta (good fortune), and lus (bodily force); ’byung rtsis
more of these nyes pa, which are residues of the ongoing pro-
can be regarded as a systematized version of folk ideas regard-
cesses of bodily existence, being present in excessive or inap-
ing soul-loss, and good and bad fortune. Printed almanacs,
propriate quantity. The Rgyud bzhi’s opening sections link
which trace the variation of these quantities and predict good
the nyes pa to the three poisons of samsaric existence (igno-
and bad days for various activities, are popularly available.
rance, desire, and hatred), thus providing a Buddhist founda-
THE TIBETAN MEDICAL TRADITION (A MCHI MEDICINE).
tion to Tibetan medical theory. The importance of the nyes
The principal textual basis for the Tibetan medical tradition
pa can nevertheless be exaggerated. In practice, much of Ti-
is the Rgyud bzhi (Four medical Tantras), which was proba-
betan medicine operates in terms of the identification of one
bly compiled in the eleventh century by the famous physi-
or another named illness category, each corresponding to a
cian G’yu thog Yon tan Mgon po [Yut’ok Yönten Gonpo]
specific mode of treatment, rather than on restoring the sys-
(1112–1203). While the framework of this text is a dialogue
tem as whole to a state of balance. Diagnosis employs exami-
between emanations of the medicine buddha Bhais:ajyaguru,
nation of pulse and urine, as well as observation. Pills (ril bu),
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HEALING AND MEDICINE: HEALING AND MEDICINE IN TIBET
made of complex compounds of substances of herbal, miner-
niques give the lamas control over the local gods and spirits,
al, and animal origins, are used for healing. Use is also made
providing the basis of the Buddhist role in village affairs.
of diet, and of techniques of cupping and moxibustion.
However, the Buddhist stress on the illusory nature of appar-
BUDDHIST TANTRIC MEDICINE AND DIVINATION. Tantric
ent reality and the inevitability of suffering within sam:sa¯ra
(Vajraya¯na) Buddhism in Tibet, while centered on the
undoubtedly serves to relativize Tibetans’ attractions to this-
achievement of buddhahood, includes a wide variety of ritual
worldly matters. As David Lichter and Lawrence Epstein
techniques to bring about this-worldly results. In some of
(1983) have noted, most Tibetans look for worldly success
these, lamas mediate the powers of Tantric healing or long-
but maintain a “slightly ironic detachment” from a happiness
life deities (such as Bhais:ajyaguru, Amita¯yus, and White
that is at best impermanent.
Ta¯ra¯), conferring healing power on lay followers directly or
Death and dying are particularly associated with Bud-
through empowered substances, often pills (ril bu) similar to
dhism, and a consideration of healing should perhaps also
those used in a mchi medicine. Life-empowerment rituals of
encompass how terminal illness is dealt with. The Bar do thos
this kind were regularly performed by most major Tibetan
grol (Tibetan Book of the Dead) texts have become well
monasteries, forming part of annual community festivals.
known in the West, and provide a liturgy based on guiding
Consecrated substances, empowered water, and the like are
the consciousness of the dead person through the after-death
still widely used in cases of illness. They may also be used
states. Equally or more significant are the ’pho ba practices,
prophylactically in situations of perceived risk (for example,
which are aimed at achieving rebirth in a buddha realm (usu-
the selling of sweaters by Tibetan refugees on dirty, polluted
ally that of Amita¯bha) at the time of death. These techniques,
Indian streets). Situations of grib (pollution, spiritual con-
which have received little study from Western scholars, are
tamination) may arise from a variety of causes and will often
often taught nowadays to lay people, and offer dying people
be countered through the use of empowered substances.
a way of dealing positively with the final moments of life.
Other Vajraya¯na techniques derive from the alchemical
THE EFFECTS OF MODERNITY. The various discourses and
traditions of eighth- to twelfth-century India, which were
modes of healing discussed above were never separate, her-
closely linked with Tantric Buddhism. In these, complex
metically sealed modes of explanation. They overlapped and
medical compounds are prepared and further empowered
intersected in a variety of ways and continue to do so today.
through Tantric ritual. These “precious pills” (rin chen ril bu)
Thus grib, spirit attack, and soul loss are not always separable
are expensive, highly valued, and frequently used by lay peo-
categories, and a particular illness may be dealt with by a
ple either on the recommendation of a lama or a mchi or on
combination of a mchi medicine, Tantric purificatory rituals,
their own initiative. Ideally, they are taken under ritually-
and spirit-medium consultations. In Chinese-controlled
prescribed conditions and accompanied by prayers and man-
Tibet, in traditionally Tibetan areas of Indian and Nepal,
tra recitation.
and among Tibetan refugees, traditional Tibetan approaches
to healing continue to be used situationally, often in combi-
Lamas also have an important role as diviners, again
nation with ideas from Western medicine (usually known
using techniques derived in part from Vajraya¯na sources.
among Tibetans in South Asia as rgya gar sman, literally “In-
Divinations (mo) are frequently sought in cases of illness in
dian medicine”).
order to ascertain the most appropriate mode of treatment.
Other health choices (e.g., the most suitable location for
SEE ALSO A¯yurveda; Tibetan Religions, overview article.
childbirth) may also be made by recourse to divination. In
addition, some lay people have a reputation as diviners, and
spirit-mediums can also be asked for divination.
BIBLIOGRAPHY
Adams, Vincanne. “Suffering the Winds of Lhasa: Politicized Bo-
BUDDHIST ATTITUDES TOWARD ILLNESS. Beyond all this,
dies, Human Rights, Cultural Difference, and Humanism in
we can ask about the effects of Buddhist teachings on popu-
Tibet.” Medical Anthropology Quarterly 12 (1998): 74–102.
lar attitudes toward illness and health. Suffering and the tran-
Aschoff, Jürgen C. Annotated Bibliography of Tibetan Medicine
sitoriness of life are central themes for Buddhism in Tibet
(1789–1995). Ulm, Germany, 1996.
as elsewhere. As in other Buddhist countries, however, most
Clark, Barry. The Quintessence Tantras of Tibetan Medicine. Itha-
Buddhists in Tibet regard the attainment of Buddhist en-
ca, N.Y., 1995. Translates the first book of the classic medi-
lightenment as beyond their reach, at least in their present
cal text, the Rgyud bzhi.
lives, so lay Buddhist religious practice is focused mainly on
Connor, Linda, and Geoffrey Samuel, eds. Healing Powers and
future lives and on the performance of morally positive ac-
Modernity: Traditional Medicine, Shamanism, and Science in
tions that will lead to a good rebirth in the future.
Asian Societies. Westport, Conn., 2001. Contains articles on
Lay Tibetans are also interested in this-worldly success
Tibetan medicine today by Craig Janes, Vincanne Adams,
and prosperity, and this is largely the domain of the various
and Geoffrey Samuel.
regional and local deities (Yul lha, Sa bdag, Klu, etc). Much
Cornu, Philippe. Tibetan Astrology. Translated by Hamish Gre-
lay ritual, such as the widely practiced bsangs, fire-offerings
gor. Boston, 1997.
of fragrant wood, herbs, milk, butter, yogurt, etc., are direct-
Cuevas, Brian J. The Hidden History of the Tibetan Book of the
ed towards these local gods. Vajraya¯na Buddhist ritual tech-
Dead. New York, 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
HEALING AND MEDICINE: HEALING AND MEDICINE IN JAPAN
3867
Desjarlais, Robert. Body and Emotion: The Aesthetics of Illness and
class. However, the role of ancestors is to look after the living
Healing in the Nepal Himalayas. Philadelphia, 1992. A study
in very general and diffused ways and thus it is not covered
of illness and healing among Tibetans in northern Nepal.
here.
Dhonden, Yeshi. Health through Balance: An Introduction to Tibet-
MAJOR CHARACTERISTICS OF JAPANESE NOTION OF
an Medicine. Edited and translated by Jeffrey Hopkins. Itha-
HEALTH/ILLNESS/HEALING. Several major concepts that
ca, N.Y., 1986. Based on the Rgyud bzhi.
characterize the notions of health, illness, and healing are:
Janes, Craig. “The Transformations of Tibetan Medicine.” Medi-
health as an ephemeral state; the importance of the notion
cal Anthropology Quarterly 9 (1995): 6–39.
of balance, with imbalance leading to illness; the principle
Kuhn, Alice S. Heiler und ihre Patienten auf dem Dach der Welt:
of purity (health/balance) and impurity (illness/imbalance);
Ladakh aus ethnomedizinischer Sicht. Frankfurt, Germany,
and the importance of the intactness of the body.
1988. Ethnomedical study of Tibetan healing in Ladakh
(North India).
Upon birth, one receives a body with all its weaknesses,
including one’s taishitsu, “inborn constitution,” and jibyo¯, a
Lichter, David, and Lawrence Epstein. “Irony in Tibetan Notions
of the Good Life.” In Karma: An Anthropological Inquiry, ed-
chronic illness one is born with. The most commonly recog-
ited by Charles F. Keyes and E. Valentine Daniel,
nized taishitsu are “strong” (jo¯bu); “ordinary” (futsu’u);
pp. 223–260. Berkeley, 1983. Explores Tibetan ideas of hap-
“weak” (kyojaku); “nonenergetic and constitutionally suscep-
piness and suffering.
tible to illness” (senbyo¯shitsu); “very weak” (horyu¯shitsu); and
Meyer, Fernand. Gso-ba rig-pa: Le système médical tibétain. 2d ed.
“extra-sensitive” (shinkeishitsu). Others referring only to so-
Paris, 1984. Survey of the Tibetan medical system by the
matic characteristics of a particular body part include “chill-
leading Western academic specialist in this area.
ing disposition” (feeling of chill in the stomach and the legs),
Parfionovitch, Yuri, Fernand Meyer, and Gyurme Dorje, eds. Ti-
“tendency to get tired easily,” and others.
betan Medical Paintings: Illustrations to the Blue Beryl Treatise
Jibyo¯ means an illness or illnesses that a person carries
of Sangye Gyamtso (1653–1705). New York, 1992. Repro-
throughout life and suffers at some times more acutely than
duction of Tibetan medical paintings with extensive com-
at others. The word is written in two characters, the first one
mentary.
meaning “carrying” and the second one “illness.” Common
Schenk, Amelie. Schamanen auf dem Dach der Welt: Trance,
jibyo¯ are rheumatism (ryu¯machi), “weak stomach” (ijaku),
Heilung, und Initiation in Kleintibet. Graz, Austria, 1994.
“descended stomach” (ikasui), gastralia (ikeiren), excess
On shamans in Ladakh.
stomach acid (isankata), and high/low blood pressure.
Tibetan & Himalayan Digital Library. TDHL Medicine Collec-
tions. Available from: http://iris.lib.virginia.edu/tibet/
Many Japanese are quite aware of their own taishitsu and
collections/medicine/index.html. These pages provide exten-
jibyo¯. Parents are especially keen on being watchful over their
sive textual, visual, and bibliographical resources relating to
offspring’s departures from health by, for example, not al-
Tibetan medicine.
lowing a child with weak taishitsu to exert him- or herself.
G
One nurtures the body given at birth rather than trying to
EOFFREY SAMUEL (2005)
conquer and alter it, while constantly monitoring minute
fluctuations of the body. Even with the diffusion of jogging
and other health care practices from the United States, per-
HEALING AND MEDICINE: HEALING AND
fect health is seen as ephemeral and ordinary health is a con-
MEDICINE IN JAPAN
dition that fluctuates.
This article is confined to healing and medicine among the
This fluctuation is caused by an ever fluid system of
Japanese. For lack of space, no specific discussion on minori-
bodily balance and imbalance, the latter inviting an illness
ties in Japan, such as the Ainu, Koreans, Chinese, and Oki-
to take over the body, as further detailed in the section on
nawans, is included. Neither is the vast variation in practices
kampo¯. Bodily imbalance is a state of impurity, whereas its
among the Japanese specifically addressed. Excluded are the
balance/health is assigned the value of purity. The purity/
medical dimensions of the so-called new religions (shinko¯),
impurity opposition is an important principle that governs
shamanism, and ancestor worship. Numerous new religions
daily hygiene and notions of health and illness, as well as con-
mushroomed in Japan after World War II. Although they
temporary practices of shrines and temples.
have many adherents and health-related matters often occu-
py a central place in their beliefs and practices, their role in
Some of the most important early socialization training
health care is limited to their memberships. Once a powerful
for Japanese children is to take their shoes off, wash their
nonformalized religion in Japan, shamanism used to play a
hands, and, in some families, gargle when they come into the
significant role in the health care of the people, but much
house from outside. The Japanese explain this custom by
of it has now been transformed and absorbed into new reli-
stating that one gets dirty from germs outside. Although the
gions. Consequently, its importance for the general public
concept is expressed as “germs” in biomedical terms, it is the
has been significantly reduced. So-called ancestor worship re-
symbolic association of the spatial “outside” with culturally
mains perhaps the most important aspect of the religiosity
defined “dirt.” To keep oneself clean and healthy “inside”
of contemporary Japanese, including urbanites, regardless of
one’s living quarters, one must get rid of this dirt through
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cleaning/purification of impurity. Thus, even after Western-
poses (until recently, under American influence), surgery is
style housing, including apartments, were introduced, all
an extreme form of violence to the body, although its popu-
homes have a genkan, a square or rectangular space at the en-
larity has rapidly increased in the last couple of decades. The
trance where people take their shoes off. Many overseas Japa-
enormous hesitancy of the Japanese to adopt organ trans-
nese continue to adhere to this practice wherever they go.
plantation relates to this aversion to violence to the body, as
The “inside” includes seats on taxis, trains, and buses, where
well as to the importance they place upon the intactness of
children must take their shoes off if they wish to sit to look
the body, both for the living and for the dead; peaceful after-
out the window. The strikingly white starched covers on the
life is predicated upon the intactness of the body of the de-
seat of taxis and bullet trains are a symbolic expression of “in-
ceased.
side,” and people are expected to treat them as such.
In contemporary Japan kampo¯ comes in all shades, from
That the welfare of the body is essential to the welfare
orthodox practice to mass-produced and prepackaged ex-
of the soul is clearly expressed in the two most important and
tracts of herbs to street-corner computer diagnoses. The or-
interrelated characteristics of the Japanese concept of the
thodox kampo¯ practice today is a medicinal system developed
body: the intactness of the body (gotai) and nonviolence to
in Japan after its introduction from China. In a radical de-
the body. Together these notions lead to the Japanese em-
parture from biomedicine, kampo¯ does not recognize catego-
phasis on the “natural” state of the body or the “natural”
ries of illness. Diagnosis does not consist of labeling the ill-
course of life.
ness. Each departure from health is diagnosed on the basis
PLURALISTIC SYSTEM OF MEDICINE AND HEALING IN CON-
of the combined total of symptoms the patient experiences
TEMPORARY JAPAN. The perspective taken in this article is
and those the kampo¯ doctor detects. The sum total, called
the folk perspective of everyday health care rather than the
sho¯ko¯gun, is carefully evaluated against the sex, age, and con-
institutional or doctrinal perspective of Shintoism and Bud-
stitution of the patient and the climate in which the patient
dhism—two major institutional religions of Japan. The
resides in order to reach a proper prescription for treatment.
major characteristic of the Japanese system of medicine and
A kampo¯ doctor, using auditory, tactile, olfactory, and visual
healing is that it is pluralistic. The system includes: kampo¯
faculties in reading the patient’s condition, prescribes a spe-
(the Japanese system of healing with Chinese origin), healing
cific treatment. Its treatment consists of moxibustion (burn-
at the religious institutions of shrines (Shintoism) and tem-
ing of the cones of dried young mugwort leaves), acupunc-
ples (Buddhism), and biomedicine, of which only the first
ture, and herbal and animal medicine. In the case of herbs,
two are introduced here because they are embedded in reli-
it is a mixture consisting of a dozen or so, which the patient
gions and the worldview of the Japanese. Their peaceful co-
brews in an earthen kettle for a long time and drinks. Every
existence, as it were, is striking, since in terms of their basic
patient therefore has a unique illness and requires a unique
premise they are contradictory to each other. In addition, de-
set of treatments.
spite their basic differences, each absorbed others so that
Even though the American Occupational Forces pro-
biomedical health care makes room for kampo¯ and religious
hibited moxibustion and acupuncture at the end of the
elements. It is the people who adopted these different sys-
World War II and they went underground, in contemporary
tems and somehow made them into their own and use all
Japan not only has kampo¯ become enormously popular
of them simultaneously.
among laypeople but also the government has supported this
CHINESE-DERIVED JAPANESE HEALING: KAMPO¯. As with
system of medicine by financially supporting research in
other humoral medicines, traditional Chinese medicine is
kampo¯ and gradually adding kampo¯ treatments under health
based on “a system of correspondence,” rather than “a system
insurance coverage. It exists in a symbiotic mode with
of causation,” which characterizes biomedicine. For the Japa-
biomedicine in that it specializes in chronic illnesses, espe-
nese traditional medicine of kampo¯, derived from Chinese
cially those accompanied by chronic pain; new types of ill-
medicine, the basic premise of medical treatment is restora-
nesses, including gerontological illnesses; and illnesses result-
tion of the balance of the body, which then would remove
ing from environmental pollution and traffic and industrial
etiological conditions and therefore pathogens as well. Its
accidents, none of which biomedicine has been successful in
basic premise, therefore, is very similar to the Japanese folk’s
treating. Its popularity is also in part the result of reaction
understanding of health, illness, and healing.
to the negative side effects of biomedicine.
Given the premise, then, treatment is not aimed directly
RELIGIOUS HEALING: THE ROLE OF TEMPLES AND SHRINES
at removing the pathogen, and thus surgery is the polar op-
IN HEALTH CARE. Except for native Shintoism, other reli-
posite of the notion of treatment and is actually seen to fur-
gions were introduced from abroad: Buddhism from India
ther aggravate the body’s imbalance. Therefore, despite the
via Central Asia, China, and Korea; Confucianism, Daoism,
prestige and glory accorded biomedicine in Japan, the Japa-
and several other religions from China; and Korean shaman-
nese have been quite cautious and selective about adopting
ism. These religions have permeated the daily lives of the Jap-
surgery. For the Japanese, who avoid going outside after tak-
anese; they have become part of their customs without re-
ing a bath so as not to shock the body by the cold air and
quiring any psychological commitment on the part of the
who have not practiced body mutilations for aesthetic pur-
individual to any one of them. Most Japanese subscribe to
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HEALING AND MEDICINE: HEALING AND MEDICINE IN JAPAN
3869
more than one religion, often without consciously realizing
aborted fetuses, and numerous votive plaques are hung on
it. They go through Shinto¯ rituals related to life, such as
two wooden structures. Often apologies, such as “Please for-
births and marriages, but most funerals and the rituals relat-
give me/us,” are written and signed by the mother or by the
ed to the deceased are Buddhistic. The annual statistics on
couple. “Please sleep peacefully” is another common prayer
Japanese religious affiliation consistently list the total mem-
on these plaques.
bership in various religious organizations as one and a half
At the top of the hill, in front of the main hall, is a large
times the total population of Japan. In other words, over half
metal incense burner. People buy bundles of incense, light
of the people in Japan belong to more than one religious or-
them, and place them in the burner; many then “scoop” up
ganization.
the smoke with a hand and bring it onto an ailing part, such
The current popularity of temples and shrines in Japan
as the hip, to apply its “healing power.” Visitors, especially
is phenomenal and in fact has been increasing for some time.
women with infants, also purchase white bibs, write prayers
Many temples and shrines throughout Japan attract literally
and their names and addresses on them, and hang them on
millions of people a year for a number of reasons, including
a stake around the buddha in front of the main hall. The
pure tourism. They go to these religious institutions by tour
main hall itself houses two offices. On the right side is a small
buses, with friends and families, or alone. Temples and
office where the temple employees sell sashes. Many preg-
shrines provide healing of illness, promotion of the general
nant women in Japan continue to wear the traditional long
welfare of the people, or promise of the fulfillment of wishes.
white sash (iwata obi) over the stomach during pregnancy.
After purchasing a sash, a woman would ask the priest of the
Healing of illnesses. Some temples and shrines are
temple to write a su¯tra on it. They then take it to their
known for their efficacious administration of moxibution or
biomedical obstetrician, who writes a character for happiness
acupuncture so that it is hard to draw a line between kampo¯
in red on the sash. On the left is another small office where
and healing at these religious institutions. On the other
used sashes must be returned.
hand, people go to most of these institutions to purchase am-
ulets and talismans that are thought to have healing power,
The composition of visitors to Nakayama Temple also
and they write their prayers/wishes on votive plaques.
reflects the complex human network involved in childbirth.
Although pregnant women and mothers with young children
Some of these institutions are so popular that bus com-
comprise the core of the visitors, many are accompanied by
panies operate regular tour buses that take people to them.
older women and sometimes by older men. A number of
The tours for older people target temples and shrines that
women are accompanied by their husbands, reflecting the re-
specialize in illnesses of older people, such as strokes and
cently increased emphasis on the conjugal bond and the nu-
hemorrhoids. On the other hand, medical and other uses of
clear family.
temples and shrines are by no means confined to the aged.
With an increase in the cancer rate, those that specialize in
The central focus of the temple is childbirth and matters
the cure of cancer are visited by people of all walks of life and
related to infancy, including easy and safe delivery, the
of all ages. For example, the deity enshrined at Ishikiri Shrine
healthy growth of children, and memorial services for
to the northeast of Osaka used to be good for various kinds
aborted fetuses. The temple has long served also as a place
of boils and growths, but its major appeal at present is its effi-
for the shichigo-san celebration—a celebration marked by a
cacy in treating cancer. Visitors here are not confined to the
visit to a shrine, usually on November 15, when a child is
aged, although young people are fewer because cancer afflicts
three, five, and seven years old (shichigo-san means seven,
mostly older people.
five, and three).
A number of temples and shrines are known for their
General welfare and prayers for wishes. Young people
power to guarantee safe and easy childbirth and illnesses re-
may go to temples and shrines less for illnesses than for other
lated to childbirth, which is not considered illness in itself.
reasons; most common are success in entrance examinations
A brief description of Nakayama-dera near Osaka shows the
and luck in finding a boy- or girlfriend. These wishes are
role of religion among people in their day-to-day lives. The
written on votive plaques and hung on a wooden structure
major hall (hondo¯) of the temple is situated on top of a hill
provided for them. Similarly, with a strong emphasis on
and flanked by numerous jizo¯, the guardian buddha of chil-
school trips in Japanese schools, one often sees school tours
dren, on the hillside. On both sides of this central pathway
at temples and shrines, with elementary, middle, and high
are separate temples enshrining various buddhas, each spe-
school students flocking to buy amulets, charms, and other
cializing in a certain function. One is a temple that special-
souvenirs for themselves and for their families. The young-
izes in success in the university entrance examination. An-
sters today hang the amulets and charms for protection from
other temple enshrines a buddha who specializes in taking
traffic accidents on their knapsacks or pocketbooks, just as
care of infants who have temper tantrums, do not sleep, cry
every taxi and private car, even those driven by young people,
at night, or are constitutionally very weak. Another temple,
has an amulet for traffic safety hanging from the rearview
which bears a sign in front for traffic safety and the naming
mirror.
of newborn infants, also houses Mizuko Jizo¯ (the jizo¯ buddha
One of the most popular uses of shrines and temples in
for aborted fetuses). Inside this temple are many jizo¯ for
contemporary Japan is for the purification of automobiles on
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3870
HEALING AND MEDICINE: HEALING AND MEDICINE IN INDIGENOUS AUSTRALIA
New Year’s Day. With the rapid increase in private car own-
Hori, Ichiro. Folk Religion in Japan. Chicago, 1968.
ership, “my car”—a term borrowed from English and pro-
Miyata, Noboru. Kinsei no Hayarigami (Gods of Epidemics during
nounced in Japanese as “mai ka”—is both a popular word
the Early Modern Period in Japan). Tokyo, 1975.
and a symbol of a new way of life, symbolizing the new em-
Mizobe, Ryo¯. “Gendai jiin to gensei riyaku” (Temples and their
phasis on nuclear families and the image of young parents
efficacies today). In Nihon Shu¯kyo¯ no Gensei Riyaku (Practical
with strong conjugal bonds, contrary to the image of the tra-
Benefits of Japanese Religions), edited by Nihon Bukkyo¯
ditional extended family. Despite the modern image of these
Kenkyu¯kai, pp. 408–423. Tokyo, 1970.
“my car” owners, who are usually young or middle-aged, all
Norbeck, Edward. Religion and Society in Modern Japan: Continu-
flock to shrines and temples on New Year’s Day to have their
ity and Change. Houston, Tex., 1970.
cars purified. This is the time when the Japanese engage in
all sorts of activities to get rid of impurity accumulated dur-
Ohnuki-Tierney, Emiko. Illness and Healing among the Sakhalin
Ainu: A Symbolic Interpretation. Cambridge, U.K., 1981.
ing the past year, but the purification of “my car” is a new
addition. The purification service includes a purification rite,
Ohnuki-Tierney, Emiko. Illness and Culture in Contemporary
a prayer, amulets, and bumper stickers. The service has be-
Japan: An Anthropological View. Cambridge, U.K., 1984.
come so profitable for temples and shrines that some of them
Ohnuki-Tierney, Emiko. Nihonjin no Byo¯kikan (Japanese Concepts
have constructed extra parking space and other facilities to
of Illness). Tokyo, 1985.
accommodate “mass” purification rites.
Ohnuki-Tierney, Emiko. “Health Care in Contemporary Japa-
nese Religions.” In Caring and Curing: Health and Medicine
Goriyaku: “Occupational specializations” of deities
in the Eastern Religious Traditions, edited by L. E. Sullivan,
and buddhas. To the Japanese, perhaps the most meaning-
pp. 59–87. New York, 1989.
ful feature of the multitude of deities, buddhas, and other
supernaturals is their goriyaku—the benevolent functions
Ohnuki-Tierney, Emiko. “Brain Death and Organ Transplanta-
tion: Cultural Bases of Medical Technology.” Current An-
they perform. The lives and fates of these deities do indeed
thropology 35, no. 3 (1994): 233–254.
reflect the major concerns of people of the time. Outmoded
specializations are often discarded or transformed into new,
Smith, Robert J. Ancestor Worship in Contemporary Japan. Palo
more meaningful roles. The roles related to childbirth, child
Alto, Calif., 1974.
welfare, and general matters of illness and health comprise
Swanger, Eugene R. “A Preliminary Examination of the omamori
over half of the specializations of temples and shrines in gen-
Phenomenon.” Asian Folklore Studies 40, no. 2 (1981):
eral, indicating that these are perennial concerns of the peo-
237–252.
ple. In contrast, functions related to calamities, including
EMIKO OHNUKI-TIERNEY (2005)
traffic accidents, are much fewer in number, and their nature
changes over time. For example, natural disasters and fire
were major concerns in the past and were reflected in the spe-
cializations of deities and buddhas at the time. Contempo-
HEALING AND MEDICINE: HEALING AND
rary Japanese seem to place more emphasis on luck and suc-
MEDICINE IN INDIGENOUS AUSTRALIA
cess in life. Of paramount importance in the past, the deity
The indigenous peoples of Australia, the Australian Aborigi-
of smallpox is no longer meaningful in contemporary Japan,
nes, settled the continent more than forty thousand years
and its function had been expanded to incorporate conta-
ago, with some archaeological estimates placing their occu-
gious diseases in general. Likewise, the Deity of Coughing
pancy at well over fifty thousand years ago. It is most likely
was originally a very popular deity when influenza was a
that their forebears crossed from Southeast Asia during the
major threat. Since influenza is better controlled in contem-
Pleistocene period, coming first to the northwest coast and
porary Japan, the deity is now also consulted for chronic res-
migrating south and east. By the time European explorers
piratory illnesses, including asthma.
and then settlers arrived on Australia’s shores in the late eigh-
S
teenth century, Aboriginal societies, although sharing an
UMMARY. The roles played by religions in contemporary
Japan offer an example of how religions remain important
economy based on hunting and food gathering, were linguis-
in people’s lives, including the young, in contrast to a view
tically and culturally diverse, living across the continent in
of unilinear “progression” in which religion is replaced by
environments of distinctive ecology and climate. These
science. Japan’s case is by no means unique, as Americans re-
ranged from inland desert to tropical and temperate coastal
main profoundly religious, though not in the same way the
zones and alpine regions. Although self-contained for most
Japanese are, and in many postindustrial European coun-
purposes, neighboring clans gathered for major ceremonies,
tries, such as France and Italy, folk religions—religions as
and localized tribal groupings participated in the trade of
practiced by the folk—remain important in their medicine
goods (such as stone tools, pearl shell, and native tobacco)
and healing.
across hundreds, sometimes thousands, of kilometers.
The health of Aborigines in precolonial times can only
BIBLIOGRAPHY
be extrapolated from the descriptions of early explorers, set-
Blacker, Carmen. The Catalpa Bow: A Study of Shamanistic Prac-
tlers, and missionaries, and from knowledge of the tradition-
tices in Japan. London, 1975.
al diet and lifestyle. It is generally accepted that individuals
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HEALING AND MEDICINE: HEALING AND MEDICINE IN INDIGENOUS AUSTRALIA
3871
were in good health, lean and fit, and that the greatest risks
the Central Desert and tropical north of Australia, where in-
lay in periods of famine, accidents, drownings, fighting be-
digenous language, religion, and concepts of being are still
tween clans, childbirth, predation (by, for instance, sharks
strongly held. These are the communities that were least af-
or crocodiles), bites by poisonous snakes and spiders, and
fected by what many now describe as the invasion and appro-
such diseases or conditions as treponematosis, arthritis, con-
priation of traditionally owned lands, the forcible resettle-
genital malformations, and some cancers (Webb, 1995). In
ment of Aborigines on missions and government reserves,
this context, despite a richly differentiated suite of about 250
the “stolen generation” (young children taken from their
languages and local cultural and religious traditions, broadly
families to group “homes” for reeducation and Angliciza-
similar systems of indigenous medical practice and belief—
tion), massacres, and the devastating impact of waves of in-
again with local elaboration and variation—developed across
fectious diseases. For communities that were not as harshly
the continent and Tasmania.
subject to such violence, suffering, upheaval, and repression
of language and culture, indigenous frameworks continue to
There are few written descriptions of Australian indige-
be powerful sources of explanation and interpretation.
nous concepts of health, what it means, or how it can be
maintained. Greater emphasis is given to the causes and
Central Australian groups widely invoke the kadaitcha
treatment of illness. The Kukatja of the Western Desert, as
(or kwertatye), an Arrernte word meaning “evil person walk-
described by Anthony Peile (1997, p. 130), hold that health,
ing about.” The term can refer both to men who are secret
in the popular sense, consists of the body being “cold” and
killers and to the feathered slippers they wear to hide their
“dry,” and, in the spiritual sense, of having the spirit in the
footprints and silence their footfall as they track their vic-
area of the navel and the stomach. Such a feeling of “cold”
tims. Among the Aranda/Anmatjirra Central Desert people,
is different from coldness caused by wind, sickness, or sor-
illness caused by kadaitcha and others who have acquired the
cery, which makes a person’s spirit shiver. Several authors
requisite knowledge or powers is known as arrengkwelthe.
document ideas of health as encompassing the person and
Kadaitcha executions by “singing,” “boning,” or other dan-
his or her spiritual well-being and home country. Health is
gerous modalities are assumed to be carried out for offenses
also characterized by strength, happiness, and “safety,” in the
relating to secret ritual and religious knowledge and ceremo-
sense of obeying the laws of the community and being cared
nies, desecration or trespass in sacred areas (i.e., those associ-
for (Mobbs, 1991). In an urban setting ideas of fitness,
ated with “Dreaming” or creation stories), killings and as-
bright eyes, shiny hair, cheerfulness, looking after one self,
saults, or other serious breaches of the social or religious
and not drinking too much alcohol are all expressed as quali-
order.
ties of a healthy person (Nathan, 1980).
A parallel figure is the galka of northeast Arnhem Land
The attributed causes of illness and injury had parallel
in the high northern tropics of Australia (Reid, 1983). Galka
modes of treatment and response, based primarily on symp-
are individuals who have acquired the power and training to
toms and severity. All maladies except death by old age or
kill by stealth. One of the most detailed descriptions of the
in early infancy were interpreted as the consequence of
way galka attack, immobilize, and operate on their victims
breaches of social or religious proscriptions and command-
was given to Lloyd Warner (1958) in the 1930s by commu-
ments. The women of each language group were the primary
nity members and by a self-confessed sorcerer who claimed
keepers of extensive traditional pharmacopoeia—or in En-
to have killed several people using elaborate and magical
glish, “bush medicines”—employed to treat identifiable
“surgery.” Today most people will claim that galka come
symptoms or injuries that responded to herbal treatment. It
from distant and potentially hostile groups, rather than from
is likely that in all communities there were spiritual healers.
within.
They were generally men, if the written reports are taken as
Galka attacks typically have four phases. First, the per-
representative. Their skills were engaged where herbal and
petrator is believed either to waylay solitary victims in an iso-
other “natural” treatments did not work, or when the causes
lated spot or to draw victims to a secluded location where
of the condition were thought to be supernatural in origin,
they will not be disturbed. Second, the galka puts the victim
be they malign or angry spirits or human sorcerers able to
to sleep, cuts the body open, removes or mutilates certain or-
draw upon extra-human powers.
gans, and drains away the victim’s blood. The galka may in-
Almost all premature deaths would have been, and still
sert stones or objects in place of organs or blood. Third, the
are in many communities, subject to forensic speculation and
galka induces amnesia in victims to ensure that they are ei-
inquiry about the cause, the responsible persons or agents,
ther unable to remember or unable to recount anything
the reasons, and in some cases the appropriate retribution.
about the attack. Fourth, the victim dies, usually within
Each of these domains of illness, bodily harm, healing, and
hours or days of returning home.
explanation, although diverse and complex, have been de-
The source of a galka’s power may be tutelage by other
scribed in journals and ethnographies from the late eigh-
sorcerers, or it may come from association with death or the
teenth century onwards.
spirits of the dead. The galka’s acquired techniques are sever-
SORCERY. The figure of the skilled and secretive human sor-
al, although in this area there are as many reported variations
cerer remains ubiquitous across Aboriginal communities in
of these weapons or techniques as there are people willing to
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HEALING AND MEDICINE: HEALING AND MEDICINE IN INDIGENOUS AUSTRALIA
talk about them. One frequently mentioned weapon across
which serious misfortune, illness, or death could ultimately
Australia is a sharpened object, such as a bone taken from
be attributed. Murder, of course, is reason for revenge, either
a victim’s arm, a stingray barb, or a piece of hardwood that
directly by the responsible kin of the deceased or by contract-
has been rubbed with the blood or flesh of a dead body. The
ing the services of a skilled sorcerer.
weapon is pointed at the victim, with incantations or songs,
whereupon the victim slowly sickens and dies. “Image
From the point of view of an outsider, it is impossible
magic” is also designed to “kill a person’s spirit.” The intend-
to say whether kadaitcha, galka, or other workers of malign
ed victim’s image or name is drawn in a sacred and powerful
magic actually exist or are solely part of an explanatory
place, and spells are uttered according to the areas of the
framework for the misfortunes that strike individuals and
body being targeted. Alternately, the galka may follow a per-
constitute an acute threat not only to the sufferer but to fam-
son, piercing his footprints with a spear or hot object and
ily and community. Certainly some individuals have claimed
willing an illness upon him (such as leprosy), which slowly
to be sorcerers, have shown sorcery items to inquirers, or
penetrates and “rots” the body. Individuals are usually care-
have described their feats (e.g., Warner, 1958). A 1993 paper
ful about disposing of hair and nail clippings, excreta, blood,
from the Aboriginal Resource and Development Services
or personal clothing infused with sweat or bodily fluids, since
warned of an increase in sorcery in northern Australia, de-
it is believed that a sorcerer who obtains any of these can
scribing it as a “real” phenomenon, not solely an explanation
heat, burn, or bury them to cause a debilitating or deadly
for misfortune. Whatever the interpretation of sorcery fears
condition. In contemporary society it is sometimes held that
and accusations, they do address the why of illness and death,
galka can extend their arsenal of weapons by using modified
not just the what.
bullets, battery acid, flashlights, or other items with similar
In contemporary society Aboriginal people are usually
spells and effects.
familiar with Western medical notions of pathology, injury,
The transgressions or enmities said to provoke attacks
pathogens, and organ failure (such as heart disease). Indeed
of these kinds are broadly similar across Australia, although
Aborigines today, like many fourth-world peoples, suffer
they differ in detail and description from place to place. All
very high rates of degenerative illness (such as diabetes, kid-
transgressions center on conflicts or acute mistrust between
ney failure, heart disease, and cancer), familial and intercom-
individuals and groups, on breaches of social and religious
munity violence, midlife mortality, alcoholism, and sub-
laws that cannot go unpunished, or on deaths, theft, or vio-
stance abuse. There are far too many occasions in which
lence that must be avenged. For instance, if a man reveals
people are impelled to search desperately for meaning and
secret religious knowledge that is not his to pass on, or if a
causation in the early death of a relative from illness or inju-
woman enters a sacred area or views a religious object with-
ry, sifting through signs, symptoms, and circumstances for
out permission or the authority of age and standing in the
an answer. The bereaved may understand and accept a medi-
community, the offender may be punished by sorcery. A fail-
cal explanation of the proximate cause, such as bleeding on
ure to honor the webs of ritual and social or economic obli-
the brain from a blow to the head, injury in a car accident,
gations that exist between tribal groups and individuals may
a crocodile attack, a heart attack, pneumonia, or renal failure,
be considered sufficient cause for retribution.
but they still invoke an ultimate cause that relies on their
own understanding of the dangerous forces at work in
The theft of land, ritual objects or ceremonial body
human affairs and the sacred domain. For example, they may
painting designs, trespass on others’ sacred sites or the un-
consider the cause to be that the dead person was “doomed”
authorised use of others’ creation myths and songs, are all
by sorcery to be bitten by a snake (Roth, 1903, p. 28). Even
given as a legitimate reason for seeking revenge, as are per-
in communities where the language and traditional culture
sonal grievances arising out of broken marriages or adultery.
have been overwhelmed by white colonization, such beliefs
Forbidden or inappropriate love affairs cause serious ten-
continue to be held in attenuated forms (Clarke, 1999).
sions, especially in societies where marriage and relationships
are strictly governed by kin relationships, some of which may
Human agency is not the only possible cause of afflic-
be prohibited to the point of actual avoidance of each other
tion. Misfortune may also be visited directly on a victim as
by individuals who are related in specific ways. Where be-
a result of breaches of the conventions and laws surrounding
trothals are negotiated between families for their children,
the Dreaming, or those governing sacred places and their res-
and girls are “promised” as marriage partners in infancy (or
ident spirits, religious rituals, and sources of supernatural
even before birth), particular tensions will arise if either fu-
power, such as key locations or ceremonial objects (Biernoff,
ture partner breaks the agreement by marrying or consorting
1978; Morphy, 1991, p. 261). Evil spirits are recognized in
with someone else. In addition to matters of family and the
many Aboriginal language groups by various names: for ex-
heart, jealousy over achievements, position, or power may be
ample, ju ju (Warlpiri), arrentye (Aranda), and mamu (Pit-
seen as motivation for the contracting of a sorcerer to cause
jantjatjara). Most groups also recognize spirits of the dead
a serious illness or death.
and spirit custodians of sacred places (Nathan and Japanang-
ka, 1983). A trespasser in a dangerous (“poison”) or forbid-
Everyone can trace grievances, conflicts, or offences in
den location, particularly a person who is not the owner of
his or her own extended family, recent or longstanding, to
the area or otherwise authorized to be there, may contract
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HEALING AND MEDICINE: HEALING AND MEDICINE IN INDIGENOUS AUSTRALIA
3873
boils, leprosy, or weakness, may sustain bone fractures, or
ment of the sufferer through touch, sucking, massage, and
may even have his or her spirit stolen by the guardian, cre-
pressure on certain parts of the body, during which the ma-
ation, or ancestral spirit that dwells there (Berndt, 1982).
barn’s own objects of power may be inserted into the pa-
tient’s body, or objects of sorcery may be removed. The heal-
Similarly, if an uninitiated person approaches too close
er’s spirit helpers may be summoned to assist in the
to or handles sacred objects, whether intentionally or unin-
treatment. An alternate modality is the use of dream travel
tentionally, the power inherent in those objects may be re-
or dream consultations with spirit beings or helpers.
leased and cause harm, either directly to the transgressor or
to those nearby. Epidemics or illnesses may be linked to such
Treatment sessions are almost always public, with the
a breach. Illnesses may also be linked to the flouting of food
healer talking to the patient, the family, and onlookers as he
taboos related to menarche, pregnancy, and birth. Such food
works, while explaining, reassuring, and talking through his
taboos may also be linked to religious occasions and rites of
diagnosis, remedial activity, and insights into the cause and
passage, and include the right to eat or proscriptions against
its removal. The mabarn’s challenge is to counter the work
eating animals that are totems for a particular clan or extend-
of the sorcerer (called djinagarbil in the Western Desert), the
ed family (Spencer and Gillen, 1968). Some bush foods are,
same challenge facing such healers as the marrnggitj of north-
in fact, poisonous and cannot be eaten at all or unless proper-
east Arnhem Land (Reid, 1983), the margidjbu of western
ly prepared. Women are expected to be particularly careful
Arnhem Land (Berndt, 1982), or the ngangkere (ngangkayi)
with their diet in order not to cause birth complications or
of the Central Desert. The djinagarbil are men who travel
deformity in an unborn child; mothers may also observe di-
from distant places, enter a community in darkness, find the
etary restrictions in the early months of a child’s life.
victim (who will usually be away from camp when captured),
stun the person, and insert a lethal item into his or her body;
HEALERS. Throughout Australia the figure of the tradi-
the djinagarbil then revives the victim, who returns to camp
tional healer, called a “clever man,” “medicine man,” or oc-
unaware of the attack, then sickens and dies. People in the
casionally “medicine woman” (Bell, 1983; Peile, 1997,
Western Desert area are also at risk of attacks by malevolent
pp. 174–175), is a powerful and often reassuring counterbal-
spirits (marlbu), and the loss of the nunu (soul), both of
ance or antidote to the threat of inexplicable or life-
which may be discerned and treated by a mabarn.
threatening illness (see Elkin, 1945; Spencer and Gillen,
1968; Warner, 1958). Central Australian healers called
Like the mabarn, the marrnggitj of northeast Arnhem
ngangkere, while having at their disposal the means to inflict
Land has been described as “the reverse of the coin on whose
death, primarily practice counter-sorcery. Ngangkere may re-
other surface appears the black sorcerer” (Warner, 1958).
move objects inserted into the victim’s body by a sorcerer,
Marrnggitj are generally ordinary members of the communi-
restore the lost or disturbed spirit of a person who has been
ty, differentiated only by their possession of special powers
“sung” or “boned,” diagnose illness, converse with spirits,
acquired through dramatic rites of passage or the patronage
read minds, dream travel, see into a person’s body, endure
of spirit familiars who assist and empower them.
psychic terrors, exercise telepathic powers (Elkin, 1945), pre-
side over inquests into deaths, and identify a murderer (Na-
In a 2003 story, the journalist Nicolas Rothwell de-
than and Japanangka, 1983). The mabarn of the Western
scribed an encounter he had with a maparnjarra (mabarn)
Desert similarly has the power to cure illness, influence the
in Central Australia. The maparnjarra described to Rothwell
weather, and chase away evil spirits (Tonkinson, 1982). The
the experience of dying spiritually and being reborn with the
source of the mabarn’s power is in magical objects that are
ability to see at night, to receive charged dreams, to roam in
usually kept in the stomach or, less often, in the arms, thigh,
other realms, to see a person’s spirit, to look inside a person’s
or head and removed when needed for healing activities.
body, and to project his body through space. The work of
healers today, in areas where they still practice, is intertwined
However they work, these healers all have in common
with that of Western healthcare providers, some of whom
extraordinary powers, wisdom, and skills that enable them
work in tandem with healers, recognizing their powerful in-
to diagnose and cure sickness. In Western Desert communi-
fluence and standing with their communities—and the faith
ties the healers are often sons or brothers of other healers, and
their communities place in them. The ill or seriously trou-
it is generally held that they are born with their powers. Such
bled are often pragmatic in their choices of treatment, de-
powers are considered to be djugurdanidjanu (from the
pending on the symptoms, severity, or duration of the illness.
Dreamtime). However, in most areas for which there is writ-
They will try various treatments in both medical systems for
ten information, an aspiring healer must pass through a form
relief and recovery, in much the same way that people the
of initiation that may involve isolation, encounters with the
world over use both conventional and alternative therapies
spirit world, an experience of being ritually “killed” and re-
in the pursuit of good health or a cure for intractable illness,
vived, transportation to secret and powerful places in dreams,
chronic pain, and suffering (Mobbs, 1991). Indeed, in
encounters with the dead, and other often frightening experi-
Christianized communities in Australia the boundaries be-
ences (Elkin, 1945; Reid, 1983; Roth, 1903). Powers to heal
tween Christian and indigenous beliefs blur, with the power
are associated with certain sites of significance, ancestral be-
of Jesus, the Holy Spirit, angels, or the apostles conflated
ings, or totems. These powers are manifested in the treat-
with that of the mabarn in the healing quest (McDonald,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3874
HEALING AND MEDICINE: HEALING AND MEDICINE IN INDIGENOUS AUSTRALIA
2001, pp. 142–146). In fact, the marrnggitj, mabarn, ngang-
Aboriginal medical beliefs and practices constitute inter-
kere, and spiritual healers from other regions “perform sever-
nally logical and powerful systems of explanation and heal-
al of the functions associated in Western society with the
ing, which both draw upon and reinforce the social and reli-
doctor (healing the body), the therapist (healing the mind),
gious orders. Traditional Australian medical practices have
the priest (comforting and instilling faith), and the coroner
been adapted to contemporary realities and have absorbed
(determining the cause of death)” (Reid, 1983, p. 78).
Western medical ideas and treatments, but in many commu-
OTHER HEALING PRACTICES. “Bush medicines,” as they are
nities they retain their underlying integrity and force, provid-
described in English, were, and in some areas still are, used
ing a framework for interpreting and gaining some sense of
to treat a wide range of injuries and ailments. Most such
mastery in an unpredictable and threatening world.
medicines are derived from the bark, roots, or leaves of
SEE ALSO Australian Indigenous Religions.
plants, but people may also use sea flora or invertebrates,
earths and clays, insects, insect nests, charcoal, molds, and
BIBLIOGRAPHY
fungi. A wide range of remedies exists for the treatment of
Aboriginal Resource and Development Services (ARDS). Galka
skin conditions, toothache, bites and stings, wounds, burns,
Djama (Sorcery) and Its Increasing Use. Information Paper
general malaise and pain, and eye, gastrointestinal, and upper
No. 4. Darwin, Australia, 1993.
respiratory tract infections (Roth, 1903, pp. 38–42; Saggers
Bell, Diane. Daughters of the Dreaming. Sydney, 1983; 2d ed.,
and Gray, 1991, pp. 43–45). The Warlpiri of central Austra-
Minneapolis, 1993.
lia classify remedies as intended for rubbing, drinking, tying,
Berndt, Catherine H. “Sickness and Health in Western Arnhem
sniffing, chewing, and smoking (blowing the smoke of a
Land: A Traditional Perspective.” In Body, Land, and Spirit:
burning plant over the patient). One study of Yolngu medi-
Health and Healing in Aboriginal Society, edited by Janice
cines (northern Australia) documented the indigenous and
Reid, pp. 121–138. St. Lucia, Australia, 1982.
botanical names, preparation, and application of over one
Biernoff, David. “Safe and Dangerous Places.” In Australian Ab-
hundred plants (Scarlett et al., 1982).
original Concepts, edited by Les R. Hiatt, pp. 93–105. Can-
berra, Australia, 1978.
In general, stewardship of local pharmaceutical knowl-
Clarke, Phillip A. “Spirit Beings and the Aboriginal Landscape of
edge rests with the women of the community, although all
the Lower Murray, South Australia.” Records of the South
community members will be broadly familiar with common
Australian Museum 31, no. 2 (1999): 149–163.
medicines and are able to find and use them when needed.
Elkin, A. D. Aboriginal Men of High Degree. St. Lucia, Australia,
Women care for, wash, massage, and minister to the sick.
1945; 2d ed., 1977.
Diane Bell describes how female relatives of a sick Warlpiri
Horton, David, ed. The Encyclopaedia of Aboriginal Australia. 2
person may prepare goanna and witchetty grub fat and red
vols. Canberra, Australia, 1994.
ocher, then massage the patient in much the same way as a
McDonald, Heather. Blood, Bones, and Spirit: Aboriginal Chris-
ngangkayi (traditional healer) might. They may also sing
tianity in an East Kimberley Town. Melbourne, 2001.
Dreaming songs. According to Bell, women’s health-giving
Mobbs, Robyn. “In Sickness and Health: The Sociocultural Con-
ceremonies, practices, and religious songs give “love, care and
text of Aboriginal Well-being, Illness, and Healing.” In The
power” (1983, p. 161). Women control the collection and
Health of Aboriginal Australia, edited by Janice Reid and
preparation of medicines relating to menarche, menopause,
Peggy Trompf, pp. 292–325. Sydney, 1991.
pregnancy, childbirth, contraception, abortion, and breast-
Morphy, Howard. Ancestral Connections: Art and an Aboriginal
feeding, all described in English as “women’s business.” In
System of Knowledge. Chicago, 1991.
contemporary communities, however, much of women’s
Nathan, Pam. A Home Away from Home: A Study of the Aboriginal
knowledge and authority in childbirth and infant care has
Health Service in Fitzroy, Victoria. Bundoora, Australia,
been usurped by health professionals using Western medi-
1980.
cine, and traditional medicines and rituals have become less
Nathan, Pam, and Dick Japanangka. Health Business: A Commu-
central.
nity Report for the Central Australian Aboriginal Congress and
Its People. Melbourne, 1983.
Not all illnesses are attributed to supernatural causes. It
Peile, Anthony. Body and Soul: An Aboriginal View. Edited by
is well understood that some conditions are self-limiting and
Peter Bindon. Perth, Australia, 1997. A collection of Peile’s
not serious. Some may be the result of contagion, emotional
writings edited and published after his death.
upset, foods, heredity, old age, predation, pregnancy, neglect
Reid, Janice. Sorcerers and Healing Spirits: Continuity and Change
(of self or by others), self harm, or even exposure to very hot,
in an Aboriginal Medical System. Sydney, 1983.
wet, cold, or windy weather. Today other risks and threats
Roth, W. E. The Queensland Aborigines, vol. 2, North Queensland
have emerged in the abuse of alcohol, tobacco, and drugs (in-
Ethnography. Bulletin no. 5: Superstition, Magic, and Medi-
cluding the sniffing of gasoline), as well as in motor vehicle
cine. Brisbane, Australia, 1903.
accidents, poor nutrition, poverty, unsanitary living condi-
Rothwell, Nicolas “Old Black Magic.” Weekend Australian Maga-
tions, and family violence. These are all typical of patterns
zine 4018 (May 17, 2003): 25–27.
of deprivation and illness suffered by indigenous peoples in
Saggers, Sherry, and Dennis Gray. Aboriginal Health and Society:
many countries, whose land, resources, and identity have
The Traditional and Contemporary Aboriginal Struggle for Bet-
been affected by colonization and dispossession.
ter Health. Sydney, 1991.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEALTH AND RELIGION
3875
Scarlett, Neville, Janice Reid, and Neville White. “Bush Medi-
After the French Revolution at the end of the eighteenth
cines: The Pharmacopoeia of the Yolngu of Arnhem.” In
century, however, medicine became more and more separat-
Body, Land, and Spirit: Health and Healing in Aboriginal So-
ed from religious influences. Despite this trend, many hospi-
ciety, edited by Janice Reid, pp. 154–191. St. Lucia, Austra-
tals continued to be affiliated with and supported by reli-
lia, 1982.
gious institutions, both in the United States and western
Spencer, Baldwin, and F. J. Gillen. The Native Tribes of Central
Europe. With the rise of science in the latter half of the nine-
Australia. London, 1899; reprint, New York, 1968.
teenth century, the separation between religion and medicine
Tonkinson, Myrna. “The Mabarn and the Hospital: The Selec-
became complete. In the early twentieth century, Sigmund
tion of Treatment in a Remote Aboriginal Community.” In
Freud wrote prolifically about the neurotic aspects of reli-
Body, Land, and Spirit: Health and Healing in Aboriginal So-
gion, influencing both the field of psychology and medicine.
ciety, edited by Janice Reid, pp. 225–241. St. Lucia, Austra-
lia, 1982.
As a result, religion came to be seen within the scientific
health-care profession as either irrelevant to health or inimi-
Warner, W. Lloyd. A Black Civilisation: A Study of an Australian
Tribe. New York and London, 1937; rev. ed., New York,
cal to it. This was before systematic, large-scale research
1958.
studies began to objectively examine the relationships be-
Webb, Stephen. Palaeopathology of Aboriginal Australians: Health
tween health and religious belief and practice.
and Disease across a Hunter-Gatherer Continent. Cambridge,
RELIGION VERSUS SPIRITUALITY. In the late 1980s the term
U.K., 1995.
spirituality began to be used in preference to the word reli-
White, J. Peter. “Prehistory.” In The Encyclopaedia of Aboriginal
gion, since religion suggested doctrine, divisiveness, and insti-
Australia, edited by David Horton, vol. 2, pp. 839–840.
tutional power, whereas spirituality was seen as more person-
Canberra, Australia, 1994.
al and inclusive. For the purposes of this entry, religion is
JANICE REID (2005)
defined as an organized system of beliefs, practices, and ritu-
als designed to connect a person to the sacred or transcen-
dent (god, ultimate truth, ultimate reality), and to promote
HEALTH AND RELIGION. Since the mid-1980s,
one’s relationship and responsibility to others within the
there has been increasing interest in the relationship between
context of a faith community. Spirituality, on the other
religion and health. Consider that a MEDLINE search of all
hand, is understood as a personal quest to understand the an-
scientific literature on religion or spirituality and health be-
swers to ultimate questions about life, about meaning, and
tween 1980 and 1982 revealed forty-six articles; between
about one’s relationship to the sacred, which might or might
2000 and 2002, however, that number had increased to 393
not lead to religious doctrines, rituals, or a faith community.
articles. Similarly, a PSYCHLIT search of the psychological
Because spirituality is such a broad concept, however, re-
literature on religion or spirituality between 1980 and 1982
searchers have had difficulty measuring it as distinct from re-
revealed 101 articles; between 2000 and 2002 the number
ligion; thus, most studies have measured spirituality in terms
had increased more than tenfold to 1,108 articles. Although
of religious beliefs or practices, and most research that exam-
much of the research on religion and health has been con-
ines the relationship with health has examined religion, not
ducted in the United States, hundreds of studies have also
spirituality. For that reason, the word religion will be used
been reported from other areas of the world, including Cana-
throughout this discussion.
da, Great Britain, Australia, continental Europe, Norway
and Sweden, India, Israel and other parts of the Middle East,
RELIGION AND MENTAL HEALTH. A systematic review of re-
China, Korea, and Japan (see Koenig et al., 2001). Many of
search conducted prior to 2000 identified 724 quantitative
these studies found similar relationships between religion
studies of the relationship between religion and mental
and health. Nevertheless, this research, in the United States
health. Of those, 478 (66%) found a statistically significant
and elsewhere, has with good reason come under criticism
relationship between religious involvement and better men-
by some researchers, who also question how the findings
tal health, greater social support, and less substance abuse.
should be applied clinically.
Nearly 80 percent of studies examining the association be-
tween religion and well-being reported one or more signifi-
HISTORICAL CONNECTION. Western concepts of health care
cant positive correlations between these variables. This was
have their origins in the values and activities of religious or-
particularly true for optimism, meaning and purpose, and
ganizations. The first large hospital in the Western world was
hope in the future. The majority of studies examining the
built by the Christian church in the late fourth century CE,
relationship between religion and self-esteem also reported
and for the next one thousand years the church built and
greater feelings of self-worth among the more religious.
staffed hospitals throughout western Europe and England.
The first nurses were members of religious orders—the Cath-
Similar associations were also found in studies of mental
olic Sisters of Charity and, later, the Protestant Deaconess-
disorder. Of ninety-three cross-sectional and prospective
es—and they provided most of the nursing care in Western
studies, sixty (65%) found lower rates of depression or de-
hospitals till the early 1900s. Many physicians during this
pressive symptoms and faster speed of remission from de-
time were also clergy, a tradition that carried over into the
pression among those who were more religious. In fact, at
United States during colonial times.
least three clinical trials demonstrated faster recovery 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
3876
HEALTH AND RELIGION
depression, anxiety, and grief associated with bereavement
who were more actively religious. The association appears to
among religious persons receiving religious-based psycho-
be particularly strong for diastolic blood pressure, compared
therapies. These findings came not only from the United
to systolic blood pressure, and therefore may be of special im-
States, but also from the Netherlands and Malaysia, and in-
portance given the influence of diastolic hypertension on
volved not only Christians but also Muslims and Buddhists.
myocardial infarction (heart attack) and stroke. Consequent-
Furthermore, more negative attitudes toward suicide and
ly, it is not surprising that eleven of sixteen studies examining
lower rates of suicide among the religious were found in fifty-
the associations between religious activity and heart disease
seven of sixty-eight studies performed during the twentieth
found lower rates of myocardial infarction, death from coro-
century, which is consistent with research showing lower
nary artery disease, and longer survival after open-heart sur-
rates of depression and greater well-being.
gery among the more religious. At least one study has found
lower rates of stroke among more frequent church attendees.
Greater social support (nineteen of twenty studies), less
loneliness, and less substance abuse (drugs, alcohol, smoking;
Of six studies examining cancer, four found lower mor-
121 out of 145 studies) have also been documented among
tality in the more religious, a finding consistent with the in-
the more religious. Greater marital stability, lower delin-
fluence of neuroendocrine and immune function on the de-
quency, and more pro-social activities (volunteering, for ex-
velopment and course of cancer. Whether in persons with
ample) are other common findings. At least 75 percent of re-
cancer or other health conditions, survival in general appears
search on substance abuse has been in adolescents and college
to be longer among persons who are more religiously active.
students, whose drug and alcohol use behaviors are likely to
Of fifty-two studies examining that relationship, thirty-nine
affect health over a lifetime. New research conducted since
reported significantly longer survival among those who at-
that systematic review has largely confirmed these findings.
tended religious services more often, prayed more frequently,
or demonstrated more commitment to religious beliefs. The
This does not mean, however, that religious beliefs and
effects are particularly strong for religious attendance, even
practices are never associated with worse mental health, par-
when the effects of social support and the ability to physically
ticularly in individual cases. Religious beliefs and practices
attend church are statistically controlled for. In one of the
can foster rigid thinking and excessive guilt, and may drive
largest studies, involving 21,000 randomly selected persons
some persons away from seeking health-care services that
of all ages across the United States, Robert Hummer and col-
they need. In general, however, data from cross-sectional,
leagues (1999) found that persons who attended religious
prospective, and clinical trial research are increasingly dispel-
services more than weekly survived an average of seven years
ling past notions that religion typically fosters mental or
longer than persons who did not attend services; for African
emotional instability.
Americans, the difference in survival was fourteen years.
RELIGION AND PHYSICAL HEALTH. The relationships be-
Some criticize these studies by pointing out that people
tween religion and better mental health, greater social sup-
who are sicker are physically less able to attend church ser-
port and marital stability, and lower rates of substance abuse
vices. While being physically disabled can adversely impact
and delinquency, are likely to have physical health conse-
religious attendance during the short term, Ellen Idler and
quences. This would be expected, given the well-established
colleagues (1997) at Yale found that the effects of attendance
connections between psychosocial factors and neurological,
on preventing the development of disability over the long
endocrine, and immune functioning. Although studies of re-
run are substantially stronger. Religiousness may impact the
ligion and physical health are less common than those of
perception of disability, so that at any given level of objective
mental health, a similar pattern of results emerges.
physical illness, those who are more religious may be less like-
Several studies have examined associations between reli-
ly to perceive themselves as disabled, compared to those who
gion and immune functioning, blood pressure, heart disease,
are less religious. Perception of disability may be influenced
cancer, overall mortality, and disability level. Five studies
by the optimism, hope, and meaning that people derive from
that examined the relationship between religion and immune
religious beliefs.
functioning all reported associations. Two of these studies
C
were conducted on persons with HIV/AIDS, two in older
ONCERNS OF CRITICS. Although critics of the religion-
health relationship are few, they are particularly vocal and ar-
adults with immune senescence with aging, and one in
ticulate in their arguments. Richard Sloan and colleagues
women with metastatic breast cancer. Whether immune
have stressed that the research linking religion with physical
function is measured in terms of interleukin-6 levels, CD-4
health is weak and inconsistent. They voice ethical concerns
and total lymphocyte counts, or natural killer-cell numbers,
about the implications of that research for the practice of
the findings favor the more religious. Lower serum cortisol
medicine. “Should Physicians Prescribe Religious Activities?”
levels have also been linked to greater religiousness, which
(2000) is the title of one such article in which the authors
may help to explain the immune findings.
claim that the research is not strong enough to warrant pre-
Of twenty-three studies examining the relationship be-
scribing religion to helpless patients. Instead, they say that
tween religiousness and blood pressure, fourteen found lower
health professionals should stay out of the religious lives of
rates of hypertension or lower blood pressure among those
patients, emphasizing that health professionals other 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
HEALTHY, HAPPY, HOLY ORGANIZATION (3HO)
3877
chaplains are not trained to address religious or spiritual is-
Services as a Predictor of the Course of Disability.” Journal
sues, and bringing up such issues could make patients feel
of Gerontology: Social Sciences 52B (1997): S306–S316.
guilty or feel responsible for causing their own illnesses. In
Koenig, Harold G. “An 83-Year-Old Woman with Chronic Ill-
some countries, such as Australia, critics claim that religion
ness and Strong Religious Beliefs.” Journal of the American
is not as important to patients as in the United States. These
Medical Association 288 (2002): 487–493.
are important points that require careful consideration.
Koenig, Harold G. Spirituality in Patient Care. Radnor, Pa., 2002.
Advocates in favor of health professionals addressing
Koenig, Harold G., and Harvey Jay Cohen. The Link between Re-
spiritual issues in patient care counter these claims by saying
ligion and Health: Psychoneuroimmunology and the Faith Fac-
that while physicians or nurses should never prescribe reli-
tor. New York, 2002.
gion to those who are not religious, there is much they can
Koenig, Harold G., Michael E. McCullough, and David B. Lar-
and should do. In particular, they could take a spiritual histo-
son. Handbook of Religion and Health. New York, 2001.
ry to learn if the patient is religious and how that might affect
Mueller, Paul S., David J. Plevak, and Teresa A. Rummans. “Reli-
his or her medical care. If the patient is religious, the doctor
gious Involvement, Spirituality, and Medicine: Subject Re-
or nurse could orchestrate the meeting of the patient’s spiri-
view and Implications for Clinical Practice.” Mayo Clinic
tual needs, utilizing the patient’s religious resources to facili-
Proceedings 76 (2001):1225–1235.
tate healing. Advocates would agree that most of the re-
Peach, Hedley G. “Religion, Spirituality, and Health: How
search, while consistently showing that the religious tend to
Should Australia’s Medical Profession Respond.” Medical
be healthier, has not shown that becoming religious for
Journal of Australia 178 (2003): 86–88.
health reasons alone (rather than for religious motivations)
Sloan, Richard P., Emilia Bagiella, Larry VandeCreek, Margot
is likely to result in better health. Clinical trials demonstrat-
Hover, Carlo Casalone, Trudi Jinpu Hirsch, Yusuf Hasan,
ing such an effect do not exist. Therefore, there is little evi-
Ralph Kreger, and Peter Poulos. “Should Physicians Pre-
dence to justify physicians encouraging religious conversion
scribe Religious Activities?” New England Journal of Medicine
as a route to better health. Even if such evidence did emerge
342 (2000):1913–1916.
in future research, the ethical implications of health-care pro-
HAROLD G. KOENIG (2005)
fessionals promoting religion among those who are not al-
ready religious would be legion.
CONCLUSION. There is growing evidence of a relationship
HEALTHY, HAPPY, HOLY ORGANIZA-
between religion and better mental health, social function-
TION (3HO). In 1969, Harbhajan Singh Puri (b. Au-
ing, and health-promoting behaviors. Because of the increas-
gust 26, 1929), now known as Yogi Bhajan, came to Califor-
ingly well-established connections between the emotions,
nia. A Sikh from India, he started teaching Kun:d:alin¯ı Yoga
physiology, and body functions, there is every reason to ex-
and founded the Healthy, Happy, Holy Organization, also
pect an association between religion and physical health. Al-
called the 3HO Foundation.
though research on religion and physical health is growing,
Yogi Bhajan had worked as a customs officer before he
and several clinical trials to establish the causal nature of this
moved to North America in 1968. After a brief stay in Cana-
relationship are underway, the evidence remains largely pre-
da, he traveled to Los Angeles where he began teaching yoga
liminary at this point and there is much further work to do.
at the YMCA and the East-West Cultural Center. His classes
The preliminary evidence based on epidemiological findings
attracted students, some from the counterculture, who were
thus far, however, fits a pattern that investigators have seen
in the process of seeking alternative lifestyles and higher con-
for other psychological and sociodemographic factors that
sciousness.
have later been proven to influence physical health. Certainly
these findings deserve further attention by researchers and
Several of these early students joined with Bhajan to es-
they deserved to be studied in more sophisticated ways to
tablish an ashram (center) in Los Angeles and to found 3HO.
demonstrate if and in what circumstances religion may influ-
Bhajan encouraged students to become Kun:d:alin¯ı Yoga
ence health for better or for worse. Cautious and sensible ap-
teachers themselves and to establish new ashrams. Early ash-
plication to clinical practice of what is already known would
ram sites were established in New Mexico, Connecticut,
also seem warranted.
Massachusetts, Vancouver, and Washington, D.C., as well
as a number of California locations. By 1972 there were
ninety-four ashrams. Residents practiced yoga, community
BIBLIOGRAPHY
living, and a healthy lifestyle. Yogi Bhajan traveled to the
Hummer, Robert A., Richard G. Rogers, Charles B. Nam, and
new centers, teaching yoga and lecturing at nearby universi-
Christopher G. Ellison. “Religious Involvement and U.S.
ties and colleges. Some of his students soon began teaching
Adult Mortality.” Demography 36 (1999): 273–285.
on college campuses as well. Students were typically in their
Idler, Ellen L. “Religion, Health, and Nonphysical Senses of Self.”
teens or early twenties—the “baby boomer” generation.
Social Forces 74 (1995): 683–704.
Most of the early ashrams offered communal housing, and
Idler, Ellen L., and Stanislav Kasl. “Religion among Disabled and
residents often worked together in businesses started by other
Nondisabled Elderly Persons, II: Attendance at Religious
students.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3878
HEALTHY, HAPPY, HOLY ORGANIZATION (3HO)
A few of Yogi Bhajan’s Los Angeles students began to
Canada and the United States. They have established gurd-
study the Sikh religion because of his example, and in 1970
waras and a number of support organizations. The Sikh reli-
a group traveled with him to India, where some became bap-
gion is based on the teachings of ten guru¯s. The first, Guru¯
tized Sikhs, taking part in the traditional Amrit ceremony,
Na¯nak, lived from 1469 to 1539. His was a devotional ap-
khand:e di pahul, at the Akal Takha¯t, the seat of the Sikh reli-
proach to the divine, an approach that called for meditation
gion. Yogi Bhajan met with officials of the major Sikh ad-
on the divine name (na¯m simran) and an understanding of
ministrative body there and received official recognition.
divinity as timeless and beyond all categories or descriptions.
Sikh studies and practices rapidly spread through the ash-
Guru¯ Na¯nak is often depicted as a gentle mystic, but he was
rams, and students created their first gurdwara (place of wor-
also a practical leader who established a community of believ-
ship) in Los Angeles in 1972. Devotees began to read the
ers and discouraged withdrawal from the world. Guru¯ Arjan
Guru¯ Granth Sa¯hib, the Sikh sacred text, in translation, and
(1563–1606), the fifth guru¯, himself a poet, compiled the
many also began to learn Punjabi and to read Gurmukh¯ı,
hymns of Guru¯ Na¯nak and the other guru¯s, his own compo-
the script in which the Granth Sa¯hib is written. Bhajan estab-
sitions, and other writings, creating the A¯di Granth, the pri-
lished a ministry for Sikh Dharma. New ministers take vows,
mal scripture of the Sikhs. The tenth guru¯, Guru¯ Gobind
which include the worship of only one God, bowing only to
Singh (1666–1708), established initiatory rites. Today, those
the Granth Sa¯hib as the word of God and not worshiping any
who receive these rites are referred to as the Kha¯lsa¯ (“the pure
person or personality as guru¯. They practice vegetarianism,
ones”) or Kha¯lsa¯ Sikhs. Guru¯ Gobind Singh added to and
monogamy, and abstinence from alcohol, tobacco, or drugs
finalized the compilation of writings that Sikhs look to as
(unless prescribed by a physician).
their living guru¯. Members of Sikh Dharma have adopted the
basic Sikh beliefs and prayers, and many have been initiated
The early and mid-1970s were a period of rapid expan-
into the Kha¯lsa¯.
sion, but growth tapered off toward the end of the decade.
The organization sought to solidify its base, and members
Yogi Bhajan’s students refer to him as Yogiji and consid-
focused on deepening their understanding of and their prac-
er him to be the Mahan Tantric, or “Master of White Tan-
tice of Sikh beliefs and traditions and on creating individual
tric Yoga.” He teaches courses referred to as Kun:d:alin¯ı Yoga
“prosperity consciousness.” More members created commu-
classes and courses in “White Tantric Yoga.” Kun:d:alin¯ı Yoga
nity-oriented businesses. Others furthered their formal edu-
can be practiced daily and may be taught to the public by
cation, several entering the health-care profession. Many
3HO members, but only Yogi Bhajan leads White Tantric
married and started families.
Yoga.
In 1973 Harbhajan Singh Puri (his legal name became
In a White Tantric Yoga course people sit in long lines,
Harbhajan Singh Kha¯lsa¯ Yogiji in 1976 after obtaining U.S.
and each faces a partner. Participants are guided in various
citizenship) legally incorporated the Sikh Dharma Brother-
physical yoga postures, use deep-breathing techniques, chant
hood. Regional governing units and a central Kha¯lsa¯ Council
mantras, and use mudra¯s (yogic hand positions). White Tan-
were established in 1974 and added to the corporation’s legal
tric Yoga is said to purify the consciousness and, in the words
structure.
of a 3HO teacher, Shakti Parwha Kaur, in Kundalini Yoga:
The Flow of Eternal Power (1996), to “accelerate the psycho-
Sikh Dharma and 3HO were, and are, separate organi-
logical transformation of the individual, dissolving deep-
zations. Although membership overlaps, there are many
rooted subconscious neuroses” (p. 179).
3HO practitioners who are not Sikhs. 3HO sponsors classes
in yoga, meditation, and nutrition, as well as summer and
The goal of the yoga postures and breathing techniques
winter solstice celebrations, preschools and Montessori
employed in Kun:d:alin¯ı Yoga as taught by Yogi Bhajan is to
schools, and summer camps for youth and for women. Sikh
raise kun:d:alin¯ı energy, which is said to reside at the base of
Dharma is incorporated under the laws of the United States
the spine. It should rise up through the central energy chan-
as a recognized religion. It consists of congregations, an or-
nel of the spine, stimulating energy centers or chakras, and
dained ministry that has grown to more than four hundred
over time the practice should culminate in a life of higher
ministers, regional authorities, and the Kha¯lsa¯ Council, its
consciousness. The yoga is said to cleanse and heal, especially
advisory body.
by strengthening the nervous system and balancing the glan-
dular systems, and to empower the practitioner to manage
In the 1980s, ashrams were consolidated and many peo-
his or her own energy wisely. Additionally, different yoga kri-
ple relocated from urban to suburban or rural locations as
yas (sequences of postures, breath, and sounds; in 3HO these
new parents sought space and safety for their children. Indi-
are intended to manifest a particular state of mind) are said
viduals and families grew more autonomous and communal
to perform various practical functions, such as easing stress,
arrangements less common. Many children of grade-school
enhancing stamina, and improving digestion.
age went to India for their schooling.
There is a strong group culture with distinctive values
WORLDVIEW AND BELIEFS. While the Punjab region of
and beliefs. Sikhs born in the West have espoused orthodox
India is the home and major center of the Sikh religion, Sikhs
Sikh traditions and incorporated yogic traditions, but have
have a history of migration and a strong presence in both
also included American middle-class norms, New Age 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
HEALTHY, HAPPY, HOLY ORGANIZATION (3HO)
3879
spectives, and lingering counterculture values. Values in-
ture, they are also expected to be strong and to complement
clude “keeping up,” empowerment, healthy living, and ser-
the partnership with their husbands. Women are understood
vice in a difficult time of transition. “Keeping up” refers to
to be more intuitive, spiritual, and changeable than their
maintaining a positive attitude and persevering when faced
male counterparts. Their role as mothers is said to render
by challenges and adversity, and, in general, 3HO practition-
women especially creative. They are called shaktis, a term re-
ers and Sikh Dharma adherents aim to be proactive in their
ferring to the female aspect of divinity, “God’s power in
lives and to control and alter their environments for the bet-
manifestation.” Men are thought to be the more steady and
ter. They seek to maintain fitness, mental clarity, and spiritu-
consistent sex. They are expected to be active in the world,
al awareness through yoga, diet, and avoidance of caffeine,
although their role as fathers is also emphasized. Both men
alcohol, and tobacco. The group has retained the New Age
and women are said to have suffered from aspects of Ameri-
idea that the world is moving into the Aquarian Age. Yogi
can culture—men from too much pressure to achieve and
Bhajan says that this is a very difficult transition and urges
succeed, and women from a general disrespect for their gen-
people in 3HO and Sikh Dharma to strengthen themselves
der and the tendency of the American media to turn women
through spiritual and yogic practice in order to survive it and
into sex objects. This treatment is said to have alienated
help others to weather it.
women from their natural spirituality, grace, confidence, and
PRACTICES AND RITUALS. Daily sa¯dhana (spiritual practice)
self-respect. Many of the teachings about women were devel-
is the central practice. It should include prayer, meditation,
oped at the time of the women’s movement and led to the
and exercise. Devotees are encouraged to rise before dawn
establishment of the Kha¯lsa¯ Women’s Training Camp,
and give the early morning hours to God. Sa¯dhana may be
which is intended to offer women a break from routines,
performed individually or in a group, although a group
with time to focus on spiritual growth and to pursue personal
sa¯dhana is considered more desirable. It will typically begin
interests. Activities include regular yoga, workshops that en-
with recitation of Japj¯ı (a prayer introduced by Guru¯
able participants to pursue a variety of interests in fields such
Na¯nak), Kun:d:alin¯ı Yoga, and the chanting of mantras, and
as dance, counseling, and religious practices, gatka (a martial
then progress through meditation, deep relaxation, and de-
art), and meditation. Both men and women serve as minis-
votional singing (k¯ırtan). People in Sikh Dharma have also
ters, as yoga teachers, and on administrative councils, and
established daily and weekly Sikh gurdwara services and pro-
women hold leadership positions in businesses.
vide langar, a traditional shared vegetarian meal, for all at-
CONTROVERSIES AND ISSUES. Historically, there has been
tendees.
tension between older established Sikh organizations and
Sikh Dharma. Ethnic Sikhs have criticized the linking of the
3HO sponsors solstice gatherings in New Mexico and
Sikh religion to yoga. They have criticized the hierarchical
in Florida. These provide an opportunity for yoga students
nature of Sikh Dharma with its variety of titles and positions.
from all over the world to gather. Participants focus on spiri-
Many question the devotion that Yogi Bhajan receives from
tual practices and participate in White Tantric Yoga (now
his students. Members of Sikh Dharma, in turn, have criti-
presented on video). Since 1987 there has been an Interfaith
cized ethnic Sikhs for bringing caste and politics into their
Peace Prayer Day celebration sponsored jointly by Sikh
gurdwaras, or for laxity in their practices. These tensions
Dharma and 3HO at the time of summer solstice.
were more prominent in earlier years than they are now,
Clothing and naming are important aspects of identity.
however.
Members of Sikh Dharma are readily identifiable. They fre-
Sikhs have experienced discrimination based on their
quently wear white clothing (said to have a pure vibration)
mode of dress. People in Sikh Dharma have successfully gone
and have adopted their own version of Punjabi garb. Both
to court in order to be able to wear the turban in their daily
men and women wear turbans, although in the Punjab it is
occupations in industries with strict dress codes.
generally only men who wear them. The women sometimes
wear a chuni (a long flowing scarf) over the turban, for formal
As in other new religions, there have been instances of
attire. Both men and women have taken the last name of
businesses and individuals indicted for dishonest practices.
Kha¯lsa¯, and the women, like Sikhs in the Punjab, have the
Yogi Bhajan was accused of sexual misconduct in a suit that
middle name of Kaur (princess) while the men, again like
was filed in 1986, but the suit was dropped.
their Indian Sikh counterparts, use Singh (lion).
RECENT HISTORY. Sikh Dharma has evolved and grown
Sikhs emphasize family life. In the early days, many of
since its founding, as has the 3HO Foundation, which now
their marriages were arranged. Yogi Bhajan suggested a
has trained over three thousand teachers living in more than
spouse for an individual, or two people asked for approval
thirty-eight countries worldwide. Although the Indian Sikhs
when they wished to marry. Marriage ceremonies follow the
do not have an organized ministry, Sikh Dharma of the
traditional Sikh form.
Western Hemisphere does, adhering to legal requirements
for an organized religion in the United States.
GENDER ROLES. As is the case in many of the new religions,
gender roles tend to be traditional. While both genders work,
Despite opposition, a group of Sikh American women,
women generally have primary responsibility for the domes-
seeking to open such opportunities to their gender, per-
tic sphere. Though women are said to be nurturing by na-
formed seva (service) at the Golden Temple in Amritsar,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3880
HEALTHY, HAPPY, HOLY ORGANIZATION (3HO)
India, in 1996. Karen Leonard reports that the relevant au-
examination of women’s lives and gender identities in 3HO/
thority (the Shiromani Gurdwara Parbandhak Committee)
Sikh Dharma. Looks at long-term members and at women
ruled that women would in the future be allowed to serve
who have exited.
such functions as priests and hymn singers (1999, p. 281).
Gardner, Hugh. The Children of Prosperity: Thirteen Modern
American Communes. New York, 1978. Includes an account
As of 2002 there were major centers in the United
of an early 3HO ashram (Maharaj) in New Mexico. Covers
States, Canada, and Europe, and smaller ones in other loca-
the years 1970 to 1973.
tions. A center for meditation and the training of yoga teach-
Jacobs, Janet L. Divine Disenchantment: Deconverting from New
ers has opened in India. Larger businesses, begun and operat-
Religions. Bloomington, Ind., 1989. A good general look at
ed by Western Sikh entrepreneurs, include a successful
the reasons individuals leave new religions. Some former
security firm and tea and cereal companies. Sikh individuals
3HO members were included in the sample.
also thrive as doctors, attorneys, accountants, writers, land-
Kent, Stephen A. From Slogans to Mantras: Social Protest and Reli-
scapers, artists, and counselors, and in other occupations. A
gious Conversion in the Late Vietnam War Era. Syracuse,
new generation has reached maturity, married, and started
N.Y., 2001. A study of the circumstances that led political
families. Youth are a major focus of attention, with mentor-
activists to convert to new religions and a look at the ways
ing programs and expanded educational facilities being
in which this occurred. Includes a section on 3HO.
planned. About one hundred students (grades one through
Kha¯lsa¯, Kirpal Singh. “New Religious Movements Turn to
twelve) representing eleven countries attended Miri Piri
Worldly Success.” Journal for the Scientific Study of Religion
Academy in Amritsar, India, in 2003.
25 (1986): 233–247. Academic article on “prosperity con-
sciousness” written by a member.
SEE ALSO Sikhism.
Kha¯lsa¯, Premka Kaur, and Sat Kirpal Kaur Kha¯lsa¯, eds. The Man
Called the Siri Singh Sahib. Los Angeles, 1979. A commemo-
B
rative volume compiled by members of 3HO in honor of
IBLIOGRAPHY
Bailey, Raleigh Eugene, Jr. “An Ethnographic Approach toward
Yogi Bhajan. This volume consists of memoirs, historical ac-
the Study of a Spiritually Oriented Communal Group in the
counts, and tributes written by members.
USA: The Healthy, Happy, Holy Organization.” Ph.D. diss,
Kha¯lsa¯, S. K. The History of the Sikh Dharma of the Western Hemi-
Hartford Seminary Foundation, 1973. An account of three
sphere. Espanola, N. Mex., 1995. History written by a mem-
early ashrams (Brooklyn, New York; Montague, Massachu-
ber of Sikh Dharma.
setts; Hartford, Connecticut) as they adopted the Sikh reli-
Kha¯lsa¯, Shakti Parwha Kaur. Kundalini Yoga: The Flow of Eternal
gion. An excellent source on the early history of the group.
Power. Los Angeles, 1996. Written by one of the first of Bha-
Brooks, Douglas Renfrew. The Secret of the Three Cities: An Intro-
jan’s converts. Sets out 3HO beliefs in a number of areas.
duction to Hindu Sakta Tantrism. Chicago, 1990. A scholarly
Leonard, Karen. “Second Generation Sikhs in the US: Consensus
and helpful discussion of Tantra.
and Differences.” In Sikh Identity: Continuity and Change,
edited by Pashaura Singh and N. Gerald Barrier,
Callahan, Jean. “Leaving the Ashram.” Common Boundary 10, no.
pp. 275–297. New Delhi, 1999. Includes interviews with
4 (1992): 32–39. An account of an ashram director’s deci-
second generation Punjabi and non-Punjabi Sikhs.
sion to leave 3HO.
Maple, Michele Schwartz. “Commitment and De-Idealization: A
Dusenbery, Verne A. “Of Singh Sabhas, Siri Singh Sahibs, and
Study of Symbol and Process in a Community of American
Sikh Scholars: Sikh Discourse from North America in the
Converts to Sikhism.” Ph.D. diss., University of California,
1970s.” In The Sikh Diaspora: Migration and Experience be-
Los Angeles, 1992. A dissertation based on participant obser-
yond Punjab, edited by N. Gerald Barrier and Verne A.
vation in a California ashram.
Dusenbery, pp. 90–119. Delhi, 1989.
Tobey, Alan. “The Summer Solstice of the Healthy-Happy-Holy
Dusenbery, Verne A. “On the Moral Sensitivities of Sikhs in
Organization.” In The New Religious Consciousness, edited by
North America.” In Divine Passions: The Social Construction
Charles Y. Glock and Robert N. Bellah, pp. 5–30. Berkeley
of Emotion in India, edited by Owen M. Lynch,
and Los Angeles, 1976. An early account of White Tantric
pp. 239–261. Berkeley and Los Angeles, 1990. This article
Yoga as practiced at a solstice celebration.
compares cultural assumptions of ethnic Sikhs and those in
3HO and Sikh Dharma sponsor several websites, including the or-
Sikh Dharma and describes misunderstandings between
ganization’s homepages at http://www.yogibhajan.com and
Punjabi Sikhs and converts in Vancouver.
http://www.3ho.org and SikhNetwork at http://www.
Dusenbery, Verne A. “Punjabi Sikhs and Gora Sikhs: Conflicting
sikhnet.com. There are also a number of 3HO publications,
Assertions of Sikh Identity in North America.” In Divine
including annual compilations of Bhajan’s lectures at the
Passions, edited by Joseph T. O’Connell, Milton Israel, and
Kha¯lsa¯ Women’s Training Camp, available from the organi-
Willard G. Oxtoby, with W. H. McLeod and J. S. Grewal,
zation. For general information on the Sikh religion, the
pp. 334–355. New Delhi, 1990. A thoughtful comparison
reader is referred to such authors as W. Owen Cole, J. S.
of cultural understandings about the nature of persons and
Grewal, Gurinder Singh Mann, W. H. McLeod, Nikky-
groups among Punjabi Sikhs and the Sikhs of 3HO/Sikh
Guninder Kaur Singh, and Pashaura Singh. Gurinder Singh
Dharma.
Mann’s Sikhism (Upper Saddle River, N.J., 2004) is a con-
cise overview of Sikh beliefs, practices, history, and society.
Elsberg, Constance Waeber. Graceful Women: Gender and Identity
in an American Sikh Community. Knoxville, Tenn., 2003. An
CONSTANCE W. ELSBERG (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
HEART
3881
HEART. Analysis of the symbolic values attached to the
Ptah (the cosmic demiurge) was thought in his heart and
heart shows an unquestionable distance between the heart as
came to life through the intermediary of his creating word.
a source of biological life and its diverse meanings for the
The heart occupies an important place in the sacred
emotional, moral, and religious life. The word heart may be
texts of Hinduism, as well as in its techniques of spiritual
specific, but the symbol is as multifarious as the polysemy
meditation. The natural symbolism of the heart as the center
of the term is rich. The range of meanings of heart is, indeed,
of life and the psychological faculties appears in the
at once based on a physiological reality (which entails a cer-
Br:hada¯ran:yaka Upanis:ad (3.20–25). The heart is there de-
tain animistic conception of the individual) and on spiritual
scribed as the place where everything that exists takes shape:
and mystical meditations—two sources that are intimately
faith, supraintellectual knowledge, ontological truth, speech,
linked in most cultures.
and biological life (for “the sperm rests on the heart”). Even
It seems certain that the vitalistic conception of the
though the heart is hardly mentioned in the Vedas, which
heart as the seat of courage, strength, and life is represented
stress sacrificial ritual and praise of the divine, the outline of
by the presence in a great number of ancient societies of the
a “liturgy of the heart” can be seen in the oldest Upanis:ads.
custom of eating the heart of one’s enemy to acquire his
There it is conceived of as central in the activity of the r:s:is,
strength. Likewise, the notion of the heart as the source of
those seers who intuitively perceive the divine and express it
life is the basis of the sacrifice usually practiced by the Aztec
in hymns. The heart is the secret place of their inspiration,
and earlier by the Maya. In the Inca empire, for instance, the
where hymns are prepared to offer the gods, but it is also the
heart was torn out, still beating, resulting in a copious hem-
critical authority that monitors the hymns’ value. The heart
orrhage. The flowing blood was nourishment for the Sun
thus becomes the place of divine vision, which is only given
(symbolized by the eagle) and an invigorating drink for Tlalt-
by grace to those who practice self-renunciation. It is under-
ecutli, the lord of the earth. The heart was considered the
stood that the heart’s knowledge is satya, real and true, since
most precious part of the person; therefore it was the offering
it alone can enable one to pass from the unreal and the illuso-
of life itself, a gift from the gods, that was achieved in the
ry to the real. Such knowledge is transformative, for it dis-
removal of a living heart and by the shedding of human
covers, by means of the heart, the divine immanence within
blood.
man. In bhakti, the heart is the seat of an aspiration to join
the god and the center of a desire that “binds man at the level
The great symbolic themes relating to the heart were
of his heart.” Man should also reject the desire of natural and
posed by the ancient Egyptians. It is the principal organ of
illusory realities in favor of the enjoyment of bliss and union
physical life, and is well described in the medical papyri. It
with brahman. It is necessary to clear this heart by way of
is also the center of emotional life, courage, and spiritual life.
renunciation in order to become “a polished mirror” in
Thought, will, and wisdom reside there. The heart thus be-
which the god can be reflected. “When all the desires he car-
comes the very locus of personality, capable of prayer to and
ries in his heart have been cast away, then the mortal be-
love for the gods. But the heart is also man’s memory, the
comes immortal and from that time onward he delights in
witness to the deeds he accomplishes during his life. This is
brahman,” says the Br:hada¯ran:yaka Upanis:ad (4.4.7).
why, after death, hearts are weighed with Maat, the goddess
of truth and justice, as a counterweight. The heart has a
The heart is thus the symbol of divine inhabitation in
major role in the judgment of the dead, in which man’s fidel-
man. Four terms most often define this heart, citadel of the
ity to moral prescriptions and social rules is examined. It is
divine, of brahman: the grotto (Maha¯na¯ra¯yan:a Upanis:ad
the dwelling place of Sia, the god of understanding, knowl-
201, 469), the bird’s nest (Ham:sa Upanis:ad 13), the ritual
edge of the past, and creative imagination. If the dead person
hearth, and especially the lotus, an ancient cosmogonic sym-
is “justified by his heart,” if the judgment is in his favor, he
bol on which the moralizing values of the pure and the im-
then experiences union with the god: “Your heart is Re’s
pure, the emotional and the intellectual, are grafted (Dhy-
heart,” says the Book of Respiration (2.10), for in man’s heart
anabindu Upanis:ad 33–35 and 93). But what lives in this
abides “the god who lives” in him, a kind of personal genius
place? An impersonal, transcendent principle, the a¯tman
who determines the existence and the behavior of each indi-
(Cha¯ndogya Upanis:ad 8.3.3), which exists and senses; the au-
vidual. The heart is simultaneously soul, life, thought, wit-
thority that perceives through the senses and that is the inte-
ness of man’s deeds, and the place where the god resides in
rior light in every human being; or else the image itself of
order to guide man on this earth and to give an account in
the power of a personal god such as S´iva, Hari, Indra, the
the afterlife of his actions. In the human heart, as necessary
Everlasting, the Supreme (Maha¯na¯ra¯yan:a Upanis:ad 269).
for life on earth as for survival after death, man may meet
The heart can thus become, by divine grace, the place for the
the divine.
vision of the god: “The man who is free from desire, all pain
having vanished by grace of the creator, sees the Lord and
According to the Egyptians, the gods also have a heart.
his majesty” (S´veta¯´svatara Upanis:ad 3.20). Thus the heart is
The stela of King Shabaka, recapitulating an old theology of
the place of passage from duality to unity, from formlessness
Memphis, shows that Ptah’s heart is the seat of creative activ-
to form, from the unreal to the real (Cha¯ndogya Upanis:ad
ity and the center of his imagination. All that was created by
8.1.2–3; 8.3.1–2). The path of the heart, simultaneously one
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3882
HEART
of meditation and renunciation, of the reversal of passions
Yahveh: the faithful heart belongs entirely to God, in whom
and desire for union, is thus the route from the carnal to the
it is fixed (1 Chr. 29:18).
subtle, from the mortal to the immortal (S´veta¯´svatara
During the Hellenistic age, when the Bible proliferated
Upanis:ad 4.16.20).
in the Greek translation, the word kardia, used to translate
The ancient Greek world had a rather undifferentiated
lev, was weighted with all the Semitic values of the heart and
psychological knowledge of the heart. In the writings of
took on a new meaning to the extent that the association be-
Homer, Hesiod, and the tragedians, kardia designates the
tween heart, thought, and memory became commonplace.
place of the soul’s life, the affects, the emotions, and the feel-
In the New Testament writings, a synthesis between Greek
ings. It is the place of secret thoughts and tactical intelli-
and biblical values of heart is achieved. The famous formula
gence. By a process of metonymy, the word st¯ethos (chest) is
defining the ideal community of the first Christians “which
used in the sense of heart; thumos (the breath contained in
has but one heart and one soul” (Acts 4:32) associates the new
the chest) designates the ardor that animates the feelings that
heart promised by Yahveh (Ez. 11:19) with a Greek proverb
lie in the heart and the thoughts that are formed there. It is
cited by Aristotle (Nicomachean Ethics 9.8.2) and used again
this term, thumos, less concrete and more subtle, that pre-
by Cicero in order to define friendship (De amicitia 21.81).
dominates in the Classical age, but the philosophers intro-
Heart is thus taken in its metaphorical sense in order to des-
duced an important distinction. In agreement with doctors
ignate man’s inner self, the place where his spiritual life is
and certain philosophers like Empedocles (fifth century BCE),
born and develops. But the third-century hellenization of an
who defined the heart as the seat of thought, the Epicureans
expression from the Christian faith makes more specific the
and then the Stoics located intelligence there. Chrysippus as-
use of heart, which loses its meaning of “understanding.”
serted that the heart is the seat of dianoia, the source of lan-
Commenting on the beatitude of pure hearts (Mt. 5:8), Ori-
guage (Stoicorum vererum fragmenta 837, 838, 879). In re-
gen explains that to see God with the heart means to under-
sponse, Plato developed the theory of a tripartite soul: above
stand him with the spirit (De principiis 1.1.9). For Origen,
the diaphragm is the mortal soul, the thumos that inspires
the heart equals understanding; when the scripture says
good deeds; below are the passions, and the immortal princi-
“heart,” this is only a metaphor for emphasizing the “passage
ple of the soul is in the head. Therefore, only the ardor of
from the visible order to the invisible order.” A similar Plato-
generous deeds is found in the zone of the heart (Republic,
nism will be developed later, more clearly, in the fourth cen-
book 4). Aristotle, however, situated sensations, sensory
tury by Gregory of Nyssa, who explains the famous passage
knowledge, memory, and imagination in the heart, but not
of the Song of Songs—“I sleep but my heart waketh” (5.2)—
the nous, or intelligence. Impossible to locate, the nous is not
by bringing up the psuch¯e and the dianoia of the soul and
attached to any physical organ (Metaphysics 12.3.1070a).
of the intelligence in order to explain the word heart.
With Plotinus, all the metaphorical uses of kardia and thu-
In the West, the term cor keeps the sense of the Hebrew
mos disappear in a distinct shift toward intellectualization,
lev, but Augustine enriches it with his psychological analyses
which will counterbalance any Judeo-Christian influence.
in the Confessions. For him, the heart is the place of interiori-
In the Bible, the word lev (heart) occurs 1,024 times,
ty and religious experience, which defines individuality: “My
a frequency that testifies to the multivalence of a term com-
heart is where I am, such as I am” (Confessions 10.3.4). Little
mon to the Hebrews and the ancient Semites, for whom the
by little, however, in the Christian West the word heart be-
comes a simple metaphor for the whole emotional life, while
heart was an organ indispensable to life, the place for concen-
in the East it keeps the meaning of spirit liberated from the
tration of all the vital forces. If it beat more or less rapidly
passions and the affections and of the place for the under-
with respect to emotions felt, it was because, as the center
standing of divine things and the love of God.
of knowledge, it was an organ both receptive and active. The
heart is the locus not only of the whole psychological and
A fundamental vein of Christian mysticism is that in
intellectual life but also of the moral life. It is man’s interior,
which the divine heart and the human heart unite in an ex-
or qerev: “I shall put my law within them and write it on their
change of love. This mystical view of the heart, which ap-
hearts,” says Yahveh (Jer. 31:33). This heart that permits un-
pears in the West around the beginning of the eleventh cen-
derstanding of divine things is, at first, recollection and re-
tury, is linked to a spirituality centered on the suffering
membrance of Yahveh’s goodness. The expression “ascends
humanity of Jesus Christ, as if devotion to the divine heart
to the heart” designates the necessary recollection: “From
could not exist without an emotional reference to Jesus’ heart
afar remember Yahveh and that Jerusalem ascends to your
of flesh and the shedding of his blood, which constitutes tan-
heart” (Jer. 51:50). The heart is therefore an active center
gible proof of the love of a suffering and crucified God. In
where the ideas and impressions received are transformed
this heart of flesh, bared by the wound inflicted on the cross,
into deeds; the heart thinks out man’s projects and is the seat
the Christian mystics contemplated the same mystery of
of the individual’s creative power in the form of conscious-
God’s love, trying to specify its meaning in this heart, which
ness. Not only is the heart the center of moral life, but finally
had been pierced although it had already stopped beating.
the center of religious life as well. It is the heart that experi-
(Jn. 19:34). It was undoubtedly Anselm (1033–1109) who,
ences the fear of God and keeps faith to the alliance with
meditating on the passion of Christ, was the first to glimpse
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HEART
3883
this pierced heart as a revelation of God’s love (Patrologia La-
of Jesus’ name, in order to “make the spirit descend into the
tina 158.761–762).
heart.” By concentrating his gaze on the interior of his heart,
one discovers it as the locus of emotional life, desires, and
The same idea is found in the writings of the Cistercian
love. Then one must melt one’s perceptual and intellectual
William of Saint-Thierry and of Bernard of Clairvaux
thoughts there, as if in a brazier, and let them heat up and
(Patrologia Latina 183.1072). The emotionally pious indi-
burn until a cry breaks out in one’s heart, a call to Jesus, the
vidual ponders the wound in the divine heart and, confront-
unique source of that love. The heart is thus the space where
ed with its proof of God’s love, wishes to penetrate it and
the body and soul penetrate each other and coexist, just as
lose himself in it. Such a desire for union, a desire to respond
the inhaled air mixes with the very breath of life. The discov-
to God’s love, has given rise to numerous mystical experi-
ery of the heart therefore reestablishes human nature in its
ences: that of Lutgard of Aywières at the beginning of the
original state, before the Fall, in rediscovering the energy of
thirteenth century, who was a “sympathetic” participant in
the Holy Spirit given by baptism, and in becoming the tem-
the sufferings of the Passion and who “struck at the very
ple of God once again. The expression “prayer of the heart”
heart of Jesus a tenderness so strong that she was forever
is therefore metonymical, although the method of prayer de-
strengthened”; or those mystical experiences of the cloistered
scribed appears to link it to a specific respiratory technique.
nuns of Hefta in Saxony. Mechthild of Magdeburg (1207–
Hesychast spirituality insists on the necessity of ascesis to pu-
1282) describes in detail how God put her own heart into
rify the heart of man, who may then come back to the reason
his divine one burning with love, the two making but a single
why he was created and discover truth. Man then receives
heart “as the water loses itself in the wine.” God’s heart is
illumination from the sun of justice, whose light shines in
thus the place of sharing and joy while the mystic, like the
his heart, which thus becomes the place where God reveals
apostle John, rests on the very breast of Jesus (Das fliessende
himself and the place of God’s desire, where the created
Licht der Gottheit 2.38).
being lets the Lord live, and finally knows h¯esuchia: the eter-
From this monastery in Hefta, where other nuns shared
nal joy of being united with him forever (Mt. 17:4).
the devotion to Jesus’ heart shown by Saint Gertrude (1256–
Exactly this conception of the heart as the place of God’s
1334), the custom passed to the Franciscans. The memory
desire and the organ of prayer and knowledge of divine
of their founder’s stigmata and their popular emotional
things is found again in Pascal in seventeenth-century
preaching developed a piety founded on the contemplation
France, where the devotion to the Sacred Heart of Jesus pro-
of the afflictions of the crucified one and his wounded heart.
liferated, with such devotees as Marie des Vallées, Jean
In his Vitis mystica, Bonaventure (1221–1274) praises “the
Eudes, and Marguerite-Marie Alacoque. Indeed, the Pascali-
good Jesus’ heart” and stresses the love, revealed by Christ
an heart is the center of neither the emotions nor the faculties
in his incarnation, that is sensitive to human nature. This
of the soul; it is the place of resolution and adherence. It is
wounded heart is the vital and tangible expression of God’s
will, and through it the individual is defined and expressed.
blessings. But it is also the place into which the human soul
But it is, in addition, the organ that knows an order superior
must penetrate “as if into a promised land where he will find
to that of reason: “It is the heart that feels God and not rea-
sweetness, purity, and even God’s love,” says Ubertino da
son: this is what faith is, God susceptible to the heart and
Casale (Arbor vitae crucifixae Jesu, c. 1320). This desire for
not to reason” (Pensées 278). Pascal meant that reason is not
union with Jesus’ heart is so great that, through many repeti-
useless, but that it remains insufficient, for it belongs to the
tions in the course of these unifying experiences, an exchange
natural order, whereas “the heart has reasons that reason
of hearts between Christ and the mystic is effected, as in the
knows not” (ibid., 277). The knowledge of God is not an
cases of Lutgard, Catherine of Siena, Dorothy of Montau,
abstract thought; it emerges from the very existence of man,
and, later, Marguerite-Marie Alacoque. It is a symbolic ex-
and it resides in the desire for abundance: “My whole heart
change, of course, in which God’s will is voluntarily substi-
reaches out to know where the true good is in order to follow
tuted by a human being for his or her own and which is the
it.” For, as Pascal wrote in 1658 in his Art of Persuasion, “man
sign of a transforming union born of that “new spirit and
discovers the truth of which he speaks inside himself.” Thus,
that new heart” prophesied by Ezekiel (36:26–27). This sym-
in diverse cultures and religious traditions, the heart has the
bol of Christ’s heart replacing that of the mystic represents
profound value of symbolizing and structuring all of human
“the union of the uncreated spirit and the created spirit that
life, the spiritual as much as the physical.
is realized by the preeminence of grace,” explains Thomas of
Cantimpré in the Life of Lutgard (Acta sanctorum, June, vol.
BIBLIOGRAPHY
4, p. 193). The heart is the whole human being, who always
Ancelet-Hustache, Jeanne. Mechtilde de Magdebourg, 1207–1872:
wishes to unite more fully with the person of the word incar-
Étude de psychologie religieuse. Paris, 1926.
nate himself perceived in a heart, which is the sign of his love
Claudel, Paul, et al. Le cœur. Bruges, 1950. A volume in the series
and the center “where all the virtue of divinity is enclosed.”
“Études carmélitaines.”
In the Christian East, the “prayer of the heart,” from the
Meyendorff, John. A Study of Gregory Palamas. London, 1964.
time of the Desert Fathers to our own time, has combined
Onians, Richard B. The Origins of European Thought. Cambridge,
an ancient technique of breath control with the invocation
U.K., 1954.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3884
HEAVEN AND HELL
Varenne, Jean, trans. and ed. Upanishads du Yoga. Paris, 1971.
affirmed in some circles of Jewish thought. Heaven came to
be regarded as the destiny of the righteous, those in vital cov-
MICHEL MESLIN (1987)
Translated from French by Kristine Anderson
enant relationship with God. Multiple heavens (seven or ten)
are mentioned in Jewish apocryphal literature and in teach-
ings preserved in the rabbinical tradition. Paradise, a state of
spiritual fulfillment in which the covenantal righteous enjoy
HEAVEN AND HELL. As symbolic expressions found
an ideal relationship with God, is variously referred to as the
in various religious traditions, heaven and hell suggest polar
third of seven or the seventh of ten heavens. Messianic expec-
components of a religious vision: a state of bliss and/or an
tations, which developed in the centuries immediately before
abode of deity or sacred reality on the one hand, and a state
and following the dawning of the common era, were often
of spiritual impoverishment and/or an abode of evil or de-
associated with affirmations of the resurrection of the dead
monic spirits on the other. As a spatial referent, Heaven is
and a final judgment, with the righteous destined for a heav-
generally considered to be “above,” informed by the human
enly paradise. In association with these developments, a place
experience of the sky as the expansive space or dome encom-
of punishment, Gehenna, was thought to await the unrigh-
passing the earth and also including the sun, moon, and stars.
teous after death, though the period of punishment was lim-
Just as Heaven is “above” the earth, so then is deity “higher”
ited in accordance with the degree of seriousness of one’s
than the human or earthly plane for those traditions in which
transgressions.
Heaven is viewed as the abode of deity. On the contrary, Hell
Traditional Judaism views the final destiny of humans
is generally regarded as a realm “below,” a meaning reflected
in terms of the three doctrines of recompense, immortality,
in the derivation of the English hell from the Old English,
and resurrection. Informed by the demand of conscience that
helan, with a root meaning of “hide,” “cover,” or “conceal.”
virtue be rewarded and wickedness punished, the tradition
Thus, Heaven is often symbolized by light or brightness as
holds that even if one does not encounter equity during the
a realm of bliss, whereas Hell is characterized as dark or shad-
earthly life, it will nonetheless be met with afterward. The
owy, a realm of anguish and suffering.
interpretation of the actual form of immortality, however, is
JUDAISM. The worldview of the ancient Hebrews, as reflect-
permitted wide latitude in the tradition, with deathlessness
ed in the Hebrew scriptures, distinguished between the
envisaged as preserving individual identity and awareness
world above, the “heavens” (shamayin), as the dwelling place
(with the attending literal images of Paradise and Gehenna)
of Yahveh, and the earth, the two comprising the universe
or, alternatively, as a state that is impersonal and without
of God’s creation. The creation narrative of Genesis 1–3 por-
consciousness. Similarly, resurrection has been understood
trays the heavens and the earth as the whole of God’s cre-
as a climactic event physically reanimating the dead and in-
ation. Under the earth was She’ol; the ambiguous term she’ol
cluding the final judgment of bliss or damnation and also as
was used at times to refer to the grave or tomb itself and at
an eternal event through which the corporeality of the resur-
other times to indicate an obscure land of shadows, the realm
rected is transfigured into a pure spirituality.
of the dead. Existence there was understood in largely nega-
CHRISTIANITY. The cardinal import of heaven and hell as
tive terms, since in She’ol the “spirit” or “breath of life”
components of the Christian religious vision is clearly evi-
(ruah:) through which human beings were endowed by God
dent in the New Testament portrayal of the completion of
with life was thought to have departed. Prior to the Babylo-
God’s redemptive activity consummated in the manifesta-
nian exile of 597 BCE, the dead were not thought of as having
tion of a new heaven and a new earth (Rv. 21). Not only is
an existence in which individual identity was preserved be-
heaven envisioned in early Christianity as the fulfilling state
yond life on earth but rather were conceived as a faceless col-
of bliss and reconciled relationship with God of which the
lective existing in a joyless realm.
followers of Jesus are assured, but it is also the abode of the
With the rise of Judaism in the period following the
divine, where Jesus dwelled before his earthly life and to
fifth century BCE, the Jewish understanding of heaven as an
which he proceeded following his death and resurrection. Es-
ideal relationship of the righteous with God was informed
sential to the Christian confidence in a heavenly life after
both by intercultural influences and by continuing efforts to
death in which the total uniqueness of human personality is
unfold the meaning and import of the covenant relationship
preserved is the concomitant affirmation that God will make
between the community and God. For example, life after
possible the resurrection of the dead. This belief is to be dis-
death had been clearly and definitively envisioned by the Zo-
tinguished from the Greek notion (especially of Plato and
roastrians of Persia as involving a judgment of individuals at
Aristotle) of the immortality of the soul understood as ratio-
death: the righteous were destined to enjoy forever the pres-
nality. The reality of hell as the arena presided over by Satan
ence of God in a realm of unending light, while the unrigh-
and his angels and as the destiny of the “cursed” was assumed
teous were condemned to a torturous hell. The Greeks, both
by early Christians and frequently appears in the New Testa-
in religions such as the Orphic cults and in the thought of
ment writings (e.g., Mt. 25:1–46). This teaching has been
major philosophers such as Plato and Aristotle, stressed the
taken literally by many Christian thinkers through the centu-
immortality of the soul. By the second century BCE, both the
ries, though alternative views have occasionally been ex-
resurrection of the dead and an event of final judgment were
pressed. Origen (third century BCE), for example, understood
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HEAVEN AND HELL
3885
hell to involve not the eternal punishment of the cursed, but
ject God’s presence or seek a full union extending beyond
punishment of such duration as was necessary to provide for
the confines of the earthly life.
the restoration of all to the presence of God.
ISLAM. In the QurDa¯n and the traditions of Islam are mani-
fold descriptions of Heaven and Hell that are expressive of
In Roman Catholic Christianity hell is deemed to be a
the centrality of judgment as an aspect of Muslim religious
state of unending punishment for the unrepentant who die
anthropology. Perfect justice, one of the attributes of God,
without the grace of God as transmitted through the sacra-
will be disclosed at the Last Judgment following resurrection.
ments. This state is characterized both by absence from
God’s judgment will be pronounced on the basis of an ex-
God’s presence (poena damni) and by the suffering of fire and
pansive record of each person’s deeds. Overriding the demer-
other tortures (poena sensus). The Roman Catholic concept
its of every believer’s evil deeds will be the support provided
of purgatory, defined by the councils of Florence (1439) and
by the Muslim confession subscribed to from the heart
Trent (1545–1563), envisions an intermediate state after
(“There is no god but God, and Muh:ammad is his proph-
death during which there is opportunity for the expiation of
et.”) That judgment in turn will be followed by the entrance
venial sins and compensatory punishment for mortal sins,
of the believers into Heaven and the relegation of the infidels
thus providing for the ultimate restoration of fellowship with
to Hell. In a manner reminiscent of the Zoroastrian Chinvat
God. This teaching, likely informed by the Jewish notion of
Bridge, each person will proceed across the bridge of al-Aaraf
Gehenna and the Greek notion of the realm of Hades, is cor-
following the judgment. This will be a felicitous crossing for
relative with rituals for the dead (prayers, oblations) intended
the true Muslim but a travesty for the infidel, whose fall from
to assure their full expiation. Salvation is understood in the
the bridge into the pits of Hell is assured. In accordance with
Roman Catholic tradition to be a process, begun in earthly
the will of God, Muh:ammad will, however, recover some
life and continuing in life beyond death, through which
who fall. The portrayals of Paradise in the QurDa¯n and the
there will ultimately be a realization of the “beatific vision,”
traditions are graphically idyllic, in no way lacking the enjoy-
a heavenly state of full and unqualified awareness of the pres-
ment of sensuous pleasures and bountiful surroundings:
ence of God, a state of spiritual perfection that cannot be at-
tained during the earthly pilgrimage. The significance and
This is a Remembrance; and for the godfearing is a fair
import of the Christian teaching about heaven and hell has
resort, Gardens of Eden, whereof the gates are open to
nowhere been given more powerful aesthetic and imaginative
them, wherein they recline, and wherein they call for
expression than in Dante’s masterful poem the Commedia
fruits abundant, and sweet potions, and with them
maidens restraining their glances of equal age. This is
(completed 1321). Eastern Orthodox Christianity, in shar-
what you were promised for the Day of Reckoning; this
ing the teaching that hell is a destiny of eternal fire and pun-
is Our provision, unto which there is no end. (su¯rah
ishment awaiting the cursed and unredeemed following the
38:50–54)
Last Judgment and that heaven is the ultimate destiny of the
redeemed, has placed focal emphasis on the resurrection of
Interpreters of the Muslim tradition such as al-Ghazali
Jesus as assuring the resurrection of the faithful.
(d. 1111) have called attention to the accompanying spiritual
components of heavenly existence, viewing all other of the
Protestant Christianity, though generally lacking the
manifold pleasures of Paradise to be overshadowed by the ec-
teaching on purgatory or intermediate states, has retained the
static awareness of being with God. Equally graphic are the
traditional Christian teachings respecting heaven and hell,
QurDanic descriptions of punishment and torture in Gehen-
while reinterpreting theological understandings of grace and
na, as indicated in the following passage:
faith as they are pertinent to salvation. With the dominance
of the scientific worldview in the modern era and the theories
All this; but for the insolent awaits an ill resort,
proferred by the psychological and social sciences, literal and
Gehenna, wherein they are roasted—an evil cradling!
All this; so let them taste it—boiling water and pus, and
spatial interpretations of heaven and hell have been found
other torments of the like kind coupled together. (su¯rah
untenable by some Protestant thinkers. In terms of theologi-
38:55–58)
cal argument, it is contended that it is contradictory to posit
hell as eternal punishment while affirming God as one who
Traditional Islam adheres to a conviction that the sufferings
is loving and merciful and wills all to be saved and forever
in Hell will be unending, though there are suggestions of a
seeks the lost. Karl Barth (1886–1968), for example, rejected
purgatorial realm from which, after a time, Muslims in need
the entire notion of eternal damnation, and instead main-
of purificatory restitution to the ummah (the Muslim com-
tained that the central message of the church is the election
munity) will be recovered. Both Heaven and Hell are subdi-
of all of humanity in Jesus Christ. Heaven and hell have been
vided into seven regions in Muslim teaching, with an eighth
reinterpreted by such thinkers as indicative of qualities of life
region added to the heavenly realm of the blessed.
that are conducive to or detract from the realization of the
HINDUISM. The religious symbolisms of heaven and hell as
full potential of persons or, alternatively, as symbols that un-
given expression in the religious traditions of India have a
derscore the fundamental character of the decision of faith,
distinctive role and significance when contrasted with their
in which the whole of the individual is at stake, and the free-
multiple meanings within the contexts of the religions of
dom of that decision, through which one may choose to re-
West Asia and Western civilizations. The ancient Vedic liter-
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3886
HEAVEN AND HELL
ature (1500–1200 BCE), especially the R:gveda (a collection
deeds cumulative over the entire series of one’s existences, de-
of hymns associated with funereal rituals), portrays a heaven
termines the nature of the soul’s passage from one earthly ex-
regarded as the realm of the fathers, who proceed there after
istence to another through one of the several levels of heaven
death in order to be with the gods. As the practice of the fu-
or hell, which are thus intermediate states of varying degrees
neral rite of cremation gained prominence, Agni, god of fire,
of suffering or relative bliss. In traditional Hindu cosmology,
was called upon to provide for the purification of the de-
three realms (lokas)—heaven, the earth, and a netherworld
ceased. Yama, who was the first human to die and who was
(sky)—are supplemented by a vision of fourteen additional
also the god of the dead, oversees the heavenly realm. This
realms, seven of which rise above the earth (“heavens”) and
realm was associated with the sky and the dead were associat-
seven of which (or, in some instances, multiples of seven,
ed with the stars. Among the gods in the heavenly realm is
such as twenty-one) are below the earth.
Varun:a, god of the high-arched sky and a source of the order
in the earthly realm. The welfare of those who have passed
The goal of the continuing human pilgrimage was liber-
beyond death to heaven was associated with their participa-
ation and release (moks:a) from the suffering associated with
tion in rituals, sacrifices, and offerings to the gods while on
attachment to the samsaric cycle to the unqualified enjoy-
earth.
ment and ultimate fulfillment of the bliss of nirva¯n:a.
Nirva¯n:a, which is held to be resistant to definition but is ac-
In heaven, the distinctiveness of personal identity is pre-
cessible to experience, has been variously envisioned as the
served, and, in close communion with the gods, those who
union of the soul (a¯tman) with the ultimate divine reality,
have entered heaven enjoy the pleasures and goods they have
brahman (S´an˙kara, eighth to ninth century CE, and the
known on earth, but in full measure. Priests and warriors
school of Advaita Veda¯nta), or as an unqualified communion
were portrayed among those who enter the heavenly realm,
of the soul with God (Ra¯ma¯nuja, eleventh to twelfth century
though there was no comprehensive and systematic indexing
CE, and the school of Vis:is:tadvaita). Such fulfillment was to
of those who do and those who do not enjoy the goods of
be achieved by the spiritual discipline of one of the pathways
heaven. Though there is much ambiguity regarding human
(ma¯rgas, yogas), or some combination thereof, of traditional
destiny in the literature of the earliest Vedas, there are sug-
Hinduism: jña¯nayoga (liberating wisdom), karmayoga (ac-
gestions that the fate of those who did not achieve a heavenly
tions), ra¯ja¯yoga (contemplative discipline), or bhakti (loving
state (presumably because of a neglect of proper ritual partic-
devotion, adoration of God, pu¯ja¯).
ipation, since no moral tests for entrance into heaven were
suggested) is either extinction or relegation to a realm of
The twice-born castes (bra¯hman:as, ks:atriyas, vai´syas)
darkness under the earth (hence, hell). In later elaborate cere-
had fullest access to these pathways of spiritual practice, espe-
monial works, specifically the Bra¯hman:as composed primari-
cially the first three pathways mentioned. The bhakti move-
ly for the ritual performances of the priests, there was pres-
ments in Hinduism stressed a mode of religious life that in-
ented a more definitive characterization of heaven as an
volved devotional and ritual practices in which adoration was
abode in which were experienced the joys and goodness of
centered on one of the gods of Hinduism, primarily S´iva or
earthly existence, but greatly enhanced and without the limi-
Vis:n:u, or one of their avata¯ras (incarnations) or consorts.
tations known before death. The quality of heavenly life was
The rich corpus of Hindu religious literature provided an
viewed as correlative with efficacious ritual performance on
abundant resource for the edification and inspiration of
earth since association with the gods of sacramental ritual
bhakti devotees. The Bhagavadg¯ıta¯ (Song of the Blessed
communion (Agni, Varun:a, Indra, et al.) was assured. Hell
Lord; c. first century CE), a portion of the expansive epic
was likewise presented as a realm of retribution for ritual de-
Maha¯bha¯rata, portrays Kr:s:n:a (an avata¯ra of Vis:n:u, the “pre-
ficiencies.
server”) as worthy of a devotee’s total devotion, while stress-
ing the ideal of responsible yet disinterested action in the
By the era of the rise of Hinduism proper (third century
world. Some scholars hold that the importance of the
BCE), a quite different worldview had come to dominate the
Bhagavadg¯ıta¯ lies in part in its recognition of the legitimacy
Indian scene, shaped fundamentally by the philosophical and
of bhakti as a pathway to liberation alongside of jña¯na-,
religious ideas of the Upanis:ads (sixth to first centuries BCE).
karma-, and ra¯ja¯yoga. The other great Indian epic, the
A cyclical worldview had been given sophisticated expres-
Ra¯ma¯yan:a (c. fourth century BCE, with the first and last of
sion. The notions of transmigration and reincarnation in-
seven chapters presumed to be later additions), portrays
formed a pervasive understanding of human existence as in-
Ra¯ma as another avata¯ra of Vis:n:u worthy of devotional ado-
volving, in cyclic continuity, a series of lives, deaths, and
ration, the accomplished practice of which results in inter-
rebirths and had come to dominate a comprehensive inter-
mediate stays in one of the heavens until the perfection of
pretation of human existence.
the practice leads to the perfect bliss of unqualified and un-
endingly blissful adoration of and communion with God
Heaven and hell came to be viewed not as a vision of
(nirva¯n:a).
ultimate fulfillment or destiny, but as intermediate states in-
termittent with a series of earthly existences in a cycle of
BUDDHISM. With the Hindu tradition Buddhism shares a
births and deaths (sam:sa¯ra). One’s karman (Pali, kamma),
cyclical view of history and of individual existence. The
the reservoir of the consequences of thoughts, words, and
world of time and space and history, the realm of samsaric
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HEAVEN AND HELL
3887
cycles, is transitory and constantly in flux. Heaven and hell
The Buddhist heavens of the other two realms, ru¯paloka
are seen as parts of that transitory world, as intermediate and
(the world of form) and aru¯paloka (the formless world, often
temporary states between one earthly existence and another.
referred to as the world of mind or consciousness), are acces-
Death is thus but a transition from one earthly existence
sible only by those accomplished in the practice of the disci-
through an intermediate level of one of the heavens or hells
pline of meditation and spiritual endeavors. The heavens of
to rebirth in yet another earthly existence. The attachment
ru¯paloka are material and are inhabited by the gods who are
of beings to the samsaric cycle, often referred to as the “wheel
free from sensual yearnings. They are variously numbered in
of existence” and characterized by duh:kha (suffering, unsatis-
different lists, in some texts enumerated as thirteen while in
factoriness), is caused by tr:s:n:a¯ (clinging, grasping, desiring)
other texts listed as being from sixteen to eighteen, distribut-
conditioned by ignorance (avidya¯) of the Dharma, or the
ed in four different groups correlative with four dhya¯nas
truth of the Middle Path as taught by the Buddha. Though
(modes of meditation). The heavens of aru¯paloka are likewise
tr:s:n:a¯, in the early Buddhism of India and the later Therava¯da
structured in four groups, each characterized by stages or le-
of Southeast Asia, is the ultimate cause of rebirth, one’s kar-
vels of meditative attainment. For Buddhism, life in the
man determines the type and level of rebirth. In this tradi-
heavenly realms is not free from involvement in the condi-
tion, only the enlightened ones, the arhats, are free from the
tioned existence of samsaric cycles. The ultimate goal of en-
cycle of rebirths to enjoy the equanimity and the bliss of
lightenment and fulfillment transcends even the highest of
nirva¯n:a.
the heavens.
The bodhisattva motif of Maha¯ya¯na Buddhism qualifies
The temporary aggregation of the components of ordi-
the ideas of both heavens and hells in the Buddhism of the
nary experience (the skandhas: form, sensation, perception,
“large vehicle.” The bodhisattvas, moved by compassion for
dispositions and volitions, and consciousness, including self-
all beings involved in suffering (duh:kha), are beings who
consciousness) that prompt the presumption of separate per-
have taken a vow not to enter nirva¯n:a until all sentient be-
son or self is dissipated at death following the experience of
ings can do so. They are able to manifest themselves through
liberation (moks:a). Short of enlightenment, there is no sur-
diverse forms and beings and in any of the realms in which
cease of the continuous round of rebirths. The having-been-
there are suffering beings, even into the depths of the lowest
ness of one life, with its repository of karman, leads to the
hell, to share their merit with all who are in need of liberation
coming-into-being of another life in another realm, though
and enlightenment.
it is denied that any a¯tman, soul or self, as a separate entity
transmigrates (known as the Buddhist teaching of ana¯tman).
In no movement of the Buddhist traditions is this em-
Rebirth may occur in any one of the various heavens or hells,
phasis on the saving power of bodhisattvas and Buddha fig-
and one may be reborn as an animal, again as a human being,
ures more vividly expressed than in the Pure Land schools
or in the preta realm, the realm of ghosts.
of China, Korea, and Japan. Central to this popular Buddhist
movement is the figure of Amita¯bha (Chin., O-mi-t’o-fo;
There is no one completely systematic account of the
Jpn., Amida), a Buddha who has gained inexhaustible merit
various hells in the Pali canon, the corpus of Therava¯da texts
through countless ages of Buddhist practice and who, as a
known as the Tipit:aka. Generally, the realm of ka¯maloka, of
consequence, possesses infinite saving power dedicated to the
the lower universe of sensuality, includes the various hells
salvation of all. This Lord of the Western Paradise responds
and the six lower heavens. The Pali Abhidhamma Pit:aka re-
beneficiently to all who invoke his name, assuring them of
ports eight “hot” hells below the earth, each involving differ-
both protection in earthly life and passage at death to the
ing forms of suffering by which the consequences of bad
Land of the Western Paradise, whence their full enlighten-
kamma are consumed. In addition, there are sixteen minor
ment and entry into nirva¯n:a is assured.
hells attached to each of these hells. The duration of a passage
The quest for immortality had developed in Chinese re-
through any one of these hells is not definitively established,
ligious Daoism; and with its associated belief in heavens, it
each being correlative with the measure of the evil kamma
made for fruitful interaction with Chinese Buddhism of the
to be consumed. Other H¯ınaya¯na canons preserve more sys-
Pure Land. A notable figure who did much to extend the in-
tematic and detailed cosmologies.
fluence of Pure Land Buddhism in China was Tanluan
The structure of the heavenly realms in Buddhism
(c. 488–c. 554) who had turned to this form of Buddhism
draws upon non-Buddhist and Hindu sources, though they
after an extended Daoist search for the elixir of immortality.
are reinterpreted within the Buddhist context. The six heav-
All mortals, he held, could be assured of salvation by faith
ens of the sensual realm of ka¯maloka are inhabited by the
in Amita¯bha, given expression through the recitation of his
kings and gods who manifest their power through various
name, thus relying on his saving power.
forms of sensual experience. Included in this group is the
The dominant Pure Land schools of Japan, the Jo¯doshu¯,
Tus:ita Heaven, from which Gautama is said to have come
founded by Ho¯nen (d. 1212), and the Shinshu¯, formed by
upon entering his last earthly existence in which he experi-
followers of a disciple of Ho¯nen, Shinran (d. 1263), attest
enced enlightenment, as well as the bodhisattvas of exemplary
to the wide appeal of this form of Buddhism, with its inviting
compassion and saving power.
vision of the Western Paradise. Pure Land texts, especially
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3888
HEAVEN AND HELL
Saddharmapun:d:ar¯ıka (Jpn., Hokekyo¯) and the Sukha¯-
sonal force underlying the cosmos, the ultimate source of
vat¯ıvyu¯ha, contain graphic and imaginative descriptions of
order and morality. Yet in other passages Heaven is pre-
the Western Paradise: a bountiful land without pain or suf-
sumed to have the capacity to understand the plight and situ-
fering; abounding in pleasure and beautiful natural sur-
ation of human beings, indicating a seemingly personal di-
roundings, with flowing rivers and lotus-filled lakes, perme-
mension to heaven.
ated by pleasant music, adorned by exquisite gems, and
Though Confucian thought was not inclined to specu-
where neither a notion of nor a word for hell is to be found.
late about Heaven as a destiny awaiting human beings be-
CHINESE TRADITIONS. The aspiration to achieve harmony
yond death, its emphasis on the centrality of the family af-
in society that has characterized all of Chinese religion and
forded a natural sympathy with ritual practices of ancestral
philosophy has given to Chinese understandings of heaven
reverence. Propriety in honoring the ancestors, whose spirits
a unique aspect. Rooted in the most ancient traditions of
survived death and whose welfare was reciprocally related to
China, the worship of Heaven as well as the ruler of Heaven,
that of living persons, became an essential component of li.
Shangdi, is evident as early as the Shang dynasty (1532–1027
As indicated earlier, both Buddhists who presided over mass-
BCE). During the period of the Zhou dynasty (1027–256
es for the dead and religious Daoists in China subscribed to
BCE) the worship of Heaven, Tian, was regarded as essential
a cosmology that included levels of heavens above and hells
for the maintenance of harmony between Heaven and earth.
below the earth.
It is in the Confucian tradition, which formatively shaped
JAPANESE TRADITIONS. There are, in indigenous traditions
the essential character of Chinese civilization through many
of Japan, concepts analogous to those of heaven and hell in
centuries of relative stability, that a sophisticated articulation
other religions. The oldest traditions recorded in the Nihongi
is found of the nature and place of Heaven.
and the Kojiki contained only nascent suggestions concern-
ing the possibility of life beyond death, though this itself was
Although Confucius’s teachings and the Confucian tra-
associated with the grave. Following the sixth century, Chi-
dition advocated the quest for harmony in human affairs, es-
nese and Buddhist influences contributed to further develop-
pecially through the five relationships (ruler-subject, father-
ment of religion in Japan. References are made to a realm
son, husband-wife, elder brother-younger brother, and
beneath, one term for which was Yomi (literally, “darkness”).
friend-friend), as the way to perfect harmony in the cosmos,
Though characterized as an undesirable realm from which
there is no doubt that basic presumptions regarding Heaven
beings threaten the welfare of the living, it is not clear that
provided an ontological ground for the moral teachings to
it is a repository of the dead. Gods dwell there, but they rep-
be manifest in the perfection of the junzi (sage, ideal gentle-
resent negative powers of death and disease. Later Yomi came
man). The focus was placed on human affairs; human beings
to be conceived as a realm of punishment. More definite in
should begin by seeking harmony in the relationships that
later Japanese texts are the notions about a realm analogous
immediately address them. Yet the underlying conviction
to heaven, Ame. This is the dwelling place of the gods, and
was that if harmony is achieved in human affairs, harmony
notable persons are thought to proceed there after death.
with Heaven will be assured. Thus, the full practice of li (tra-
Ame is a bounteous realm above the earth, made attractive
dition, propriety) informed by ren (human beings in rela-
by the presence of trees, flowers, and streams; its beauty is
tionship with each other) in the spirit of shu (reciprocity)
beyond anything known on earth. The importance Ame
along with the honoring of xiao (filial piety) will manifest the
came to have is underscored by the tradition that Amaterasu,
kind of de (perfect moral virtue and power) that is the ideal
the sun goddess, visited there as well as Izanagi after his fail-
of the junzi. This is, for Confucianism, the way (tao) of
ure to recover his wife, Izanami. Japanese Buddhism shared
Heaven in human affairs, and the very nature and structure
as well the normative Maha¯ya¯na visions of various levels of
of the cosmos as determined by Heaven is such that all will
heaven and hell as intermediate states.
be well if ruler and subject both revere and follow (i.e., prac-
tice) this way. Thus, though it appears that the thought of
SEE ALSO Ancestors; Cosmology; Judgment of the Dead;
Confucianism can most accurately be characterized as pri-
Paradise; Resurrection; Underworld.
marily a social ethic, there are nonetheless cosmic and onto-
logical dimensions grounded in its notion of Heaven. The
BIBLIOGRAPHY
will of heaven (tianzhi) is the primary reality and the ultimate
Asin Palacios, D. Miguel. Islam and the Divine Comedy. London,
basis of Confucian thought. Whatever happens that is not
1936. Comparative analysis of Dante’s Commedia and
the direct responsibility of human beings is attributed to the
Muh:ammad’s journey and ascension.
will of Heaven.
Baillie, J. B. And the Life Everlasting. London, 1936. An examina-
tion of the Christian notion of immortality by a discerning
Unrestrained speculation about the nature of Heaven
scholar of that tradition.
was not characteristic of Confucian thought, as evidenced in
Blacker, Carmen, and Michael Loese, eds. Ancient Cosmologies.
the texts of the Four Books, that is, the Lunyu (Analects), the
London, 1975. Cosmological structures of a variety of tradi-
Daxue (Great Learning), the Zhong yong (Doctrine of the
tions, including Jewish, Chinese, Islamic, and Greek.
Mean), and the Mengzi (Book of Mencius). In certain pas-
Brandon, S. G. F. Man and His Destiny in the Great Religions.
sages it does seem to be presumed that Heaven is an imper-
Manchester, 1962. This publication of the Wilde Lectures
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEAVEN’S GATE
3889
in Natural and Comparative Religion presents an overview
Butler, Jonathan M. Softly and Tenderly Jesus Is Calling: Heaven
of visions of human destiny in major religious traditions
and Hell in American Revivalism. Chicago Studies in the His-
through historical and comparative analysis.
tory of American Religion 3. Brooklyn, 1991.
Ch’en, Kenneth. Buddhism: The Light of Asia. New York, 1968.
Emerson, Jan Swango, and Hugh Feiss. Imaging Heaven in the
A valuable summary interpretation of the Buddhist tradition
Middle Ages. New York, 2000.
in interaction with the various cultures of Asia, proceeding
Eno, Robert. The Confucian Creation of Heaven: Philosophy and
country by country.
the Defense of Ritual Mastery. Albany, 1990.
de Bary, Wm. Theodore, ed. The Unfolding of Neo-Confucianism.
Gardiner, Eileen, ed. Visions of Heaven and Hell before Dante. New
New York, 1975. A good collection of essays portraying the
York, 1989.
religious aspects of neo-Confucianism in distinction from its
purely moral and social functions.
Kvanvig, Jonathan L. The Problem of Hell. New York, 1993.
Eberhard, Wolfram. Guilt and Sin in Traditional China. Berkeley,
Wright, J. Edward. The Early History of Heaven. New York, 2000.
1967. Morality as well as concepts of heaven and hell are ex-
LINDA M. TOBER (1987)
amined in the context of popular religious movements in
F. STANLEY LUSBY (1987)
China.
Revised Bibliography
Eliade, Mircea. The Myth of the Eternal Return, or Cosmos and His-
tory. Princeton, 1971. A comparative analysis of cyclical and
linear concepts of time in history and their consequence for
understanding human meaning and destiny.
HEAVEN’S GATE, a small American UFO cult,
Hick, John. Death and Eternal Life. London, 1976. An examina-
achieved worldwide notoriety in March 1997 when the lead-
tion of responses to the question of what happens after death,
er and his thirty-eight followers committed mass suicide in
based primarily Western sources.
Rancho Santa Fe, California. The bodies, dressed in black
uniforms and covered with purple shrouds, were found lying
Kitagawa, Joseph M. Religion in Japanese History. New York,
1966. The most complete and authoritative recent account
on bunk beds and mattresses throughout the group’s seven-
of the religions of Japan, portraying their development and
bedroom mansion. The suicides had been carefully planned,
history.
and law enforcement investigators found no evidence of vio-
MacCulloch, J. A., et al. “Blest, Abode of the.” In Encyclopaedia
lence or coercion. After ingesting barbiturates and alcohol to
of Religion and Ethics, edited by James Hastings, vol. 2. Edin-
induce drowsiness, the members had pulled plastic bags over
burgh, 1909. A still valuable, though dated, collection of es-
their heads and suffocated as they fell asleep. Once free of
says presenting images of human fulfillment in a comprehen-
their human “containers,” they expected their souls to be lift-
sive examination of a variety of traditions, primarily ancient
ed up to a spacecraft that would take them to a physical heav-
and classical.
en, the Level above Human. There they would be given new
Parrinder, Geoffrey. The Indestructible Soul. London, 1973. An
androgynous bodies and assume the task of guiding the evo-
analysis of the structures of human existence as presented in
lution of life on other planets throughout the universe.
Indian thought, including focal discussion of life after death.
ORIGINS. The leader of Heaven’s Gate, a sixty-six-year-old
Reynolds, Frank E., and Earle H. Waugh, eds. Religious Encoun-
man named Do, claimed to be God’s sole representative on
ters with Death. University Park, Pa., 1977. A collection of
the planet. Originally he had shared leadership with a
essays, contributed by a number of specialists, that analyze
woman, Ti, but she died of liver cancer in 1985. Ti and Do
the import and significance of the myths, ceremonies, and
met in Houston, Texas, in 1972. Ti, whose given name was
conceptions associated with death in a variety of traditions.
Bonnie Lu Nettles (b. 1924), was a registered nurse and a
Seltzer, Robert M. Jewish People, Jewish Thought. New York,
student of metaphysics, including Theosophy. Do, then
1980. A general and comprehensive survey of Jewish experi-
Marshall Herff Applewhite (b. 1931), was a former music
ence, focusing on intellectual history from ancient to con-
professor and lapsed Presbyterian.
temporary times.
Applewhite had lost two university teaching positions
Smith, Jane I., and Yvonne Haddad. The Islamic Understanding
of Death and Resurrection. Albany, N.Y., 1981. A descriptive
because of problems stemming from confusion over his sexu-
analysis of the basis elements of Muslim understanding of the
al identity. In 1965 he was dismissed from the University of
judgment and destiny of individuals.
Alabama and divorced by his wife following a homosexual
affair with a student, and in 1970 he was fired from Saint
Zimmer, Heinrich. Philosophies of India. New York, 1956. A com-
prehensive and illuminating treatment of the classical
Thomas University in Houston after his fiancée, a female
thought-systems of India.
student, attempted suicide when he broke off their engage-
ment. Applewhite lamented his inability to form a lasting re-
New Sources
lationship, and though yearning for a soulmate to help him
Almond, Philip C. Heaven and Hell in Enlightenment England.
achieve his potential, he contemplated renouncing sexuality
New York, 1994.
altogether.
Bernstein, Alan E. The Formation of Hell: Death and Retribution
in the Ancient and the Early Christian Worlds. Ithaca, N.Y.,
Shortly after the Saint Thomas incident, Applewhite
1993.
began having visions, including one in which he was told
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3890
HEAVEN’S GATE
that he had been chosen for a Christlike messianic role. It
stopped recruiting, and the media lost interest in HIM. Bo
was during this period that Applewhite met Nettles. Still ac-
and Peep inaugurated a new phase called the Classroom,
tive in theater circles, Applewhite offered her an exciting es-
which they compared to astronaut training. Less committed
cape from an unhappy marriage, and she gave him the confi-
“students” were encouraged to leave, and late in 1976 nine-
dence and metaphysical knowledge he needed to begin
teen were expelled. Bo and Peep changed their names again,
making sense of his experiences. Believing they had known
this time to Do and Ti, with Ti’s name spoken first, indicat-
each other in a previous lifetime, they immediately formed
ing her superior position in the “chain of mind” connecting
an intense, though platonic, relationship, which led to the
the students with the Next Level.
breakup of Nettles’s marriage.
The Classroom coupled extreme isolation with de-
Early in 1973, Applewhite and Nettles left Houston,
manding discipline. Moving every six months, the Class ini-
hoping to free themselves from worldly commitments in
tially lived in remote campgrounds, and later in expensive
order to discover why God had brought them together. The
suburban neighborhoods. Isolation from humans was virtu-
answer came in a revelation six months later: They were the
ally complete during the camping phase because the Class
“two witnesses” in Revelation 11 who, after being martyred,
was supported by a student’s trust fund, but members re-
would resurrect and ascend to heaven in a cloud. Like Jesus,
mained insulated even after moving into houses. In 1978,
they had come from the Kingdom of Heaven to show hu-
forty-eight members moved into a single house, or “craft,”
mans how to achieve eternal life, and like Jesus they would
without their neighbors’ knowledge. Only certain students
return in a spacecraft. Jesus had failed in his mission, so Ap-
were allowed outside and “intercepts” were designated to
plewhite had been sent to try again, this time with a helper
greet visitors. After the trust fund ran out, some students got
because of the negativity on the planet, which was controlled
jobs waiting tables and doing computer work, but they main-
by Satan.
tained their distance from other people by identifying them-
selves as members of a celibate religious order. Not until
To become eligible for membership in the Next Level,
1982 were students allowed to call home. Some eventually
humans would have to follow the same path Applewhite and
visited their families, but they divulged few details about
Nettles had taken by shedding their attachments to the
their activities and never revealed the group’s location.
human level, including their sexuality. The overcoming pro-
cess would initiate a biological transformation of their bodies
Everyday life was governed by strict schedules and pro-
that would be completed upon reaching the Next Level,
cedures. The most demanding routine required students to
where they would become immortal, androgynous beings.
check in throughout the day at a central location in staggered
Paradoxically, in light of the mass suicide to come, Apple-
eleven-minute intervals. Arriving two at a time, they would
white and Nettles claimed that seekers had to board the
stand prayerfully for one minute, then go back to their busi-
spacecraft in living, physical bodies. Death would ensure an-
ness, returning eleven minutes later, and so on until bedtime.
other incarnation as a human.
This discipline was practiced, with occasional breaks, for
months at a time. Procedure manuals prescribed the most
In April 1975, after much fruitless proselytizing, Apple-
mundane activities, from shaving to buttering bread, and
white and Nettles recruited twenty-four followers in Holly-
each student was assigned a “check partner” to make sure the
wood, California. Now with a flock, they called themselves
rules were followed. To help eliminate their humanness, sex
Bo and Peep. Their new group came to be known as Human
and private property were forbidden, and except when sleep-
Individual Metamorphosis (HIM), referring to the transfor-
ing or engaged in “out-of-craft tasks,” students wore hooded
mation of the body brought about by the overcoming
uniforms that concealed their faces. Lingering human traits
process.
were addressed in slippage meetings, a form of mutual criti-
Bo and Peep began presenting their message in public
cism. During free periods students studied astrology, worked
meetings, and by the end of 1975, they had over two hun-
puzzles, and watched television game shows to exercise their
dred followers. Most were young, single spiritual seekers with
minds. Every night students took shifts scanning the heavens
weak attachments to conventional institutions, although
for UFOs.
some had left families, homes, and careers. Typically they
Early in the 1980s, Ti and Do realized that their stu-
vanished abruptly within days of hearing the message, disap-
dents were not, as they had thought, humans who would
pearing so completely that even private detectives were un-
physically change their bodies into Next Level vehicles. In-
able to find them. The disappearances made national head-
stead they were members of the Kingdom of Heaven who
lines, and syndicated news stories about HIM appeared
were temporarily occupying human vehicles for a training
sporadically for several months.
mission, which included exemplifying celibacy for humans.
FROM HIM TO TOTAL OVERCOMERS ANONYMOUS. The
This new understanding helped cushion the blow when Ti
group reached its maximum size in the fall of 1975, but
died of cancer in 1985. Do explained that Ti, having com-
membership declined rapidly because the defection rate was
pleted her task of getting him started on his mission, had left
high and fewer people were joining. Early in 1976, with
her vehicle and returned to the Next Level, where she re-
about one hundred members remaining, Bo and Peep
ceived a new body, like changing clothes. The separation of
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HEAVEN’S GATE
3891
self and body escalated in 1988 when Do broached the idea
unable to determine exactly when the suicides began, they
of castration as a way for the males to eliminate the sexuality
appear to have started on March 23, the day after the Hale-
of their vehicles. Eventually eight men, including Do, had
Bopp comet—the brightest of the twentieth century—made
themselves castrated.
its closest approach to earth. Do had concluded that Ti was
coming back in a spacecraft concealed behind the comet’s
In 1988 the Class tentatively resumed proselytizing by
tail. Given Do’s belief that he had been sent to complete the
mailing a statement by Do to UFO experts and New Age
task assigned to Jesus, it may be significant that Easter, sym-
centers. Do elaborated on his belief in Satan by describing
bolizing Jesus’ departure, was just seven days away.
a “Luciferian” army of evil space aliens pitted against the
Next Level. Subsequent videotapes produced by the Class ex-
Consistent with the group’s meticulous attention to de-
panded on Lucifer’s activities and announced that the end-
tail, the suicides followed a written plan. While some details
time was approaching. But not until 1992, in a USA Today
remain unclear, it appears that the deaths took place over a
advertisement warning that earth’s civilization was about to
three-day period, and that Do was among the last to die. In
be “spaded under,” did the Class stress the urgency of the
a videotape made just before the suicides, the students over-
situation. In 1994 the Class, with only twenty-six students
flowed with gratitude toward Ti and Do, relieved and excited
remaining and now calling itself Total Overcomers Anony-
to finally be leaving their human containers for the Kingdom
mous, embarked on a series of sixty-four public lectures to
of Heaven.
present the message one last time. The group doubled in size,
THE AFTERMATH. As the largest mass suicide on American
but most of the newcomers dropped out within a few
soil, the deaths triggered sensational headlines around the
months.
world. Most ex-members were shocked by the suicides be-
cause only a few were aware that their former classmates no
THE SUICIDES. Discouraged, Do grew increasingly con-
longer believed that a physical body was required to enter the
cerned about Luciferian interference with his mission. After
Next Level. Subsequently two ex-members took their lives
the 1993 assault on the Branch Davidian residence near
in hopes of joining the Class aboard the spacecraft, bringing
Waco, Texas, Do worried that the Class might be under gov-
the death toll to forty-one. Although a few ex-members con-
ernment surveillance, so he moved his students to New Mex-
tinued to believe that Ti and Do had come from the Next
ico, where they began building a fortified compound. How-
Level, none expressed any desire to carry on the Class. Only
ever, the project was never completed, and Do began sending
another Representative from the Next Level could do that.
students to other countries in an unsuccessful attempt to find
In their minds, Heaven’s Gate ceased to exist when Do and
a more compatible location for the Class. Proselytizing con-
his students exited their vehicles.
tinued over the Internet, but the main response was ridicule,
and Do admitted to growing weary of his mission.
SEE ALSO Branch Davidians; New Religious Movements, ar-
ticle on New Religious Movements in the United States;
In this context, the Class began discussing the possibili-
Theosophical Society; UFO New Religions.
ty of “exiting” their vehicles, as Ti had done. The discussion
was hypothetical at first, but it turned serious in September
BIBLIOGRAPHY
1994 when Do asked the students how they would feel about
Balch, Robert W. “Bo and Peep: A Case Study of the Origins of
leaving their bodies if this required nothing more than drink-
Messianic Leadership.” In Millennialism and Charisma, ed-
ing a pleasant-tasting liquid and falling asleep. A few balked,
ited by Roy Wallis, pp. 13–72. Belfast, Northern Ireland,
but only one left the Class. In 1996 the Class began posting
1982. Discusses how Applewhite and Nettles came to believe
messages on its website that strongly implied that suicide was
they were the “two witnesses” and develop their original be-
imminent. Erroneously, Do had come to believe that, like
lief system.
Ti, he was dying of cancer, and in November the Class liqui-
Balch, Robert W. “Waiting for the Ships: Disillusionment and the
dated nearly all its possessions.
Revitalization of Faith in Bo and Peep’s UFO Cult.” In The
Gods Have Landed: New Religions from Other Worlds, edited
By 1997 the number of students had dropped to thirty-
by James R. Lewis, pp. 137–166. Albany, N.Y., 1995. Dis-
eight, all of whom would die by suicide along with Do. The
cusses how Ti and Do changed the original group’s beliefs
Class, now calling itself Heaven’s Gate, had rented a hilltop
and structure to stem defections and create highly committed
mansion in Rancho Santa Fe, a wealthy suburb of San Diego.
followers.
While several students still worked at out-of-craft tasks,
Balch, Robert W., and David Taylor. “Salvation in a UFO.” Psy-
many now worked “in-craft” for the group’s web design busi-
chology Today 10 (1976): 58–66, 106. A participant-observer
ness, Higher Source. Neighbors were generally unaware that
description of the beliefs, membership, and everyday life of
a religious group lived in the house, and the few outsiders
Heaven’s Gate in 1975.
who became acquainted with the students described them as
Balch, Robert W., and David Taylor. “Seekers and Saucers: The
friendly, but reclusive.
Role of the Cultic Milieu in Joining a UFO Cult.” American
Behavioral Scientist 20 (1977): 839–860. Discusses how and
Finally, in March, a flashing “RED ALERT!” was added
why people joined Heaven’s Gate.
to the group’s web page announcing that the moment of de-
Balch, Robert W., and David Taylor. “Making Sense of the Heav-
parture was imminent. Although the medical examiner was
en’s Gate Suicides.” In Cults, Religion, and Violence, edited
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3892
HEBREW SCRIPTURES
by David G. Bromley and J. Gordon Melton, pp. 209–228.
could make fire; only Hedgehog, who was then a human
Cambridge, UK, 2002. A short history of Heaven’s Gate, be-
being, could. One day, a crowd gathered around Hedgehog
ginning with the founders’ backgrounds and revelation, and
to hear the secret of making fire. But the young girls, seeing
concluding with the suicides and their aftermath.
his strange shape, began to laugh, and this angered him so
Wessinger, Catherine. How the Millennium Comes Violently: From
much that he decided to tell his secret only to his wife, and
Jonestown to Heaven’s Gate. New York, 2000. See pages 229–
even then only under a promise of silence. But the hawk
246 for additional information on circumstances contribut-
overheard him explaining the secret and told it to the gods.
ing to the suicides.
From the gods humans in turn learned the art of making fire.
ROBERT W. BALCH (2005)
Later, the descendants of Hedgehog were transformed into
hedgehogs. Similar stories are known among some eastern
European peoples: According to the Udmurts and the Mari,
HEBREW SCRIPTURES SEE BIBLICAL
it is the hedgehog that showed humans and animals how to
LITERATURE
make fire using stone, steel, and tinder. They also say that
the hedgehog instructed people in using the iron plow to till
the soil.
HECATE SEE HEKATE
The idea that the hedgehog is a clever animal is still
alive, too, in the folklore of western Europe. A German folk-
tale tells of a race between the hedgehog and the hare from
HEDGEHOGS. In the myths and legends of Inner Asia
which the hedgehog, by a trick, emerges victorious.
and eastern Europe, the hedgehog enjoys considerable re-
spect because of its amazing wisdom. It is often described as
BIBLIOGRAPHY
being superior in wisdom even to the apparently omniscient
Valuable information can be obtained from Demetrius Kle-
God. Moreover, the hedgehog is sometimes a culture hero,
mentz’s “Buriats: Worship of Animals,” in volume 3 of the
instructing people in the various arts of life such as fire mak-
Encyclopaedia of Religion and Ethics, edited by James Has-
tings (Edinburgh, 1910); Uno Harva’s Die religiösen Vorstel-
ing, agriculture, and marriage customs.
lungen der altaischen Völker (Helsinki, 1938), pp. 181–182,
In several cultures, the hedgehog has been thought wise
224–225; and Mircea Eliade’s Zalmoxis, the Vanishing God:
enough to have assisted God in his work of creation. As a
Comparative Studies in the Religions and Folklore of Dacia and
Romanian cosmogonic myth tells it, during creation the
Eastern Europe (Chicago, 1972), pp. 84ff.
earth had spread out so far that there was no more room for
New Sources
the waters. God did not know what to do, so he sent the bee
Berlin, Sir Isaiah. The Hedgehog and the Fox: An Essay on Tolstoy’s
to the hedgehog, the wisest of all animals, to ask advice. It
View of History. 1953; reprint New York, 1993.
refused, however, to help, giving the excuse that God was all-
MANABU WAIDA (1987)
knowing. The bee, knowing that the hedgehog is in the habit
Revised Bibliography
of talking to itself, stole back up to it and heard it murmur-
ing, “God does not know that he must create valleys and
mountains in order to make room for the waters.” The bee
hurried back to God with this advice, enabling him to com-
HEGEL, G. W. F. (1770–1831), was a German philoso-
plete his creation. Bulgarians have similar stories. In a Lettish
pher, the culminating figure in the philosophical movement
version, God himself tells the hedgehog of his cosmogonic
known as German Idealism. Born in Stuttgart, Georg Wil-
dilemma and obtains advice from it. To reward the hedge-
helm Friedrich Hegel was given a thorough grounding in the
hog, God gives it a coat made of needles.
humanities, with strong emphasis on literature and history.
From his earliest years he was keenly aware of the cultural
The Buriats have preserved a story about how the Lord
disintegration of western Europe—moral and religious, so-
of the Earth once visited Khormusta Tengri, one of the gods
ciopolitical, and intellectual. He felt strongly that he was
of heaven. On leaving, the Lord of the Earth begged for the
called to be a scholar and educator who would contribute to
sun and the moon as presents. Hospitality did not allow
the reintegration of German culture, initially through em-
Khormusta Tengri to refuse, so the Lord of the Earth took
phasis on religious renewal. Thus, in 1788 he was enrolled
the lights of the sky with him and shut them up in a box.
in the Lutheran seminary at Tübingen, where, from 1788 to
The whole universe became dark. Distressed, Khormusta
1790, he studied philosophy and, from 1790 to 1793, theol-
Tengri turned to the hedgehog. Using its profound wisdom,
ogy. From this he turned to political thinking, seeking to an-
the hedgehog was able to return the sun and the moon to
alyze the moral prerequisites of an authentic political society.
their heavenly orbits. In another Buriat version, the two di-
Finally he became convinced that only as a philosopher could
vine beings are Ka¯n-C
ˇ urmasan and Lusat, god of the ocean,
he secure the intellectual underpinnings necessary for reli-
with the hedgehog playing the same role.
gious and sociopolitical renewal. From 1793 to 1796 he
According to the Buriats, fire making originated with
served as private tutor in Bern, Switzerland, and from 1797
the hedgehog. In the beginning, neither gods nor humans
to 1801 he filled the same position in Frankfurt am Main,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEGEL, G. W. F.
3893
Germany. In 1801 he moved to Jena, where he defended his
can think, and in so doing he stretches language, perhaps be-
dissertation (De orbitis planetarum) and began his profession-
yond its limits, refusing to let grammar be a straitjacket. One
al career at the university.
must be careful not to read Hegel in such a way as to take
In 1807 Hegel’s first major work, Phenomenology of
his meaning to be what the reader would mean if he or she
Spirit, was published, and he began a short-lived career as a
said the same.
newspaper editor in Bamberg. From 1808 to 1816 he held
4. Dialectical method. Hegel claims that he has not arbi-
the post of director of a Gymnasium (secondary school) in
trarily chosen to think and speak dialectically, but that the
Nuremberg, where he published his second major work, Sci-
dynamic character of reality itself demands just this method
ence of Logic. In 1816 he was named professor of philosophy
of dynamic thinking. At the very beginning of his Science of
at the University of Heidelberg, where, in 1817, he pub-
Logic, he affirms that to think at all is to think being, but
lished his third major work, Encyclopedia of the Philosophical
that to think being necessarily entails thinking its opposite,
Sciences (2d and 3d eds., Berlin, 1827 and 1830). In 1818
nonbeing, and that to think the relationship between being
he was appointed professor in Berlin, where he remained
and nonbeing entails thinking becoming. If is added to this
until his death in 1831. The last work by Hegel to be pub-
the basic Hegelian contention that what truly rational
lished during his lifetime was Philosophy of Right, which ap-
thought cannot but think to be true cannot but be true, one
peared in 1821. The bulk of his writings—on art, religion,
comes to the conclusion that reality is necessarily dynamic
history of philosophy, and philosophy of history—were pub-
and can be thought truly only in a thinking that is dynamic.
lished posthumously, based on a combination of his lecture
Incidentally, the oft-repeated description of the Hegelian di-
notes and notes taken by his students.
alectic in terms of thesis, antithesis, and synthesis is not
UNDERSTANDING HEGEL. It can safely be said that no major
Hegel’s own description, and in fact is not part of Hegel’s
figure in the whole of Western philosophy has been more dif-
mature vocabulary at all.
ficult to understand than Hegel; indeed, to understand him
5. Extraordinarily systematic thinking. The comprehen-
is the task of a lifetime. The reasons for the difficulty are
sive grasp of any truth implies, for Hegel, the whole of truth;
many, but they can be summed up, generally, as five: his
similarly, an adequate grasp of anything Hegel says demands
encyclopedic vision, his enormous erudition, his language,
a comprehensive grasp of all he says, which makes for enor-
his dialectical method, and his extraordinarily systematic
mous difficulty of comprehension. Strictly speaking, no
thinking.
work by Hegel can be comprehended simply by itself. To un-
1. Encyclopedic vision. In a certain sense Hegel’s intellec-
derstand Phenomenology of Spirit, one must see it as an appli-
tual quest is a continuous act of faith in reason. He seeks to
cation of the dynamic methodology elaborated in Science of
articulate this faith in such a way that reason itself validates
Logic, and the latter must be read in light of the progressive
its claim that no truth is recalcitrant to it—not in the sense
development of rational thinking traced in the former. When
that human reason can, as merely finite activity, discover all
he writes of morality, of law, of social-political structures, of
truth, but in the sense that given truth, reason can compre-
art, religion, or philosophy, all must be situated in the frame-
hend the rationality of it, that is, the rational necessity under-
work of the systematic structure articulated in Encyclopedia
lying even existential contingency. As Hegel sees it, reason
of the Philosophical Sciences. Whatever is to be understood
is truly reason only if it is ultimately absolute and infinite,
must be understood in the dynamic matrix of historical de-
that is, if it is absolute Spirit. This absolute Spirit, conceived
velopment.
as concretely real and not as some vague abstraction, will be
HEGEL AND RELIGION. With the difficulty acknowledged of
seen to be God. Human reason is, it is true, finite, but it is
coming to grips with the complexities of Hegel’s highly intri-
reason at all only insofar as it is a sharing in infinite, divine
cate thought patterns, it remains true that no modern thinker
Spirit, whose object is the infinite totality of reality.
has had more influence than Hegel—and that influence is
2. Enormous erudition. Hegel’s was a lifetime of intense
on the increase—on moral, legal, social-political, aesthetic,
and insatiable intellectual curiosity; he was not only an om-
religious, and philosophical thought. This article confines it-
nivorous student but also one who thoroughly enjoyed every
self here, however, to Hegel’s influence on subsequent reli-
intellectual challenge he met, one who did not, however, in-
gious and theological thinking—both Catholic and Protes-
dulge in intellectual games. What he sought was a knowledge
tant. It is important to note in this connection that, for
that is not only true but that truly makes a difference in
Hegel, religious consciousness, a uniquely human phenome-
life—not truth simply for its own sake but for the sake of
non, has characterized human society as far back as any re-
life. He was not a mere technician in the handling of con-
cords will take us, and that it has borne eloquent testimony
cepts but a thinker who sought rational grounds for a way
to the progressive sophistication of human consciousness of
of life, not merely an intellectual life but a life that is moral,
the divine, known in Hegel’s writings as the Absolute.
religious, social, and political—in short, authentically
Historically speaking, that consciousness has manifested
human.
itself, initially in its most primitive form, in the deification
3. Language. Hegel uses a language that is both allusive
of the cosmic forces of nature, with mounting refinement
and elusive; he uses language to say what only pure thought
through efforts on the part of humankind to portray the di-
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HEGEL, G. W. F.
vine in plastic, mythic, and poetic form, culminating in what
It can be seen from what has been said thus far that
it sees as “absolute religion,” or “religion of revelation,” in
Hegel is far more interested in the object of religious affirma-
which God, the absolute Spirit, reveals himself to the human
tion than he is in the subjective character of the affirmation.
spirit by taking on human form. Clearly Hegel has in mind
Nor is he concerned with the affirmation simply as an intel-
here the Christian religion, which he calls, in fact, in his Lec-
lectual act: Much more his concern is with the response of
tures on the Philosophy of Religion, “absolute religion.” It
the whole human person to God, who is truth. Nevertheless,
should be noted, however, that, for Hegel, in every form of
he contends that the response is adequately human only if
religion, even the most primitive, religious consciousness is
it proceeds from what is most characteristically human in hu-
more than a projection on the part of humanity of human
mankind, that is, reason, but not reason conceived in nar-
ideals; in every form it is a self-manifestation—a self-
rowly “rationalistic” terms. Here it is that Hegel has fre-
revelation—of the Absolute, which is spirit and only spirit.
quently been accused of making the religious relationship far
too rational, of being panlogistic, if not pantheistic, of allow-
For Hegel, then, religion and revelation are inseparable,
ing religion to be swallowed up in philosophy. It is true, of
but revelation can take progressively more adequate forms—
course, that he does say that art presents the Absolute in the
remembering, of course, that in all its forms it is revelation
form of the sensibly perceptible, that religion represents the
to humankind as thinking spirit. Thus God reveals himself
Absolute in the form of imaginative thinking, and that phi-
to humankind in nature, but only if humans think of nature
losophy renders the Absolute present in its most proper
in such a way as to receive the revelation. By the same token
form, that of pure thought, but it remains to be seen whether
God reveals himself not only to but also in finite spirit, pro-
this, in fact, either dilutes the religious response or renders
vided that humans see in finite spirit the necessity of infinite
it no longer religious.
Spirit. God, moreover, speaks to humanity in the words of
scripture, not so much, however, in the words themselves as
Whether or not Hegel succeeded in what he set out to
in the story the words tell.
do is a question that has elicited a variety of answers—
depending for the most part on the predispositions of those
Thus, when Hegel speaks, as he does in Phenomenology
who seek to answer the question. It scarcely seems open to
of Spirit, of a “spiritual interpretation” of Christian teach-
question, however, that what Hegel intended was not to can-
ings—an interpretation sometimes confused with “de-
cel out either the revelation in which absolute truth is pres-
mythologization”—he is saying that if what revelation says
ented, or the faith in which it is received, or the religious life
of God is true, grasped as true through the mediation of the
that is consequent on both. When “speculative philosophy”
inner light of the Spirit, then what it affirms to be true is nec-
thinks out the content of religious consciousness, philosophy
essarily true, and this truth can be articulated in reason. Then
does not supplant religion; it completes religion by thinking
God speaks to humankind not only in words but in person,
its content in the form most proper both to its exalted object
in the person who is the Word. Finally, God speaks to hu-
and to the human subject, who is essentially rational. As
mankind in the person of the Spirit who dwells in humans—
Hegel sees it, it is absolute Spirit that bears witness in the
in the community of believers and in the individual believer.
human spirit to absolute truth, whether that be the truth of
To find where Hegel says all this one must turn chiefly to
religion, of morality, of law, or of philosophy. Not only need
his Phenomenology, chapter 7, “Religion”; to his Encyclopedia,
not every believer become a philosopher, but the philosopher
part 3, section 3, “Philosophy of Absolute Spirit” (with “ad-
need not—must not—abrogate the faith that is at once the
ditions”); to his Lectures on the Philosophy of Religion; to his
necessary precondition to and the constant underpinning of
Lectures on Aesthetics; and to his Lectures on the Philosophy of
philosophical reflection.
World History.
Although it is true that in the final chapter of his Phe-
Here it is important to come to grips with the Hegelian
nomenology Hegel sees “absolute knowing” as the culmina-
concept of the “objectively rational.” When the human spirit
tion of human spiritual development, this affirmation must
affirms what God has revealed, it affirms what is not only
be seen against the backdrop of his contention that all
true but also necessarily true, even though the affirmation
human knowledge of truth is the work of absolute Spirit
has not been arrived at as the result of a strictly rational (or
bearing witness in finite form to infinite truth. What philos-
logical) process of thinking. Thus, what is affirmed is objec-
ophy can do, then, is to recognize that the presence of
tively rational. Hegel’s further contention is, however—and
truth—even particular, finite truth—bespeaks the witness of
this is where he meets the greatest opposition—that given
absolute Spirit in human thinking. Both religion and philos-
the truth of what is revealed, human reason can see the ratio-
ophy are finite human activities, but they are more than that;
nal necessity of it. Whatever is true of God is necessarily true,
because these finite activities ascend (are elevated) to the infi-
and thus there can be no contradiction between what reason
nite object who is God, they are infinitized in the commu-
sees and what religion believes, even though it may well be
nion of the human and the divine.
that reason will not see it until faith presents it. Thus, God’s
being and God’s activity are identical, the latter as necessary
Here it is important to emphasize the moral dimensions
as the former, without prejudice to God’s freedom, that is,
of Hegel’s thought. Whether the ascent of the human spirit
his absolute self-determination.
to God be religious or philosophical or both, neither mere
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HEIDEGGER, MARTIN
3895
intellectual interest nor fascination with the wonders of na-
tent, call it “absolute idealism” (an idealism oriented to and
ture, nor awe before the extraordinary capacity of the human
rooted in the Absolute); and there is a Hegelian method, call
mind to think, will trigger that ascent; the orientation of the
it “systematic dialectic.” Those who came after Hegel and
human spirit to God, the Absolute, will be effectively realized
were influenced by him can be classified in three groups: He-
only if that orientation coincides with the striving toward
gelians of the right, of the left, and of the center. To be “He-
moral goodness, in which alone the self-realization of the
gelian” at all was to employ to a greater or lesser extent
human spirit can be accomplished. For Hegel thought is not
Hegel’s method. The divisions concern the content of
thought in the fullest sense if it is not oriented to the good,
Hegel’s thinking and focus primarily on the interpretation
not merely in the sense of good thinking but, more impor-
of his religious thinking: The “left,” rejecting all that he has
tantly, in the sense of good living: It is, he contends, irratio-
to say about God and, above all, about the person of Jesus,
nal to be immoral. God, then, is the ultimate goal of moral
makes do with the method, more or less loosely employed;
striving, not, it is true, as some vague, indeterminate “moral
the “right” employs the method to articulate Christian belief;
order” of the universe, but as the concrete, personal founda-
the “center” does the same as the “right” but interprets
tion for all moral order. Thus, there will be no religion in
Hegel’s language in more or less metaphorical ways. The last-
any significant sense where there is no longing for moral
ing (and growing) influence of Hegel, however, cannot be
goodness that leads to religious consciousness of God as ful-
encapsulated in facile catchphrases.
fillment of that longing. This, in turn, ultimately demands
that the orientation be not merely emotional, even though
BIBLIOGRAPHY
knowing God is inseparable from an emotional response to
All the titles of works by Hegel pertinent to his philosophy of reli-
the God who is known, the one God of both religion and
gion have been translated into English and are readily avail-
philosophy.
able. The most detailed presentation in English of the whole
body of Hegel’s thought is Charles Taylor’s Hegel (New
HEGEL AND “HEGELIANISM.” It would be misleading here
York, 1975). An extended treatment of the philosophy of re-
not to acknowledge that there has been and continues to be
ligion is contained in Raymond K. Williamson’s An Intro-
considerable dispute among scholars as to whether Hegel
duction to Hegel’s Philosophy of Religion (Albany, N.Y., 1984).
quite literally intended that absolute Spirit, which he sees as
A comprehensive overview of Hegel’s system, emphasizing
the concrete unified source of all thought and of all spiritual
his focus on God as absolute Spirit, can be found in my book
activity, and absolute Idea, the unified concrete object of all
Hegel’s Concept of God (Albany, N.Y., 1982). See also Emil
L. Fackenheim’s The Religious Dimension in Hegel’s Thought
thought, should be identified with the God of religion. In
(Bloomington, Ind., 1967), an extraordinarily sympathetic
addition, there has been and continues to be dispute as to
account of Hegel’s religious thought by one who shares nei-
whether, no matter what Hegel intended, the God of whom
ther his religious convictions nor his theology. For a convinc-
he speaks can legitimately be identified with the God of
ing portrayal of Hegel’s early thinking, foreshadowing the
Christianity. All disputes aside, however, if one is to take
developed themes of his more mature thought, see Henry H.
Hegel at his word, he quite clearly says that because there is
Harris’s Hegel’s Development: Toward the Sunlight, 1770–
only one God, then the God of philosophy and the God of
1801 (Oxford, 1972). A landmark work portraying the near-
(Christian) religion are one and the same—if not, then the
ly mystical in Hegel’s thinking is Ivan A. IlDin’s Die Philoso-
God of philosophy would be but an abstract God, that is,
phie Hegels als kontemplative Gotteslehre (Bern, 1946). For a
no God at all.
theologian’s estimate of Hegel’s influence on contemporary
theological thinking, see Wolfhart Pannenberg’s The Idea of
As late as 1830 (shortly before his death), in the preface
God and Human Freedom (Philadelphia, 1973). A more spe-
to the third edition of his Encyclopedia, he indulges in one
cifically Christological approach is taken by James Yerkes in
of his few emotional outbursts against those who take it upon
The Christology of Hegel (Albany, N.Y., 1983). The most ex-
themselves to say that he is not Christian. He also says quite
tended commentary on Hegel’s Phenomenology is contained
in Jean Hyppolite’s Genesis and Structure of Hegel’s Phenome-
clearly in more than one place that if philosophy is to be true
nology of Spirit (Evanston, Ill., 1974).
to its vocation, it cannot fail to be theology. Thus, for Hegel,
there is no area of philosophical thought that does not have
QUENTIN LAUER (1987)
as the goal of its striving the Absolute, or God—not so
much, however, as simply an object of contemplation but,
more significantly, as an ideal for will, where the ideal is con-
HEIDEGGER, MARTIN
ceived as concrete, personal Spirit. Thus, because philosophi-
(1889–1976), was a Ger-
cal thinking is the activity of the human spirit, the subject
man philosopher. Young Heidegger’s concern with the
matter of philosophy is not, properly speaking, God as tran-
meaning of holy scripture was matched by his interest in the
scendent object; rather it is the human spirit in its intimate
question of the meaning of being. Raised as a strict Roman
relation to divine Spirit, without which the former cannot
Catholic, he studied for the priesthood for two years before
realize in itself all that it is to be human.
deciding to pursue philosophy at the University of Freiburg.
After receiving his Ph.D. in 1915, he stayed on at the univer-
It thus becomes impossible to speak in any precise way
sity to work with Edmund Husserl, the founder of phenome-
of the concept of “Hegelianism.” There is a Hegelian con-
nology. During the years 1916 to 1919, Heidegger came to
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HEIDEGGER, MARTIN
find Catholic dogma too rigid and moved toward liberal
rooted in the personal experience of authentic human exis-
Protestantism. In the 1920s he appears to have abandoned
tence. Only such experience promotes the fulfillment of
his faith altogether, yet throughout his life he remained deep-
Western philosophy: to understand the being of beings.
ly involved with religious and spiritual issues. From 1923 to
HEIDEGGER’S LATER THINKING AND ITS IMPACT ON THE-
1928, he taught at the University of Marburg, where he was
OLOGY. In Being and Time, Heidegger approaches being by
a colleague of Rudolf Bultmann, Paul Tillich, and Rudolf
analyzing the being (human Dasein) who understands being;
Otto. Then he returned to Freiburg to replace the aging
in his later works, however, he approached being in other
Husserl as professor of philosophy. In 1933–1934, while rec-
ways. For example, he meditated on the role played by lan-
tor of the university, he openly supported National Social-
guage in the self-revealing, or being, of beings. Moreover, he
ism, but he soon changed his position and began challenging
no longer spoke of authenticity in voluntaristic terms, such
Nazi views in his classes. As a result, he was eventually de-
as “resoluteness,” but instead described it as “releasement”
clared expendable and was sent to work on the Rhine dikes.
(Gelassenheit) from will, ego, and subjectivism. This turn in
After World War II, he returned to Freiburg, where he spent
his thinking, which took on a mystical element influenced
the rest of his life teaching and writing as a professor of phi-
by Meister Eckhart, revealed new possibilities for a dialogue
losophy. Heidegger’s thought can be divided into an early
between philosophy and theology. The idea of releasement,
and a late phase. The late phase, the so-called turn, began
for instance, has clear affinities with the Christian doctrine
in the late 1930s. This “turn” was not a radical shift in his
of grace. Heinrich Ott, a student of both Rudolf Bultmann
thinking but rather the mature expression of insights he had
and Karl Barth, was one of the first to point out the theologi-
voiced earlier.
cal implications of Heidegger’s later thought. Although the
H
analysis in Being and Time of human Dasein had been in-
EIDEGGER’S EARLY THOUGHT. In his major work, Being
and Time (1927), Heidegger claims that human existence,
spired in part by Barth’s work on the apostle Paul, Barth re-
or Dasein, constitutes the temporal-historical clearing in
jected Heidegger’s philosophy because it overemphasized
which beings can manifest themselves, or “be.” For Heideg-
human understanding and did not properly address the
ger, being does not mean the metaphysical ground of reality,
being of God. Bultmann’s theology supposedly suffered
a role traditionally assigned to God, but instead the finite
from a similar problem. But Ott argues that the later Heideg-
presencing or manifesting of entities as entities, as things that
ger corrected his early overemphasis on the human and spoke
are. One’s ability to use the word is shows that one under-
instead of humanity’s need to be “appropriated” (ereignet) by
stands the difference between being (presencing) and entities
and for the “event” (Ereignis) that “gives” being to us. Prepar-
ing for such appropriation requires a thinking that is more
(things that present or reveal themselves). Because one is
fundamental than science, that is, thinking that lets being re-
constantly understanding and interpreting what it means for
veal itself. True thinking discloses that language is not a tool
oneself and other beings “to be,” Heidegger concludes that
one possesses to dominate entities; instead, one is “owned”
human existence is essentially hermeneutical. Although one
by language. Language is the “house of being,” the gathering
often understand oneself as a thing, such as an egos or think-
and sheltering that lets entities reveal themselves in their own
ing subject, Heidegger argues that humans are not things at
terms, not merely as objects for human use. In Ott’s view,
all. Instead, they are the finite openness in which things, such
Heidegger’s talk of responding to the presencing of entities
as subjects and objects, can first manifest themselves, or “be.”
through language may be analogous to Barth’s claim that
Each person must decide how to be this openness, whether
faith demands a response to the Word of God: Philosophy
inauthentically or authentically. As inauthentic, human
is to being as theology is to the self-manifesting Word of
Dasein conceals the fact that it is mortal openness and inter-
God.
prets itself as an enduring thing, like an ego or a soul. Yet,
the mood of anxiety can at any time reveal that Dasein is not
Heidegger himself always warned of the dangers of mis-
a thinglike substance, but instead finite openness for the
using his thought for theological purposes. In 1928, he dis-
being of beings. This revelation invites Dasein to halt its
tinguished sharply between philosophy and theology. Much
flight into distractions and roles that conceal who Dasein
later, he claimed that if he were taken by faith, he would have
really is. In the moment of authenticity, Dasein resolves to
to give up philosophy. He maintained that Christian faith
undergo a radical change in its temporal openness. As a result
cannot be fully understood in ontological terms; it must be
of this change, Dasein no longer understands itself as an ego
rooted, instead, in the historical events of Christ’s death and
bent on avoiding death, but instead as a finite individual
resurrection. Hence, he had doubts about the implications
called on to take responsibility for its own limited possibili-
for faith of Bultmann’s demythologizing. Although indebted
ties and to act in concert with others to promote the commu-
to motifs drawn from the Judeo-Christian tradition, Heideg-
nity’s heritage. Authenticity, then, is not merely a personal
ger did not intend to revive it. His call for a return of the
matter, but an event that aligns one with the destiny of one’s
gods shows his abiding concern for the sacred, but he denied
people. For Heidegger, authenticity is a prerequisite for gen-
that being can be identified with God. God is a kind of
uine philosophical understanding of being. Influenced by
being, but being, as such, refers to the historically different
Augustine, Pascal, Luther, Kierkegaard, Dostoevskii, and
ways in which entities reveal or manifest themselves. He
Nietzsche, he maintains that theoretical knowledge must be
hoped that, in the current dark time, the “destiny of being”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEILER, FRIEDRICH
3897
would bring forth a new world in which the gods would re-
Analysis of authenticity in light of Heidegger’s religious-
appear. It is not clear how he could have such hope in being,
spiritual concerns.
however, because it lacks a personal dimension. Still, his im-
MICHAEL E. ZIMMERMAN (1987)
pact on modern theology has been great. Heidegger’s early
concern with hermeneutics was transmitted to theology by
his student Hans-Georg Gadamer as well as by Bultmann.
Furthermore, by offering an alternative to the dualistic un-
HEILER, FRIEDRICH (1892–1967), German theo-
derstanding of human existence, by calling for a nonobjec-
logian and historian of religions. Born into a pious Roman
tifying way of speaking of the holy, and by urging us to re-
Catholic family in Munich, Heiler studied theology, philoso-
main open for a return of the sacred, Heidegger provided
phy, Asian languages, and psychology at the University of
much insight not only for such Protestant theologians as
Munich and received his doctorate in 1917 with a study of
Bultmann, Tillich, Gogarten, Fuchs, Ebeling, and Macquar-
prayer that is still a classic, Das Gebet. One year later he pub-
rie, but also for such Catholic theologians as Karl Rahner.
lished Die buddhistische Versenkung (Munich, 1918), a study
of Buddhist contemplation. His work attracted the interest
BIBLIOGRAPHY
of the Swedish archbishop Nathan Söderblom, who invited
Caputo, John D. The Mystical Element in Heidegger’s Thought.
him to Sweden. There he became active in the Lutheran
Athens, Ohio, 1978. Excellent treatment of Heidegger’s debt
church. In 1920 he accepted a professorship in comparative
to Eckhart.
religion at the University of Marburg, where he remained
Caputo, John D. Heidegger and Aquinas: An Essay Overcoming
until his retirement. During the Nazi era he was transferred
Metaphysics. New York, 1982. An important study of the on-
from the Faculty of Theology into the Faculty of Arts and
tological and religious views.
became its first dean after 1945.
Heidegger, Martin. Being and Time. Translated by John Macq-
uarrie and Edward Robinson. New York, 1962. Indispens-
Heiler’s book on prayer shows his talent for explaining
able for understanding Heidegger’s early and later thought.
a central religious phenomenon in a purely inductive way,
Heidegger, Martin. Discourse on Thinking. Translated by John M.
free of any philosophical presuppositions. Without losing
Anderson and E. Hans Freund. New York, 1966. Includes
sight of historical relationships, the book provides a phenom-
dialogue on “releasement.”
enological exposition not only of non-Christian religions but
Heidegger, Martin. The Piety of Thinking. Edited and translated,
also of the Christian churches and their leaders, whose per-
with commentary, by James G. Hart and John C. Maraldo.
sonalities Heiler interprets within the framework of the gen-
Bloomington, Ind., 1976. Contains Heidegger’s famous arti-
eral history and phenomenology of religion. This achieve-
cle “Phenomenology and Theology” as well as other short es-
ment prevails in all of his writings down to his last major
says on philosophy and theology.
work, an introduction to the phenomenology of religion,
Heidegger, Martin. The Basic Problems of Phenomenology. Trans-
Erscheinungsformen und Wesen der Religion (Stuttgart, 1961).
lated by Albert Hofstadter. Bloomington, Ind., 1982. Excel-
lent historical approach to the question of being; purports to
Heiler’s double allegiance to the Catholic church and
be the “working out” of a missing portion of Being and Time.
his new, Lutheran affiliation was never completely resolved,
Kearney, Richard, and Stephen O’Leary, eds. Heidegger et la ques-
as his correspondence with Söderblom shows. In order to
tion de Dieu. Paris, 1980. Helpful collection of recent essays.
bridge the gap, he founded a high church movement, and
Macquarrie, John. An Existentialist Theology: A Comparison of Hei-
he was later consecrated as a bishop in the Gallican succes-
degger and Bultmann (1955). Reprint, New York, 1980. In-
sion. As much as he was critical of the historical development
sightful, comprehensive, and sympathetic treatment of this
of the Roman church, the celebration of the Mass according
important topic.
to the ancient Christian rite remained central to Heiler’s spir-
Ott, Heinrich. Denken und Sein: Der Weg Martin Heideggers und
itual life. This orientation is evident from Der Katholizismus
der Weg der Theologie. Zollikon, Switzerland, 1959. Ground-
(1923; new ed., Munich, 1970), which provoked much con-
breaking work on later Heidegger and theology.
troversy, and from two of his later studies, Urkirche und Ost-
Perotti, James L. Heidegger on the Divine. Athens, Ohio, 1974.
kirche (Munich, 1937), on the development of the Eastern
Best short introduction to Heidegger and religion.
rites from earliest times, and Altkirchliche Autonomie und
Robinson, James M., and John B. Cobb, Jr., eds. The Later Hei-
päpstlicher Zentralismus (Munich, 1941), on the Roman rite
degger and Theology. New York, 1963. Useful survey of the
and its centralizing tendencies. His early interest in the mod-
German theological debate on Heidegger. Also includes
ernist movement, which influenced him considerably,
American views.
prompted him to write a biography of one of its leaders: Al-
Thiselton, Anthony C. The Two Horizons: New Testament Herme-
fred Loisy, 1857–1940, der Vater des katholischen Modernis-
neutics and Philosophical Description with Special Reference to
mus (Munich, 1947).
Heidegger, Bultmann, and Wittgenstein. Grand Rapids,
Mich., 1980. Scholarly and often penetrating treatment of
Heiler had both a liberal attitude and a strong mystical
a great variety of issues relating to Heidegger and theology.
bent. Opposed as much to Bultmann’s demythologization as
Zimmerman, Michael E. Eclipse of the Self: The Development of
to Barth’s radical theology, he saw in Christianity a micro-
Heidegger’s Concept of Authenticity. Athens, Ohio, 1981.
cosm of the world of religions in general, and he believed 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
3898
HEIMDALLR
the presence of the ever-working Logos Spermatikos. His per-
tioned in Norse court poetry, Heimdallr appears frequently
sonal piety was shaped by the ideals of Franciscan devotion
in Eddic poetry. According to Grímnismál (st. 13) he lives
as he experienced it in relations with his Italian Franciscan
in Himinbjorg, the “celestial shelter” from which he guards
friends. Like the medieval Franciscans, he hoped for the Papa
the abode of the gods, happily drinking mead while perform-
angelicus who would usher in the age of the Holy Spirit and
ing his task. The giant Loki claims (Lokasenna, st. 48), how-
the one holy church. Toward this end, he worked all his life,
ever, that Heimdallr was fated to an awful life and will forev-
devoting numerous articles, many lectures, and his editor-
er stand watch with a muddy back due to his constant
ship of a journal, Eine heilige Kirche (Munich, 1919–1941),
exposure to foul weather. According to Þrymskviða (st. 15),
to bringing it about.
Heimdallr is the “whitest of the gods” and able to predict the
The ideal of the one church Heiler extended to non-
future. The eddic poemVoluspá mentions that men are called
E
Christian religions as well, for he saw in them manifestations
“Heimdallr’s children” (st. 1); similarly, the medieval scribe
of the same basic religious truths he found in Christianity.
of Rígsþula, a poem explaining how the classes of society
He was particularly inclined toward Buddhism, especially
arose from the three sons of a being named Rígr, identifies
the figure of the compassionate Buddha, and toward mystical
Rígr as Heimdallr. Voluspá (st. 46) also states that Heimdallr
E
Hinduism, which is demonstrated in Die Mystik in den Up-
will blow his horn to warn the gods of the start of Ragnaro˛k,
anishaden (Munich, 1925). Eventually he was to defend
their last battle against the giants and monsters. This instru-
Sadhu Sundar Singh in a long literary feud with the critics
ment is named Gjallarhorn (loud-sounding horn) and can be
of this convert from Sikhism to Christianity. In both his
heard throughout the nine worlds.
writing and his teaching, Heiler always emphasized the role
Snorri Sturluson (1179–1241) provides some additional
of women in religion. His numerous sermons combine wide
details: Heimdallr is great and holy, and is also known as
knowledge of religious history with his very personal faith in
Hallinskíði, a poetic term that also designates the ram (per-
the God who manifests himself as love.
haps because both a ram and Heimdallr are known for their
Although Heiler was misunderstood in various quarters
horns). Heimdallr was possibly associated with the ram, as
during his lifetime, many of his ideas were realized after his
Þórr is associated with goats and Freyr with his boar. Heim-
death. His major books, which demonstrate his philological
dallr has a third cognomen, Gullintanni (Golden Tooth), be-
erudition and which provide an immense wealth of biblio-
cause he had teeth of gold. The function of this brilliant ap-
graphic sources, will remain standard works in the history of
pearance is unexplained. Heimdallr’s horse is called
religions and in the study of early Christianity. Taking up
Gulltoppr (Gold Tuft), and his home is located next to Bif-
and enlarging the promise evident in his first masterwork on
röst, the rainbow bridge at the edge of heaven that he guards
prayer, Heiler’s later works reflect his ideal of an “evangelical
against invasion by the mountain giants. Heimdallr is the
catholicity” and his hope for a synthesis (rather than syncre-
ideal watchman: needing less sleep than a bird, he is able to
tism) of the world’s religions and their highest ideals.
see for a distance of one hundred leagues by day or by night
and to hear the grass growing on the earth, the wool growing
BIBLIOGRAPHY
on the sheep, or any other noise, an ability for which he
Although a number of Heiler’s articles have appeared in English
journals and anthologies, none of his books is available in un-
pledged or hid an ear below the world tree (Voluspá, sts. 27–
E
abridged form in English. Das Gebet, 5th ed. (Munich,
28), just as Óðinn gives up an eye to gain knowledge at
1923), was published as Prayer, translated and edited by
Mímir’s well.
Samuel McComb (1932; reprint, Oxford, 1958), but the
translation lacks the extremely valuable footnotes of the orig-
Voluspá hin skamma (Short prophecy of the seeress) as-
E
inal. Likewise, Heiler’s book on Sadhu Sundar Singh is avail-
cribes his birth to nine mothers, all giant maidens who bore
able only in abridged form, as The Gospel of Sâdhu Sundar
and breast-fed him at the edge of the world, a tradition con-
Singh, translated by Olive Wyon (Oxford, 1927).
firmed by the poem Heimdallargaldr (The magic song of
There is no biography of Heiler in any language. For a better un-
Heimdallr). The nine mothers who are also sisters might, in
derstanding of the man and his work, two books are recom-
addition, be the waves of the sea, who give birth to him on
mended: Die grössere Ökumene: Gespräche um Friedrich
the seashore, the “edge of the earth.” The tenth-century Ice-
Heiler, edited by Emmanuel Jungclaussen (Regensburg,
landic poet Úlfr Uggason describes Loki fighting with the
1970), and Friedrich von Hügel, Nathan Söderblom, Friedrich
“son of nine mothers” (Húsdrápa, st. 2) for the possession
Heiler: Briefwechsel 1909–1931, edited, with an introduction
of a beautiful hafnyra (literally “sea kidney,” but meaning “a
and commentary, by Paul Misner (Paderborn, 1981). The
piece of amber”); Snorri explains that Loki’s adversary was
latter presents the revealing correspondence of Heiler, Söder-
Heimdallr and that they fought in the shape of seals for this
blom, and Baron Hügel.
object, which Snorri identifies with the Necklace of the Bris-
ANNEMARIE SCHIMMEL (1987)
ings. Snorri also explains the poetic circumlocution “Heim-
dallr’s head” for “sword,” which comes from the fact that a
blow from a human head caused Heimdallr’s death. It is not
HEIMDALLR is a Scandinavian deity who is the watch-
clear how this fits in with the tradition of his last fatal fight
man of the Æsir, the dominant group of gods. Rarely men-
with his arch-foe Loki at Ragnarök. Another detail strength-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEKATE
3899
ens the depiction of Heimdallr and Loki as opposing paral-
sized this sensational aspect of her personality beginning in
lels: according to Voluspá hin skamma, both are said to have
the fifth century
E
BCE (e.g., Euripides Helen 569–570). This
become either figuratively or literally pregnant. Heimdallr
role led to Hekate’s association with magic, which often re-
was made potent or pregnant with the power of the earth,
lied on the cooperation of the ghosts whom she controlled
and Loki ate the half-roasted heart of a witch, from which
(Euripides Medea 397; Horace Satires 1.8.33). Later authors
he became pregnant with the race of ogresses.
followed suit; for example, Shakespeare’s Macbeth makes her
Linguistic analysis of Heimdallr’s name scarcely eluci-
the leader of a band of witches. Her association with ghosts
dates his basic character. The first element is usually identi-
and the darker side of magic also led to her portrayal, in later
fied with heimr (homeland, world), a cognate of the English
antiquity, as a threatening and horrible creature who might
word home; the second is a masculine noun dallr (of which
look like a snake, howl like a dog, and make her meals among
the feminine equivalent, döll, appears as the second compo-
the graves (Papyri Graecae Magicae IV.2549, 2856–2869).
nent of one of Freyja’s names, Mardöll). It has been connect-
However, other Greek and Roman sources, some of
ed with the Old English deall (brilliant, bright, proud), and
which go back to before the fifth century BCE, suggest that
thus may refer to Heimdallr’s shining whiteness. This inter-
in antiquity Hekate was usually viewed as a normal, even be-
pretation is supported by another etymology that connects
nign, goddess. Hesiod (Theogony 404–492) lauds her as a
his name with the Old Frisian hemtiacht (brilliantly lumi-
powerful older divinity who is willing to benefit many kinds
nous). However, Jan de Vries’s Altnordisches etymologisches
of worshipers, including mothers, kings and fishermen. Pin-
Wörterbuch (1961) is probably correct in considering the Old
dar (Paean 2.73–2.77) describes Hekate as a “kindly messen-
Norse dallr/döll as developments of the Germanic *dalþu-
ger.” In art she is free of frightening traits; a late-sixth-
(blooming, flourishing), with a root appearing also in the
century BCE votive statuette shows her seated, dressed in the
Greek word thállo (bloom, be luxuriant) and the Gothic duls
same style as other goddesses (Berlin Staatl. Mus. TC 7729
(festival), originally connected with the renewal of nature.
= [5] #105), and vase paintings show her as a girlish figure
According to Gabriel Turville-Petre’s Myth and Religion of
carrying torches to celebrate weddings (see Sarien 1992: #44,
the North (vol. 1, 1964), the Early Modern Icelandic word
45, 46 with commentary).
dallur is glossed as arbor prolifera (prolific tree) by the nine-
teenth-century lexicographer Björn Halldórsson. This would
OTHER ASSOCIATIONS. It is likely that Hekate’s association
point to a special relationship between Heimdallr and the
with restless souls, and thence magic, arose from two other
cosmic tree, which is said to be drenched with white mud
concerns she held from early times. The first was her interest
(Voluspá, st. 19), the same substance that Loki says covers
in girls’ transitions from virginity to marriage and in the
E
Heimdallr’s back. This would also corroborate the etymolo-
childbirth and child nurture that follow marriage (Euripides
gy of Heimdallr as “god of the world.” Despite these investi-
Trojan Women 323; Aeschylus Suppliants 676; Antoninus Li-
gations, Heimdallr remains an enigmatic god. In addition to
beralis 29; Hesiod Theogony 450–451; scholiast on Aristoph-
the many Celtic elements of his story, he is like Óðinn in
anes Wasps 804; see Johnston 1999, chapter 6). Girls who
leaving something at the foot of Yggdrasill in exchange for
died unmarried and women who died without successfully
special powers. Like Þórr, he is a defender of the world of
rearing children were considered to have died “untimely”
the gods and is associated with a male domestic animal; like
(aoros), and their souls were imagined to wander with He-
St. Michael, he will blow his horn at the end of time. Evi-
kate, wreaking havoc on the world of the living out of envy
dently, the memory of Heimdallr had faded by the time the
and frustration; magicians sometimes invoked these unhappy
extant sources were composed.
souls to do their bidding. It was probably also Hekate’s asso-
ciation with dying virgins that led to her identification dur-
SEE ALSO Eddas; Germanic Religion.
ing the archaic period with Iphigeneia, the most famous
mythic maiden who died before marriage (Stesichorus fr.
BIBLIOGRAPHY
215; Hesiod Catalogue fr. 23a 17–26 cf. 23b; Proclus, sum-
Sayers, William. “Irish Perspectives on Heimdallr.” Alvíssmál 2
mary of the Cypria 55–64; further at Johnston 1999, chapter
(1993): 3–30.
6). Hekate’s only other prominent mythic role, as the god-
Turville-Petre, Gabriel. Myth and Religion of the North: The Reli-
dess involved with Persephone’s journey to and from the Un-
gion of Ancient Scandinavia. New York, 1964.
derworld, similarly connects her with a maiden who dies and
Vries, Jan de. “Heimdallr, dieu énigmatique.” Études germaniques
10 (1955): 257–268.
“returns” (Homeric Hymn to Demeter 24, 52–59, 438–440;
Callimachus fr. 466; Orphic frr. 41–42). In addition, Hekate
Vries, Jan de. Altnordisches etymologisches Wörterbuch. Leiden,
1961.
herself is almost always imagined as virginal.
EDGAR C. POLOMÉ (1987)
The second role that contributed to Hekate’s associa-
ELIZABETH ASHMAN ROWE (2005)
tion with ghosts in Greece was her guardianship of entrances
and other liminal places, both civic and domestic, where
ghosts were imagined to lurk (Johnston 1991; Johnston
HEKATE is best known as the mistress of threatening,
1999, chapter 6). In Greece, shrines or statuettes of Hekate
restless ghosts because Greek and Roman literature empha-
(hekataia) were placed at entrances and at the junctions 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
3900
HELL
three roads (triodoi) to seek her protection. “Suppers” (deip-
odia (Sophocles fr. 535), a Thessalian goddess who shared
na) were left for Hekate and ghosts at the junctions, especial-
Hecate’s interest in childbirth and in guardianship of en-
ly on the night of the new moon (Aeschylus fr. 388; Aris-
trances (Inscriptions Graecae IX 575–576, 578; Johnston
tophanes Wasps 804; Aristophanes Plutus 594 with scholia;
1999, chapter 6; Kraus 1960, 57–83). In the magical papyri,
Demosthenes LIV.39; Plutarch Greek Questions 708f; Apol-
Hekate often was equated with Ereshkigal, the Mesopota-
lodorus of Athens Fragments of Greek History 244 F 110).
mian goddess of the Underworld (Papyri Graecae Magicae
The polluted remains of domestic purification rites also were
LXX.4–25). In late antiquity Hekate’s role as a birth goddess
deposited at the road junctions (Plutarch Roman Questions
and guardian of passages and transitions also led to her ap-
280c, 290d; Lucian Dialogues of the Dead 1.1); in later antiq-
pointment as a savior goddess in theurgy, where she was
uity, these were already sometimes confused with the suppers
identified with the Platonic Cosmic Soul, which was imag-
for Hekate, but originally they were distinct (see Johnston
ined to divide the material (earthly) realm from the noetic
1991). Hekate’s close connection to the road junctions is re-
(heavenly) realm. She facilitated the passages of individual
flected by her Greek epithet, triodios; her Roman name, Triv-
souls downward into bodies and upward again for union
ia; and her frequent sculptural portrayal, from the classical
with the divine, and she sent oracles to the theurgists that
period on, as a goddess with three heads or even three bodies.
taught them how to perform further rituals that would im-
Over time, Hekate collected many other epithets that reflect-
prove their souls (see Johnston 1990).
ed her triplicity; Chariclides (fr. 1) offers a tongue-in-cheek
collection of them.
SEE ALSO Artemis; Dogs; Magic, article on Magic in Greco-
Roman Antiquity; Moon.
The association of the dog with Hekate, including its
sacrifice to her (Euripides fr. 968; Aristophanes fr. 608; scho-
BIBLIOGRAPHY
liast on Aristophanes Peace 276), probably began as a reflec-
Johnston, Sarah Iles. Hekate Soteira. A Study of Hekate’s Roles in
tion of Hekate’s role as birth goddess; birth goddesses com-
the Chaldean Oracles and Related Literature. Atlanta, 1990.
monly received sacrifices of dogs. However, by the end of the
Johnston, Sarah Iles. “Crossroads.” Zeitschrift für Palaeographie
classical period the dog also took on Hekate’s frightening na-
und Epigraphik 88 (1991): 217–224.
ture; bands of howling dogs, imagined to be souls of the
Johnston, Sarah Iles. Restless Dead: Encounters between the Living
dead, followed Hekate on her nightly prowls or heralded her
and the Dead in Ancient Greece. Berkeley, 1999.
arrival (Theocritus Idyll 2.12–13, 2.35–36; Vergil Aeneid
Kraus, Theodor. Hekate. Heidelberg, 1960.
6.255–258). These souls that followed Hekate inflicted in-
sanity or night terrors (Hippocrates On the Sacred Illness
Sarien, H. “Hekate.” Lexicon Iconographicum Mythologiae Classicae
4.30–33), which explains the worship of Hekate in mysteries
6.1 (1992): 985–1018, 6.2 (1992): 654–673.
that promised, among other things, to cure madness (Aris-
SARAH ILES JOHNSTON (2005)
tophanes Wasps 122; Pausanias 2.30.2; Dio Chrysostom
Oration 4.90; Aristotle Mirabilia 173; see Johnston 1999,
chapter 4).
HELL SEE HEAVEN AND HELL; UNDERWORLD
ORIGINS AND ASSOCIATIONS IN OTHER MYTHOLOGIES. He-
kate probably originated in Caria, in Asia Minor, whence she
traveled into mainland Greece during the archaic period.
HELLENISTIC RELIGIONS. Whereas religion is
Her worship in Caria and other places in Asia Minor contin-
never a mere reflex of political, economic, and social condi-
ued strongly into the imperial period (Kraus 1960), even as
tions, there are periods in history when these factors exert a
it spread throughout the rest of the Greek world. Sources
palpably strong influence on religious thinking. The Helle-
vary considerably on Hekate’s parentage; the most influential
nistic age was certainly such a period. Its early phase, which
source, Hesiod (Theogony 409–411), made her the daughter
began with the conquests of Alexander the Great in 334 BCE
of Titans Asterie and Perses and thus the cousin of Artemis
and continued with the rule of his successors, brought mili-
and Apollo (see also scholiast on Apollonius of Rhodes Ar-
tary and political upheaval to many peoples. When Roman
gonautica 3.467). Her name appears to be cognate with
imperialism later became the dominating power, there was
Apollo’s epithets Hekatos and Hekatobolos, which suggests
greater apparent political stability, and the consciousness of
that it has something to do with “from afar,” but the mean-
a unified world, which Alexander’s victories had furthered,
ing is unclear.
was enhanced. The thought of one world does not necessarily
Hekate was conflated in cult, myth, and iconography
lead to the idea of one God, but it does raise questions about
with a number of other goddesses, notably Artemis (Aeschy-
a possible spiritual unity behind the manifold manifestations
lus Suppliants 676; Inscriptions Graecae 13 383.125–127),
of religious experience.
with whom she shared an interest in girls’ transitions and
Culturally this was a world that gave primacy to the
childbirth and the iconographic feature of carrying torches;
Greek language, and Alexander himself, although a Macedo-
Selene, the goddess of the moon (Plutarch On the Obsoles-
nian, was a fervent disseminator of Greek culture. Within his
cence of Oracles 416e–f; Johnston 1990, chapter 2); and En-
empire other languages continued to flourish, including Ara-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HELLENISTIC RELIGIONS
3901
maic, Hebrew, Egyptian, Babylonian, and Latin, but it was
tion of it: “Religion is what the individual does with his own
Greek that bore the official stamp of the ruling powers. Alex-
solitariness.” The ancient world, in contrast, viewed religion
andria largely replaced Athens as the world’s cultural capital,
as something essentially communal that was realized, above
with Pergamum in northwestern Asia Minor as a splendid
all, in public activities arranged by the state. In the Hellenis-
rival. Alexandria gave a Greek form to its glittering artistic
tic age these activities continued to some extent, but in other
and intellectual achievement, although it harbored several
ways there was a marked focus on the concerns of the indi-
other cultural and religious groups, not the least of which
vidual.
were the Alexandrian Jews. In philosophy, however, Athens
Not that the social urges suffered atrophy: A popular
retained some of its pristine vigor because it was there that
feature of the religious life of this age was the great vitality
the new schools of Epicureanism and Stoicism first found a
of the associations or clubs formed by adherents of the vari-
footing. In different ways both Epicurus and Zeno, the
ous cults, with or without the sanction of the state. While
founders of these schools, were reacting to the broadened ho-
these associations were often allowed the use of sacred prem-
rizons created by Alexander’s achievements. Even before this
ises, their main activities were usually convivial and charita-
the Greek world was no narrow enclave, for Greek colonies
ble. They provided good cheer in the way of wine, beer, and
had long since spread to Asia Minor and the Black Sea area,
banquets and also a good deal of help to needy members.
to Egypt and North Africa, and to southern Italy, Sicily,
Naturally the religious element was not ignored, and the
Spain, and Gaul. What was new in the Greek dimension of
name of the patron deity normally appears in records of their
Alexander’s conquests was the thrust in an easterly direction
proceedings. The evidence concerning them derives from a
to Syria and Palestine, to Persia and Babylon, and through
great part of the Greek world. Prominent in this evidence are
Central Asia to parts of northern India. In the wake of the
towns that were centers of trade and therefore rather cosmo-
military thrust, Greek settlements and cities were established
politan in character, such as Rhodes, Delos, and Piraeus (the
in many non-Greek areas. Eventually the force of the popula-
harbor town of Athens). Abundant testimony has also been
tion impact weakened, although Alexander’s successors con-
forthcoming from centers of the native cults in Egypt, and
tinued to hold sway for several centuries. An encounter with
at that time these cults, especially those connected with Isis,
very diverse cultures ensued, and the traditional division be-
were spreading to other countries. Thus at the end of the first
tween Greeks and barbarians underwent radical revision. In
century CE there was a club of this kind attached to a temple
terms of religion the resulting counterthrust of Eastern tradi-
of Isis in London.
tions meant that the Greeks received more than they gave.
Emphasis on the importance of the individual came
It was not the brute power of military aggression that
from a quarter that at first sight might seem surprising: the
brought about the change in outlook. In his Alexander the
belief in astrology, which was then so fashionable. Its origins
Great (Cambridge, 1948), Sir William Tarn argues that Al-
were in Babylon, where astronomy had also been pioneered.
exander himself had a dream of the unity and reconciliation
The Babylonians had shown that the heavenly bodies moved
of all peoples, but the sources are more faithfully interpreted
in a fixed order that could be scientifically forecast. Then
as recording a prayer by him for the cooperation of Greeks
their astrologers, who were also astronomers (the two fields
and Persians as ruling imperial partners. Yet the aftermath
had not yet diverged), introduced the belief that events in
of his victories brought a realization of the unity of East and
the world were somehow linked to events among the stars.
West.
It followed that worldly events could also be prophesied since
NEW TRENDS IN STATE-SUPPORTED RELIGION. In spite of
they too had been ordained beforehand. Under the Roman
the great change in worldview thus effected, the old order
emperors astrologers were several times banned and expelled;
was not swept away quickly. In Greece itself the city-states
yet many of the emperors themselves had recourse to them.
continued to function after the Macedonian conquests, and
When applied to the individual, astrology meant that every-
this meant that the official religious cults espoused by these
thing depended on the personal horoscope, which was based
states were still maintained. Politically, however, the citizens
on the exact date and hour of birth and on the planet then
were aware that they were carrying on under the shadow of
in the ascendant and on its relation to the zodiac. The effect
Macedonian imperialism and that the substance of their po-
of the prognosis could be depressing, even terrifying. In a
litical power, particularly in foreign policy, had much dimin-
Greek magical papyrus (found in the corpus of Preisendanz,
ished. This sense of insignificance must have demeaned the
13.708ff), the astrologer thus advises his anxious client:
quality of their religious worship. The Athenians continued
You must enquire, “Lord, what is fated for me?” And
to honor their patron goddess Athena, especially as Athena
he will tell you of your star and the nature of your Dae-
Promachos (“defender”), but they knew very well that they
mon [guiding spirit] and your horoscope and where you
were subject now to whatever Macedonian dynast was in
shall live and where you shall die. But if you hear some-
power in the area. Such a situation threw the citizens back
thing bad, do not break into screams and tears. Ask
on their own spiritual resources so that their concerns as indi-
him, rather, to cancel it himself or to change its course.
viduals counted correspondingly more. In later ages the em-
For this god has power to do everything.
phasis on the individual might often seem to be at the very
Here the astrologer is invoking the aid of religion with
heart of religion, as in A. N. Whitehead’s well-known defini-
his allusion to a god who can change the prognosis. But 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
3902
HELLENISTIC RELIGIONS
fatalistic acceptance is more often indicated. What is clear,
gods: “Other gods are far removed or do not listen; or they
in any case, is that the personal horoscope is the basis of
do not really exist or do not heed us at all. But thou are here
the procedure. The fate of the individual is the center of
with us; we can behold thee, not shaped in wood or stone,
attention.
but here in person. And thus we pray to thee.” In spite of
some military successes, Demetrius was a rake and a scoun-
A new development that imparted fresh vitality, albeit
drel. It may therefore safely be assumed that the fulsome lan-
of dubious sincerity, to the official state worship was the
guage of the hymn disguised a degree of disgust.
gradual establishment of the cult of the ruler, whether king
or emperor. The first clear instance of it in this period was
When the Romans took up the ruler cult, Egypt was
the worship of Alexander the Great as a divine person. In his
again influential in the early stages, and there was a measure
case it was conspicuously an upshot of religious practices
of continued tradition; yet in Rome itself there had been an-
long prevalent in the Eastern countries that he had con-
tecedents in relation to “the divine Julius” (Julius Caesar.)
quered. In the nations of Mesopotamia the king had regular-
The full-scale cult was at first enacted in the provinces only,
ly been associated with the gods. He had not been defined
but eventually it was insisted on as a test of loyalty. To adher-
theologically as a god, but there was an aura of divinity about
ents of the many polytheistic religions there was no problem
him. A victory stela of Naram-Sin of Akkad shows him tow-
in this claim, since it merely meant that the divinized emper-
ering above his followers, with a clear suggestion of his super-
or was to be added to the variegated pantheon already in exis-
human standing. In Egypt, on the other hand, the pharaoh
tence. Even followers of the mystery religions were not em-
was given an official status of divinity. When alive he was
barrassed by the claim, for the demands of these religions
equated with the god Horus, and in death he became the god
were by no means exclusive. Those in serious trouble were
Osiris, father of Horus. He was also called “the son of Re”
the adherents of Judaism and Christianity, two religions of
(the sun god). The distinctions are well delineated by Henri
uncompromising monotheism. “Thou shalt have no other
Frankfort in his Kingship and the Gods (Chicago, 1948).
gods before me” may not imply strict monotheism, since the
commandment does not necessarily deny the existence of
It is significant that the inital divinization of Alexander
other gods, but rather demands the exclusive worship of Yah-
was associated with Egypt. According to ancient historians
veh. By the Hellenistic era, however, Judaism had become
he visited the oracle of Amun at Siwa in the Libyan desert
unequivocally monotheistic, and Christianity inherited its
some four hundred miles southwest of what was later Alexan-
unbending stance. To upholders of the polytheistic tradition
dria. There, in 331 BCE, an Egyptian priest accosted him as
it seemed a form of fanatical intolerance, and it sometimes
the “son of Amun” in a way that corresponded to traditional
provoked very harsh reactions.
Egyptian practice. To be regarded as the son of a god must
have appealed to Alexander, and from that moment on he
An aspect of the ruler cult that was more serious than
seems to have pressed the idea purposively, demanding obei-
the superficial matter of expressing political allegiance was
sance and worship in many countries. Greeks and Macedo-
the whole question of divine incarnation. Was it possible to
nians did not take easily to the idea, yet there was a strand
conceive of the divine taking human form? In early Greek
within the Greek tradition that allowed the divinization of
thought it is sometimes suggested that the gulf between
dead heroes and eventually of living rulers. This contributed
human and god is not wide and that an affinity exists be-
to the cult of the dead Alexander in Egypt and, in the time
tween them. In the early fifth century BCE Pindar expresses
of his successors there, led to the worship of the living king
it thus: “Of one stock are men and gods, and from one moth-
and his queen, a practice started by Ptolemy II and his wife
er do we draw our breath” (Nemean Odes 6.1). Some of the
Arsinoë, who assumed the title theoi adelphoi, “the brother-
heroes of Greek mythology were deemed to be offspring of
sister gods.” (The Ptolemaic kings regularly married their sis-
mixed unions, the father being divine and the mother moral.
ters.) Less thoroughgoing modes of the ruler cult prevailed
Herakles is in this category, for his father was said to be Zeus
in the other regions of Alexander’s empire. By gradual steps
and his mother the mortal Alkmene, daughter of a king of
the Seleucids of Syria and the Attalids of Pergamum eventu-
Mycenae. Zeus was not able to achieve union with her until
ally followed the practice, although the Attalids were ac-
he disguised himself as a victorious warrior.
corded full divinity only after death. The Macedonians were
slower still in coming to it, perhaps because of skeptical resis-
Rather different is the process by which historical heroes
tance.
came to be worshiped after death. Their historicity cannot
always be demonstrated, but the likely evolution followed
To assess the depth or sincerity of the worship produced
from a lively memory of their deeds. One might rephrase
by the ruler cult is difficult since it soon came to be a test
Shakespeare to explain the distinctions enacted: “Some men
of political loyalty. In 307 BCE the Athenians paid divine
are born divine, some achieve divinity, and some have divini-
honors to Demetrius Poliorcetes, the ambitious Macedonian
ty thrust upon them.” The hero worship that developed
soldier-king. Their hymn of praise to him couples him with
among the Greeks outside mythology is akin to the second
the goddess Demeter and describes him as the son of Posei-
category; it involved outstanding individuals who by their
don, god of the sea, and of Aphrodite, goddess of love. Then
own merit and fame came to be especially honored after
it contrasts his nearness with the distance of the traditional
death. The triumphant commander who “liberated” or
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3903
“saved” a city naturally qualified for special honors akin to
MAGIC, MYTH, AND MIRACLE. According to the Pauline
those paid to divinity. An early and successful candidate was
saying, it was the Jews who demanded signs (that is, wonders
the Spartan commander Lysander, whose deeds secured for
or miracles) while the Greeks sought wisdom. In fact, it was
him this type of apotheosis even during his lifetime. But Al-
not only the Jews who demanded miracles; the majority of
exander decisively outshone heroes of such caliber since his
the Greeks did also, and so did the majority of other peoples.
deeds encompassed not only the Greek world but much else
From time immemorial religion had been mingled with
as well. Quite apart, therefore, from his experience at Siwa,
magic, and the power to produce miraculous events was re-
which gave him an Egyptian passport to divinity, he quali-
garded as the mark of godhead acting either in a direct inter-
fied splendidly according to the criterion of Greek hero wor-
vention or through chosen intermediaries.
ship. When his cult was established in Egypt, followed by
In considering ancient magic, one must avoid any no-
that of the Ptolemies, several of the new royal divinities were
tion of conjuring tricks made possible by sleight of hand or
inevitably ill qualified to attract real worship. They might be
by various illusionary processes. Some charlatans did resort
said to have had divinity thrust upon them automatically.
to such stratagems, but the true medium of divine power did
Behind the developments in Egypt stood the long-
not approach this task thus. In the oldest myths of many na-
standing dogma of the god-human, and its influence in the
tions, the creation of the world itself is the result of miracu-
Hellenistic world went beyond the particular instances of di-
lous divine actions, and the teasing thought of what lay be-
vine dynasty. This dogma became prominent in the New
yond the beginning of things often produced the image of
Kingdom (1551–1070
one creator god, who was unbegotten and who had to initiate
BCE) when the claim was made that
the pharaoh had a mortal mother but a divine father. His
a process of creation without the help of a spouse. The early
procreation was explicitly, albeit tastefully, described as a
Greeks who followed the Orphic teaching believed that a
visit by the god Amun to the queen. In so doing the god was
cosmic egg was the source of everything. This idea might ap-
said to take on the guise of the living pharaoh, so that what
pear to derive from a natural symbol, but probably it came
was ostensibly a natural process was given a supernatural in-
to the Greeks from Egypt, although the Egyptians had sever-
terpretation.
al other theories of creation. By the Hellenistic age some
Greeks had become familiar with a similar doctrine that had
A story told about Nectanebo, the last pharaonic king
spread from Iran.
of Egypt, gives prominence to this doctrine. The Greek work
called the Alexander Romance relates how Nectanebo, in spite
Strangely enough, the Greeks did not regard their su-
of his vaunted magical power, was defeated by the Persians
preme god, Zeus, as a creator god. Yet their myths about him
and fled to Pella in Macedonia after suitably changing his ap-
are replete with miracles, especially when his many dealings
with mortal women are portrayed. For instance, having fall-
pearance. A prophecy from Memphis announced that he
en in love with Io, a priestess at Argos, Zeus changed her into
would return to Egypt as a young man who would overthrow
a heifer in order to hide her from his wife Hera. Metamor-
his enemies and conquer the world (a reference, of course,
phosis became a frequent medium of miraculous interven-
to Alexander). Furthermore Alexander’s mother, Queen
tion by gods. Early in the first century
Olympias, is said to have welcomed Nectanebo in Macedo-
CE, the Roman poet
Ovid devoted a whole cycle of poems to this theme, and in
nia because of his fame as a magician, and he at once fell in
the next century it was the central motif of the Metamor-
love with her. When the queen informed him that her hus-
phoses of Apuleius, an entertaining and often ribald novel
band, Philip, being then away at war, was said to be beguiled
that nevertheless conveys a deeply religious vision.
by another woman, Nectanebo confirmed the rumor and
told her that a god would visit her in a dream and have inter-
It tells the story of Lucius of Corinth, a Greek who was
course with her and that from this union would come a son
changed into a donkey through a mistake made in the em-
who would avenge her on Philip. The god was to be the Lib-
ployment of magic. After many strange adventures in asinine
yan Amun, with golden hair and ram’s horns. Olympias duly
form, he is restored to human form by the goddess Isis at
experienced the divine visit in a dream but then declared that
Cenchreae, the harbor of Corinth, during the spring ritual
she wanted not merely a dream but the real thing, where-
of the Ship of Isis. The last part of the novel movingly por-
upon Nectanebo impersonated the god and had intercourse
trays his devotion to this new religion.
with her himself. The son who was born of the union was
Unlike the immortal gods, however, heroes are not usu-
naturally deemed to be Alexander, thus marked out as of di-
ally invested with miraculous powers, in spite of their divine
vine origin. Although Alexander was said to have caused the
associations. Herakles achieves his great deeds with might
death of Nectanebo, he was also said to have recognized him
and main, and Prometheus, while he sometimes deploys a
as his father and to have buried him with honor. The Greek
kind of low cunning, is a culture hero intent on benefiting
writer of this story has told it with a sense of skeptical irony,
humankind.
yet it points to the fact that the people of the age were en-
grossed with the idea of the god-human and with the possi-
Removed from the category of gods and heroes was the
bility that the divine could break into the sphere of human
human purveyor of magic and miracle. At his best he had
life through incarnation.
to be a knowledgeable person. Astrology was often within his
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HELLENISTIC RELIGIONS
professed prowess, and the secrets of astrology were not avail-
rules, hot and cold baths, and various types of exercise. Spe-
able to any ignoramus. His attitude to the gods seems to have
cial use was also made of incubation, whereby the worshiper
varied. Respect and devout loyalty characterized him in the
slept in the temple of the god in order to experience a visita-
role of their chosen instrument. Yet sometimes the magician
tion from him through a dream or vision; such a visitation
was expected to compel the gods to act in a certain way, and
could bring both a cure for the disease (or advice as to how
a number of magical spells are extant in which the gods are
a cure might be obtained) and a revelation of a spiritual na-
fiercely threatened unless they comply. But it was important
ture. The grateful records do not refer often to medical pre-
to use the correct formula and to know the functions and
scriptions or details of diet, so one may infer that psychologi-
mythology of the deity concerned. In the Hellenistic era
cal processes were involved: autosuggestion, experiences of
magic was especially used for treating disease.
spiritual illumination, and a sense of serenity deriving from
a loving relationship. The term faith healing could well be
Here the doctrine of demons was often basic. Regarded
applied to such felicitous procedures. What is particularly
as intermediate between human and god, demons (spirits)
impressive, as well as eminently consonant with the temper
were divided into good and evil categories, with the possibili-
of the Hellenistic age, is the fervent personal relationship
ty that good demons could be promoted to the rank of gods.
with the god that ensued and the worshiper’s sense of trust
Under the influence of Iran this sytem was sometimes devel-
and devotion. There exists, fortunately, one intimate record
oped into a thoroughgoing dualism connoting a hierarchy
of these experiences in the Hieroi Logoi (Sacred Stories)
of both angels and devils but with devils headed by a supreme
of Publius Aelius Aristides, a rhetorician of the second
figure of evil. This view regarded all disease as the creation
century CE.
of evil demons. To conquer the disease therefore demanded
the defeat and expulsion of the baleful spirit that had taken
Magic is customarily divided into the categories of
possession of the victim. A person’s good demon, on the
“black” and “white,” a division that can certainly be applied
other hand, acted as his guardian angel. Yet the good demon
to the practice of it by the Greeks. In early prototypes, such
was not normally regarded as potent enough to deal with an
as Circe and Medea, the two aspects appear. The Homeric
evil demon who had entered a person. A spiritual power from
Circe, semidivine in origin, is a powerful magician who uses
outside was needed, and the first task was one of diagnosis,
potions and salves and also teaches Odysseus to summon the
which meant the correct identification of the occupying
spirits of the dead. Medea was the outstanding enchantress
demon. The magician was expected to announce the name
of the myths used in Greek tragedy. She enabled the Argo-
of the hostile power and to order its expulsion in the name
nauts to get the golden fleece by putting the dragon of Col-
of a superior and beneficent power; there are familiar exam-
chis to sleep; moreover, she possessed the evil eye and could
ples in the New Testament. Treatment of disease in both the
make warriors invulnerable. Orpheus was another master of
Jewish and the pagan world was often colored by these
magic. Son of the muse Calliope, he rendered wild beasts
concepts.
spellbound with his music.
This was not, however, the only technique practiced by
The two words most often used for “miracle” were thau-
magicians and priests. Instead of a frontal attack on the
ma (“wonder”) and s¯emeion (“sign”). Obviously the two as-
demon, a mollifying approach was sometimes adopted, as
pects could be embraced by either word. A miraculous event
when insanity was treated by the playing of soft music. A
that astonishes people can be pleasing or punishing in intent
multitude of medical charms have come down to the present,
and can be a sign, or omen, from the gods as an expression
and they combine popular medicine with magical rites. Cen-
of their power but with a similar possible duality of purpose.
tral to these, very often, is the power of the spoken word of
Religion in ancient times had a bias toward beneficent
the magician himself, whose incantations are recorded, for
magic, its prayers normally being expressions of devotion and
purposes of reading and imitation, in Greek and Egyptian
appeals for help. But the appeal might concern the destruc-
magical papyri. Moreover, the direct interventions of the
tion of an enemy, which could involve harsh miraculous in-
gods of healing, particularly of Asklepios, Isis, and Sarapis,
tervention by the gods. At the same time divine intervention
are often lauded.
could inflict moral retribution on individuals. Even the kind-
ly Isis, whose magic was mainly beneficent, sometimes in-
In origin Asklepios was perhaps a hero; later he was
flicted blindness on sinners.
raised to the rank of a divinity and became the foremost god
of healing in the Hellenistic world, with temples at Epidau-
When a beneficent miracle was enacted in public, it was
rus in the Peloponnese and at Athens, Rome, and Perga-
regularly followed by an expression of blessing or felicitation,
mum; the most celebrated of his temples was on the island
the macarism. Thus when Isis restores Lucius from asinine
of Kos, northwest of Rhodes, the home of a famous Greek
to human form in the Metamorphoses of Apuleius (also called
medical school. Numerous inscriptions set up in the temples
The Golden Ass and written about 170 CE), the people who
of Asklepios record the gratitude of worshipers for the cures
see the event declare:
obtained, which were frequently regarded as completely mi-
This is the man who has been today restored to human
raculous. Yet some of the techniques used partook of current
shape through the splendid divinity of the all-powerful
orthodox medical practice, for example, prescribed dietetic
goddess. Happy is he, by heaven, and thrice blessed, to
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3905
have clearly deserved, by the purity of his former life
included dreams, incubation (sleeping in a temple), auguries
and his pious loyalty, such a wondrous favor from heav-
based on observation of birds, extispicy (especially the in-
en that he is, as it were, born again and has at once
spection of the entrails of animals killed specifically for this
pledged himself to service in the sacred rites. (11.16)
purpose), and the interpretation of weather signs, not to
Although the priests of Isis have taken part in the mira-
mention the whole area of astrology. Several of these meth-
cle, as for instance in providing the garland of roses to be
ods had been developed originally in Babylon and Egypt.
eaten by the ass-man, it is the goddess herself who naturally
Another important divinatory method was by oracle.In
receives the acclaim.
the Greek tradition the personal mouthpiece of the god of
Sometimes, nevertheless, the human agents were not
the oracle was the proph¯et¯es, who might be a man or a
averse to claiming a measure of glory. Among the rhetorical
woman. He or she was thought to be possessed by a divine
practitioners of the second sophistic movement, which flour-
power, a process that Plato compared to poetic inspiration.
ished in the first and second centuries CE, especially at Ath-
The medium became entheos (“full of the god”) and was in
ens, Smyrna, and Ephesus, were a few literati who combined
a state of ekstasis (“standing out of oneself”). In the oracles
their philosophical and oratorical gifts, which they displayed
the power of prophecy was linked to special sites and to par-
as peripatetic lecturers, with a keen interest in magic. One
ticular gods. Here a paradox emerges: The Greeks are famed
was Apuleius, whose interest in magic is evident in much of
for their rationalism and are regarded as the pioneers of intel-
his work, especially the Metamorphoses. Early in his career,
lectual enquiry and scientific thinking, yet their belief in ora-
however, he was accused of using magic to gain the hand of
cles belies this approach. To some extent, the inconsistency
a rich widow in marriage. Although acquitted, thereafter he
can be explained through social division: The credulous ma-
was reluctant to practice any form of the art.
jority trusted oracles while the educated elite evinced skepti-
In the context of magic and miracle the most remark-
cism, the latter trend becoming more pronounced in the
able person in the second sophistic movement was undoubt-
Hellenistic era, as Plutarch showed in the first and second
edly Apollonius of Tyana, who lived in the first century
centuries CE.
CE
and came from Cappadocia in Asia Minor. An account of
The paradox reveals itself to some degree in the figure
his life, written about 217 CE by another Sophist, Philostra-
of Apollo himself. He is the god of light and reason, yet he
tus, presents him as a wandering scholar whose travels em-
is the dominant god at Delphi, seat of the most celebrated
braced Babylon, India, Egypt, and Ethiopia. In spite of his
oracle. In his Birth of Tragedy, the philosopher Nietzsche
fame, his life was ascetic and disciplined and modeled on Py-
contrasts Apollo and Dionysos, the one representing the cool
thagorean ideals. In addition, however, he frequently per-
temper of rationalism, the other the passionate surrender to
formed miracles that included acts of healing, magical disap-
ecstasy. Certainly this antithesis is at the heart of Greek
pearances, and even raising the dead, deeds that recall the
thinking.
claims made for Jesus of Nazareth.
One noted feature of Greek oracles was the ambiguity
The trustworthiness of Philostratus, however, has been
of their response. Statements that could be interpreted in
much impugned. He cast his life of Appollonius in the form
more than one way were often forthcoming. Among the
of a Greek travel romance, which suggests a fictitious ele-
problems posed on behalf of states were political issues, and
ment. Further, he wrote the book at the request of Julia
this meant that some oracles, particularly the one at Delphi,
Domna, the second wife of the emperor Septimius Severus,
exerted considerable influence on the states’ policies. But the
so that the possibility of anti-Christian animus and parody
Hellenistic age saw the decline of Delphi and the rising pres-
cannot be excluded. It is likely, then, that some more modest
tige of other oracles, such as those of Asklepios at Epidaurus
deeds by Apollonius provided a basis for the heightened ac-
and Rome and that of Trophonios in central Greece.
count presented. The simple asceticism of his mode of life
must also have impressed people, although Philostratus exag-
Oracles in other countries were also much frequented,
gerates even here, as when he says that Apollonius was “a
such as that of Zeus Amun in Libyan Siwa, where Alexander
more inspired student of wisdom than Pythagoras” (1.2).
had a significant personal experience. Sometimes the ques-
tions raised were those of individuals, reflecting the private
One of the faculties ascribed to Apollonius was clairvoy-
problems of simple people: A man is anxious to know wheth-
ance. At Ephesus in 96 CE, he is said to have had a miraculous
er his wife will give him a child, a woman wants to be cured
vision of the emperor Domitian being murdered in distant
of a disease, someone asks a commercial question about the
Rome, a vision whose validity was afterward confirmed. The
best use of property, or a man wonders whether the child his
event is related by both Philo- stratus and the historian Dio
wife is carrying is his own.
Cassius, so that its truth need not be questioned. Even the
less sophisticated type of magician was expected to indulge
In his work On the Obsolescence of Oracles, Plutarch (c.
in processes of divination that would let him foretell the fu-
46–125 CE) discusses why so many oracles in Greece have
ture. This did not usually imply powers of prophecy in a gen-
ceased to function. Various answers are supplied in a discus-
eral sense but, rather, the ability to judge and foretell the out-
sion presented in the form of a dialogue. The population had
come of a particular problem or issue. Methods of divination
decreased, says Plutarch, and there is some atrophy of belief.
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HELLENISTIC RELIGIONS
There is also the theory, seemingly endorsed by Plutarch
they were intellectually indebted to the Cynics, but Zeno of
himself, that in the oracles it is not the gods but beneficent
Citium in Cyprus (335–263 BCE) went far beyond them and
demons who are at work.
included a religious interpretation in his cosmopolitanism.
According to Zeno the whole universe is governed by divine
Another writer who provides a revealing picture of what
reason, and people should therefore live in conformity with
goes on at an oracle is Pausanias, who flourished about 150
it and with the order of nature established by it. A saying of
CE. In his Description of Greece (9.39) he gives many details
Zeno that Plutarch has recorded presents the view that peo-
of the procedures at the oracle of Trophonios in Lebadea
ple should not live in a state of division according to separate
(modern Levadhia) in Boeotia. Regarded as relating to the
cities and peoples and differing rules of justice; rather, all
hero cult, Trophonios may have been in origin a fertility god
people should be viewed as belonging to one state and com-
with chthonic associations; his sanctuary was built over an
munity and sharing one life and order. Plutarch wryly adds
alleged entrance to the underworld. The person who wished
that in writing thus in his much-admired book The State,
to consult the oracle had to first wait quietly in the house
Zeno was presenting a dream or ideal of a well-ordered philo-
of Agathos Daimon (“gracious divine being”), where various
sophical world.
rites of purification and dietetic regimen were observed.
Then came whippings, various offerings and sacrifices, an
It was indeed an age when several “utopias” were writ-
anointing with oil, bathing in a river, a special drink, and a
ten. Plato had set an example with his Republic, but later
prayer, after which the inquirer was dressed in a linen tunic
writers in this genre deployed a good deal more fantasy, as
and pulled through a narrow hole into a subterranean cave
when Iambulus in the early second century BCE wrote of his
where he was terrified by snakes but able to calm them with
voyage to the southern seas, where he stayed for seven years
honey cakes. Only then did he see or hear Trophonios and
in the seven “Islands of the Sun.” He painted an idyllic pic-
become enlightened concerning his future, after which
ture of the islands: Their climate is perfect and their land ever
priests explained his experiences. It was said that the inquirer
fruitful; the inhabitants are all supermen and there is no dis-
always came out of the cave of Trophonios dejected and pale.
tinction between slave and free; property is shared and
Psychologically the treatment was rigorous and searching;
women and children are held in common; there is no strife
modern parallels might be sought in regimes using drugs
of any kind, and their deities are the powers of nature—the
such as methedrine with stringent concomitants. In ancient
sun, the heavenly bodies, and the sky.
times the initiations in the mystery religions provide the
There were a few practical ventures, too, in utopianism.
nearest parallel.
Alexarchus, brother of King Cassander of Macedonia, after
UNIVERSALISM AND SYNCRETISM. Although Alexander the
being given some land on the Athos peninsula, built a big
Great did not establish a world state in the world as then
city that he called Ouranopolis (“city of heaven”), where the
known, his empire transcended the national states and in-
citizens were called Ouranidai (“children of heaven”), and
duced a sense of cohesion and interdependence. It was in this
the coinage was adorned with figures of the sun, moon, and
era that the word kosmopolit¯es (“citizen of the world”) came
stars. Rather similar was the concept implemented briefly by
into vogue. The idea had occasionally appeared before this.
Aristonicus of Pergamum (in 133–130 BCE), who led a popu-
Democritus of Abdera had said in the fifth century BCE, “To
lar rising against Rome. He planned a state called Heliopolis
the wise every land is open; the good soul looks on the whole
(“city of the sun”), whose inhabitants he called Heliopolitai
world as his country.” More pointed and forceful expression
(“citizens of the sun”); but after some initial successes he was
was given to the idea by Diogenes the Cynic (c. 400–325
captured and killed by the Romans. The Greek satirist Lu-
BCE), founder of the Cynic sect. He came from Sinope on
cian, who wrote in the second century CE, provided a witty
the southern shore of the Black Sea but spent much of his
parody of literary utopias in A True Story, a travel romance
life in Athens. He was given the nickname of “the Dog,”
full of irony and burlesque, of which Swift’s Gulliver’s Travels
while his followers were similarly called “Dog Philosophers”
is a modern descendant.
or Cynics, from the snarling way in which they and their
master condemned accepted conventions and defied civilized
In the context of Stoic philosophy the doctrine of world
life, embracing instead a style of extreme poverty, simplicity,
citizenship was elaborated somewhat by Chrysippus (c. 280–
and hardship. Among the conventions that Diogenes reject-
207 BCE), who noted that the word polis was given two
ed was attachment to the polis, or city-state. His rejection
senses: the city in which one lived; the citizens and the state
was practical in that he wandered from one country to anoth-
machinery. Similarly, he argued, the universe is a polis that
er without accredited citizenship or a settled home (in Ath-
embraces gods and human, the former wielding sovereignty
ens he lived in a tub). In principle he was a kind of anarchist.
while the latter obey; yet gods and humans, for all their dif-
He called himself a “citizen of the world,” but this did not
ference in status, have a means of contact and converse since
imply any politically defined belief. It was in effect a negative
they both use reason, which is “law by nature.” In the last
claim denying the value of the city-state.
phrase he is overturning a contrast present in previous politi-
cal thought. A later Stoic, Panaetius (c. 185–109 BCE), was
It was the Stoics, however, who succeeded in giving to
more pragmatic in his approach. A world state seemed no
this approach a more positive and meaningful basis. Initially
longer within practical reach, but he continued to believe in
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HELLENISTIC RELIGIONS
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the general unity of all humankind. At the same time he re-
30.33) declares that when the universe is renewed, “this earth
stored to the city-state a certain secondary role, admitting its
becomes an iceless, shapeless plain.” According to this teach-
usefulness in a realistic sense while denying its claim to de-
ing, mountains were created by the Spirit of Evil and will dis-
cide in any final sense, matters of right and wrong; such deci-
appear with his overthrow; Isaiah 40:4 reflects the same view-
sions were to remain in the domain of reason and nature.
point when the prophet announces, as part of a serene vision,
that “every mountain and hill shall be made low” and “every
It thus appears that the idea of being a citizen of the
valley shall be exalted,” thus achieving the uniform flatness
world, vague and ill defined as it often was, came to include,
of Plutarch’s Iranian dictum.
under Stoic inspiration, the religious concept of a ruling di-
vine reason. Although the reality of a world state was miss-
The union and solidarity of the human race are also a
ing, the idea of humankind as one community had a power-
part of the Iranian teaching, for the D¯enkard (9–18), a Pahla-
ful spiritual effect. Whereas it cannot be assumed that
vi book of the ninth or tenth century CE that probably pre-
everyone, or even the majority, embraced the idea fully and
serves earlier ideas, prophesies a final outcome in these terms:
fervently, there are many signs that thinking people accepted
“At the final Rehabilitation the whole of mankind will be
it. A sharp division had existed previously in attitudes toward
firmly and unchangeably linked in mutual love, and this will
other nations: Pride and prejudice were clearly present in the
mean that the demons will utterly despair of ever being able
categories of Greeks versus barbarians or Jews versus gentiles.
to harm man again. . . . Then there will be a universal joy
Certain nations enjoyed more power than others since, in the
for the whole of creation for all eternity; and fear will be no
empire bequeathed by Alexander, Macedonians, Greeks, and
more” (trans. R. C. Zaehner, in The Dawn and Twilight of
Persians were in the ascendancy until Rome took control. In
Zoroastrianism, London, 1961, pp. 280f.)
religious matters, nonetheless, the great variety of national
Stoicism may well have influenced the idea of “one gov-
traditions was often regarded as a common heritage of hu-
ernment of men,” but Stoic sources apparently do not men-
manity. This is the attitude taken by Plutarch when he ar-
tion the use of one language as a requirement of the cosmop-
gues, doubtless under the influence of Stoicism, that the gods
olis. The inherited traditions vary on the question of
of Egypt should be preserved as “our common heritage” and
languages. In chapter 11 of Genesis the story of the tower of
not made the peculiar property of the Egyptians. In chapter
Babel points to an original state of bliss when all people
67 of his treatise Isis and Osiris he states his belief that the
spoke one common language, and a Babylonian legend sees
gods of the various nations, in spite of their differing names,
the multiplication of tongues as a cause of discord. Egyptian
are essentially the same and that behind the divergent forms
tradition, on the other hand, praised Thoth as the creator of
there is a universal reason and providence:
languages and viewed his act as contributing to the rich vari-
ety of creation in general, with its many races and kinds of
Nor do we regard the gods as different among different
living beings. The Christian tradition, as in Revelation 7:9
peoples nor as barbarian and Greek and as southern and
northern. But just as the sun, moon, heaven, earth and
with its allusion to “a great multitude of all tribes and peoples
sea are common to all, though they are given various
and tongues,” certainly envisages a universalism in which di-
names by the varying peoples, so it is with the one rea-
versity is present in unity and humanity is a “community of
son [logos] which orders these things and the one provi-
communities.”
dence which has charge of them, and the assistant pow-
Whatever the variety of the traditions so freely transmit-
ers which are assigned to everything: They are given
different honours and modes of address among differ-
ted in the Hellenistic age, in religious matters there was usu-
ent peoples according to custom, and they use hallowed
ally a readiness to acknowledge and respect diverging ways
symbols, some of which are obscure and others clearer,
of belief, worship, and ritual. A process that went even be-
directing the thought towards the divine, though not
yond this was that of syncretism, a term often hailed as the
without danger. For some, erring completely, have
hallmark of the age. In origin a Greek word, it was not used
slipped into supersition, and others, shunning it like a
by the Greeks with the exact meaning assigned to it today.
marsh, have unwittingly fallen in turn over the preci-
It derives from the verb sugkretizo, which itself derives from
pice of atheism.
Kres, “a Cretan”; it was used politically of two parties com-
bining against a common enemy, while the noun sugkretis-
At the same time, Plutarch is occasionally ready, within
mos was used of a federation or union of Cretan com-
the same work, to accept the Iranian doctrine about the
munities.
happy end of the world, when Areimanius (Angra Mainyu),
the god of evil, will be utterly obliterated by the gods who
In English and other modern languages the noun de-
follow Horomazes (Ahura Mazda), lord of light and good.
notes the attempted union or reconciliation of diverse or op-
The happy final state will reflect the blessed unity of human-
posite tenets or practices, especially in the philosophy of reli-
kind: “The earth shall be flat and level, and one way of life
gion. The usage is also often extended to include the
and one government shall arise of all men, who shall be
equation or identification of diverse deities and the combina-
happy and speak the same language” (chap. 47). Here the
tion or fusion of their cults, the latter practice being a specifi-
universalism envisaged is somewhat colorless and depressing;
cally Hellenistic development. Earlier experience was indeed
it accords with Iranian sources, one of which (Bundahishn
fully conversant with the equation of deities.
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HELLENISTIC RELIGIONS
In ancient religions the most thorough process of syn-
Italy. Such a procedure had been very difficult, and indeed
cretism in this sense is found in the developed phase of
dangerous, in previous ages, for the orgiastic nature of some
Roman religion, when Roman deities were identified with
of these cults was much feared, and all public cults were rig-
Greek counterparts—Jupiter with Zeus, Juno with Hera,
idly controlled by the state. But a radical change of attitude
Venus with Aphrodite, Ceres with Demeter, Mars with Ares,
came in Hellenistic times. State control remained, but often
and so on. In some cases this conscious process found no easy
it now actively supported foreign cults, as for instance the
counterpart: Janus, the god of the door, was a distinctively
cult of Dionysos in Ptolemaic Egypt. When Stratonice, the
Roman concept. In other cases a Greek deity was adopted
wife of Seleucus Nicator in Syria, resettled the city of Bamby-
without any attempted assimilation. Thus the Greek god
ce as Hierapolis in about 300 BCE, one feature of the worship
Apollo was worshiped in Italy by the Etruscans and was after-
sanctioned there was the fusion of the great Syrian goddess
ward much revered by the Romans, becoming a favorite god
Atargatis with the Hellenic goddesses Artemis, Hera, and
of the emperor Augustus. A simple act of comparison could
Aphrodite. In Egypt this type of cult syncretism was fur-
lead to syncretism of this kind: One community compares
thered by the system of the sunnaoi theoi (“temple-sharing
its own gods with those of another; when similar powers or
gods”). This was used principally to advance the claims of
functions are recognized, the comparison may lead to identi-
the Ptolemaic kings and queens as divine beings in temples
fication. Of course, this process is valid only with polytheistic
throughout Egypt in the reign of Ptolemy Philadelphus and
communities since monotheism rejects comparisons. Nor
afterward; the names of the royal divinities were added as
does the process arise when there is no contact between com-
gods who shared the temple with the main deity worshiped
munities and therefore no need to make comparisons, except
there. The reigning Ptolemies and their wives were thus pro-
in instances where a plurality of deities within communities
moted to an honored position on a par with that of the tradi-
of the same culture invites an equation of functions. This
tionally accepted deities.
may lead to assimilation and the use of one divine name in-
stead of several. Thus it appears that among the Greek com-
Usually the Greeks raised a temple in honor of one par-
munities there were several forms of the corn mother, but
ticular deity, as Athena was honored in the Parthenon at Ath-
eventually the name of Demeter, best known, was applied
ens, Zeus in the great temple at Olympia, and Apollo in his
to most of them. Even so, local varieties persisted in several
temples at Delphi and Delos. Yet it was very natural that as-
of the cults. The “Black” Demeter of Phigalia, a town of Ar-
sociated deities, especially those connected in myth, legend,
cadia, for instance, was very different from the Demeter of
and cult, should be represented and worshiped in the same
Eleusis. In Phigalia the Black Demeter was said to be the
temple. Thus Artemis was honored with Apollo as his twin
consort of a horse-shaped Poseidon.
sister, just as Hadad was honored with the Syrian goddess
Atargatis as her consort.
In the fifth century BCE the Greek historian Herodotus
indulged freely in the kind of syncretism that meant identify-
Hellenistic practice went a good deal further than this
ing the gods of different nations. In his second book, which
in the mingling of gods, which the Greeks termed theokrasia.
deals with Egypt, he consistently identifies the Egyptian Osi-
One is at first surprised to read in Apuleius’s Metamorphoses,
ris with the Greek Dionysos and the Egyptian Isis with the
when he describes the preparations for the initiation of Lu-
Greek Demeter. Probably this was prompted only by recog-
cius into the cult of Isis, that the high priest in charge of the
nition of their similar functions, although he does refer to
rites is called Mithra and that he is linked to the initiand “by
festivals. Later, however, in Hellenistic times, the cults of
a certain divine association of constellations.” A close and
these deities influenced one another. Isis, for example, was
friendly attitude toward Mithraism is clearly indicated, and
often depicted with ears of wheat on her headdress in a man-
astrological lore is also openly deployed. Furthermore, when
ner traditionally associated with Demeter, while ivy, the
the temple of Mithra was discovered in the Walbrook area
plant of Dionysos, figured in the rites of Osiris. Again, the
of London by W. F. Grimes in 1954, the finest work of stat-
phallus was sometimes carried now in processions of Osiris
uary to come to light was of the Egyptian god Sarapis. Nor
in Egypt, as it had been regularly in the rites of Dionysos
does the evidence of inscriptions and literature suggest any-
among the Greeks; the Egyptian tradition had previously
thing other than an attitude of sympathetic cooperation be-
known nothing of this. Another good instance of active syn-
tween these and other religions.
cretism was the god Sarapis, worshiped in Egypt and else-
where under the Ptolemies. He derived from the Egyptian
There was, of course, no claim of exclusiveness to pre-
god Osir-Api (Osiris-Apis) but was now represented in
vent such an attitude, as was the case with Judaism and
Greek style in a form rather like that of Zeus (but with the
Christianity. Well-known instances indicate that even priest-
modius, a measuring vessel, on his head). He was identified
hoods of different religions could be held by the same person.
with Zeus and with Helios. He was not, however, a new cre-
Plutarch’s friend Clea, to whom he dedicated his study of the
ation; his emergence points to amalgamation and adaptation.
Egyptian cults, was a priestess of Dionysos and also of Isis
and Osiris. Similarly, in the fourth century CE one Vettius
Increasingly in Hellenistic times, the cults of Oriental
Agorius Praetextatus was initiated into the Dionysian, Eleu-
deities were introduced to the cities of the Greek world and
sinian, and Mithraic mysteries.
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HELLENISTIC RELIGIONS
3909
Popular religious practice and belief are undoubtedly
In his novel about the ass-man rescued by Isis, Apuleius
best reflected in inscriptions, whether in temples, on tomb-
is appreciative and respectful in his allusions to most other
stones, or on amulets, and in magical incantations. Often the
religions. Here there was almost a logical imperative operat-
gods of different countries are named together in dedications
ing since Isis, as he often stresses, combined the attributes
and formulaic expressions of thanksgiving. This is also true
of all other goddesses. Yet there are two glaring exceptions
of inscriptions that are official and public in character. Thus,
to his tolerant attitude. One is the portrait of the baker’s wife
in an inscription dated between 50 and 35 BCE, Antiochus
(9.14), who is described as a retailer of all the vices and as
I of Commagene, a small kingdom north of Syria, presents
one who “scorned and spurned divine beings and instead of
an exposition of his religion. He begins by calling himself
accepting a definite faith . . . falsely and blasphemously pro-
“the God, the righteous God” and “friend of Romans and
fessed belief in a god whom she regarded as the one and only
Greeks,” and then declares that he has made his kingdom
god.” The description might apply to the Jewish or Christian
“the common dwelling place of all the gods.” He alludes to
faith, but the list of vices corresponds rather closely to those
the ancient doctrine of Persians and Greeks and refers with
named in 1 Corinthians 5:11, so that a Christian allusion is
reverence to Zeus-Oromasdes, to Apollo-Mithra-Helios-
a little more likely. Even more hostile is Apuleius’s withering
Hermes, and to Artagnes-Herakles-Ares. This showpiece of
depiction (8.24ff., 9.3ff.) of the priests of the Syrian goddess
syncretism contains an element of political expediency: The
Atargatis. They are said to be addicted to homosexual prac-
king is eager to pander to both Romans and Greeks (the Se-
tices, to crude begging, to flagrant pilfering (they steal even
leucid rulers); his religion is basically Iranian but with Greek
the golden cup from the temple of the mother of the gods),
embellishments.
and to unscrupulous manipulation of an oracle. Doubtless
In contrast, the easy and fluid permutations of popular
the praise of Isis was heightened by this attack, and for once
magical texts indicate a general readiness to mix varying reli-
the age seems to be characterized by competing and conflict-
gious traditions very freely. Two frequent names are the
ing religions.
Greek Zeus and the Jewish Iao (Yahveh). In the case of Zeus
In general, syncretism tended to induce a belief in pan-
one cannot always be sure whether the name conceals a Mes-
theism. The free mingling of many varying divinities suggest-
opotamian or Egyptian deity since these brief formulas rarely
ed to some minds that the world was full of God in some
reveal the double personality expressed in Antiochus’s Zeus-
form or another. Aratus of Soli (c. 315–240 BCE), in his as-
Oromasdes, where the second element is obviously more im-
tronomical poem Phaenomena, said that “all the ways are full
portant than the first. Sometimes the Jewish Iao is identified
of God, and all the meeting-places of men, the sea and the
with Zeus or Dionysos.
harbors; and at every turn we all need God, for we are related
Nor does the resulting fusion always refrain from a con-
to him” (the Greek has Zeus for God). The last clause was
flation of myths. Thus a magical papyrus now in Oslo (Papy-
quoted by Paul in his address at Athens (Acts 17:28): “As
rus Oslo 1.105–109) addresses the god Seth-Typhon, whose
some of your own poets have said, ‘We are also his off-
name combines Egyptian and Greek deities. The papyrus
spring.’” At the same time syncretism furthered the quest for
goes on to say that the god’s mother is a white sow, an allu-
the unity of the divine. Earlier Greek philosophers had been
sion to an Egyptian myth about Seth and the goddess Nut.
concerned with the idea that there was one god behind the
It then hails the god as “thou who dost hold in Heliopolis
many names and forms. Now that the deities of divergent
an iron staff with which thou didst barricade the sea and en-
national traditions were being actively equated and fused, the
able them to pass through.” Heliopolis here is the city of the
idea of one divine reality was becoming still more wide-
sun god in Egypt, but the “iron staff” is apparently that of
spread.
Psalms 2:9, “Thou shalt break them with a rod of iron,” while
the words that follow allude to the passage of the Hebrews
THE REJECTION OF RELIGION. It may seem a paradox that,
through the Red Sea. The god addressed is therefore a
in spite of the religious tendencies delineated, the direct or
fusion of the deities of three nations, including the Jewish
indirect rejection of religion was also a feature of Hellenistic
Yahveh, and it is Yahveh who dominates the last part of the
thinking. Direct rejection was restricted to a small minority
invocation.
of philosophers, but its intellectual vitality is manifest, al-
though it was not a completely new development. Several of
One of the results of syncretism in religion was a sense
the Sophists of the fifth century BCE had propagated a doc-
of tolerance and sympathy. People who are ready to borrow
trine that questioned accepted religious beliefs. Before the
from other religions are clearly not about to condemn them.
Sophists, Anaxagoras had done the same. While he may not
Judaism and Christianity are again the exceptions, and their
have plainly denied the existence of God or the gods, his be-
fervid intolerance was a source of strength in the struggle for
lief that mechanistic laws were behind the workings of the
survival. Only very rarely does a sense of conflict and hostili-
universe excluded a divine causation or operation, even in
ty appear among the adherents of the pagan religions. Plu-
Mind (Nous) was seen by him as the initiator of cosmic
tarch sometimes inveighs against the primitive cruelties un-
motion.
veiled in facets of mythology; his method is fairly radical in
that he is prepared to reject such elements as unworthy of
Among the Sophists, Protagoras was broadly in the same
the gods.
category. He once said concerning the gods: “I am unable
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3910
HELLENISTIC RELIGIONS
to know whether they exist or do not exist, nor what they
his lash. He says of Christians that “the poor beggars have
are like in form; for the factors obstructing knowledge are
persuaded themselves that they will be absolutely immortal
many: the obscurity of the subject and the shortness of
and live everlastingly, and for this reason they scorn death
human life.” The relativism of Protagoras also tended in this
and willingly surrender when arrested” (Peregrinus 13); they
direction, for it was he who said, “The measure of all things
are “simple-minded people,” he adds, who can be easily im-
is man.” If Protagoras may thus be rightly classified as an ag-
posed upon by any charlatan or trickster.
nostic, Diagoras of Melos, also of the fifth century BCE, was
A certain criticism of religion emerges also in the works
definitely an atheist; indeed, he was called ho Atheos. Like
of the philosophers called Skeptics. Their main emphasis was
Protagoras, he was condemned for impiety, but trials and
on the reservation or suspension of judgment, but this was
convictions for this are not always clear indications of a deni-
applied in a general sense to the validity of sense perceptions
al of the gods. Diagoras wrote a book in which he attacked
and thus to the uncertain claim that knowledge of things can
the Eleusinian mysteries, and with these remarks he doubt-
be attained. Specific problems concerning religion were dis-
less caused great offense. The main thesis of his book went
cussed by Sextus Empiricus (c. 160–210
a good deal further, declaring that the gods did not exist at
CE), who noted the
vast amount of disagreement on the subject that prevailed.
all. What he saw as the obvious absence of divine punish-
The very existence of the gods or of God, the propriety or
ment in human life was the ground for his denial. He is the
otherwise of animal sacrifices and dietetic rules, the problem
first uncompromising atheist in the history of European
of how the dead should be treated, the right attitude toward
thought.
death itself—all these matters produced debate and radically
In the Hellenistic age Euhemerus of Messene, who for
differing views. He argues that relativism is inherent in these
a time (311–298 BCE) served Cassander, king of Macedon,
areas: “All are matters of custom.” Therefore, he concludes,
can also be listed as an atheist, although his attacks on tradi-
judgment on questions of religious belief and practice must
tional religion were more of a rationalizing reductionism
also be suspended.
than a frontal assault. In his travel romance Sacred History,
PHILOSOPHY AND RELIGION. The two most popular and in-
which idealized life on the island of Panchaea in the Indian
fluential philosophical schools of Hellenistic times were
Ocean, he tells of an inscribed record of the deeds of the gods
those of the Epicureans and the Stoics, both of which origi-
Ouranos, Kronos, and Zeus. According to the record, these
nated in the period immediately following Alexander’s con-
mighty deities had originally been human kings whom their
quests. Both were also much affected, albeit in very different
appreciative subjects elevated to the rank of divinity. Clearly
ways, by the radical political changes of the age as well as by
this approach could be interpreted as a defense of contempo-
the new international horizons. To some extent, both took
rary ruler cults, but when generalized in relation to gods ev-
up attitudes that were critical of traditional religious beliefs.
erywhere, it meant that real divinity disappeared in the pos-
Indeed, some would describe them, particularly the Epicure-
tulated human origins. The Greek hero cults also fitted the
ans, as rejecting religion, but this would be misleading.
theory. It is easy to understand why “euhemerism” is still an
influential force in the study of religions.
Epicurus (341–270 BCE) was born in Samos but spent
much of his life in Athens, where he bought a house with
It is not surprising that the Cynics, who tended to op-
a garden (his school was eventually called “the Garden”). For
pose all established values, sometimes included religion in
him, the aim of philosophy is to secure a happy life; “pleasure
their abuse. Diogenes of Sinope expressed contempt for the
is the beginning and end of living happily.” Pleasure of the
Eleusinian mysteries. A man who could defend stealing from
soul is valued above bodily pleasure, and the ideal is ataraxia,
temples, cannibalism, and incest obviously took pleasure in
“freedom from disturbance.”
destructive challenge. Yet his teacher Antisthenes, who at-
tacked all religious conventions and the belief in a multitude
Epicureans were often accused of profligacy, but they
of gods, maintained that there existed one God beyond all
lived a modest and simple life of seclusion. Women and
visible phenomena. The Hellenistic Cynics developed the
slaves were allowed into the Garden, and among the women
popular and hard-hitting speech form called the diatrib¯e,
were several courtesans (hetairai), who obviously became a
which combined comic effects with satire that was often abu-
pretext for some of the accusations made against the Epicure-
sive. Yet in spite of the Cynics, continued attacks on religious
ans of gross sexual immorality and of overindulgence in wine
conventions, it is doubtful whether a full-fledged atheism
and food. Such charges came mainly from adherents who
should be ascribed to them.
later abandoned the school.
Features of the Cynic tradition can be recognized in the
In his moral doctrine and spiritual temper Epicurus
works of Lucian (120–180 CE), who ridiculed both religion
paid great attention to the idea of friendship (philia, for
and philosophy; under the latter heading he especially at-
which Lucretius, the Roman Epicurean, used the word ami-
tacked the Cynics, indebted though he was to them. His at-
citia); and there is every reason to believe that he strove to
tacks on religion are well exemplified in his comic picture of
follow his noble ideal. He says of friendship: “Of all things
Zeus struggling at a celestial reception desk to cope with the
which wisdom supplies to make life entirely happy, by far
countless prayers of humanity. Nor does Christianity escape
the greatest is the possession of friendship.” Again: “Friend-
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HELLENISTIC RELIGIONS
3911
ship must always be sought for its own sake, although it has
non sacrificing his own daughter Iphigenia to satisfy the
its origins in the need for help.” And yet again: “That is also
claims of religion, the poet declares, “So many evils was reli-
very beautiful, the sight of those near and dear to us, when
gion able to instigate” (De rerum natura 101).
to the bonds of kinship is joined a union of hearts.” In his
book The Faith of Epicurus (London, 1967), Benjamin Far-
Epicurus himself, on the other hand, is careful to point
rington aptly compares the saying of William Blake, “The
out that he regularly follows traditional religious obser-
bird a nest, the spider a web, man friendship” (p. 23), and
vances: “Let it be enough to state now that the divine is in
even more appositely since its context is not far removed in
need of no mark of honor, but that it is natural for us to
time, cites the dictum of Aristotle: “Moreover friendship
honor it, especially by having pious conceptions of it and sec-
[philia] seems to hold states together and lawgivers are more
ondly, by presenting to all the gods in turn the traditional
concerned about friendship than about justice. For concord
sacrifices” (Philodemus, De musica 4.6, quoting Epicurus).
seems to be akin to friendship . . . , and when men are
At first sight a palpable contradiction occurs here. If the gods
friends there is no need of justice” (p. 29; Nichomachean Eth-
are not concerned with human life, why should human be-
ics 1155a). Friendship is seen, then, not only as a personal
ings bother to honor them with prayer and sacrifice? Do not
tie between individuals but also as the motivating force of
these religious acts imply a constant concern on both sides?
a healthy society.
To resolve this dilemma, it seems, one should ascribe to Epi-
curus the highest form of worship, the utterly disinterested
If these ideas indicate the quality of Epicurus’s spiritual-
adoration of the divine which expects nothing in return but
ity, his precise attitude to religion must be examined. This
has the joy of sharing in the divine happiness. Prayer and sac-
is well expressed in his Letter of Menoeceus, a letter to a disci-
rifice enable such a worshiper to take part in the blessedness
ple of his to whom he wished to explain the basic principles
of the gods. It was said of Epicurus, “He appeals to the Com-
of his creed. First of all, one must believe that “God is a being
pletely Happy so as to strengthen his own blessedness.” It
immortal and blessed”; then, a little later, he says that “gods
could be argued that he is, therefore, receiving something
certainly exist, since our perception of them is clear.” The
from the gods, even though the gift is purely spiritual in
apparent contradiction here between “God” and “gods” is fa-
character, and that the gods are ready to bestow it, thus bely-
miliar in previous Greek writing, especially in the works of
ing the concept that they are a remote community of beings
Plato, who combines a suggestion of monotheism with the
who have no care or concern for humanity.
traditional polytheism.
Epicurus also recommended prayer because it enabled
Epicurus goes on to say that many false ideas are current
one to participate in the religious life of one’s own country;
about the gods, in particular the popular concept of reward
he viewed it as natural and proper. This contrasts sharply
and punishment whereby the injuries suffered by the wicked
with his constant advice to withdraw completely from politi-
and the blessings enjoyed by the good are directly conferred
cal and public activity. But if there is a measure of inconsis-
by the gods. He then passes on to discuss death, a subject
tency in his sanction of traditional religious rites, his con-
he often broaches in connection with religion. He tells Men-
demnation of the astral religion propagated by Plato in his
oeceus that it is important to realize that death means noth-
later years is perfectly consonant with the lofty view of the
ing because it deprives one of all sensation. To realize this
divine that Epicurus always tried to maintain. His creed is
makes mortal life more enjoyable in that the desire for im-
well summed up in the saying of Diogenes of Oenoanda in
mortality is removed. The fear of death and of what may fol-
Asia Minor, who lived in the second century CE: “Nothing
low it is groundless; the wise man will think reverently of the
to fear in God. Nothing to feel in death.”
gods and will be entirely fearless of death. Indeed, he will pre-
serve his peace of mind and “live like a god among men.”
In one respect the Stoics differed firmly from the Epicu-
The life of the gods, as other Epicurean writings make clear,
reans: They urged active participation in public life, not a re-
is regarded as one of calm beatitude. They enjoy a blissful
treat from it. While favoring the idea of a world state, they
existence far away from the turmoil of the human world, free
did not shrink from service to their own. Their basic teach-
of pain and peril. They take no interest in human affairs and
ings also differed. For them it was virtue, not pleasure, that
are content with the immortality and supreme blessedness
was the supreme value in life; knowledge was important in
that is theirs.
the quest for virtue, but the essential thing was to live in
agreement with nature since nature leads to virtue. In mod-
Perhaps it is Lucretius (94–55 BCE), the Roman expo-
ern parlance, to follow nature may often imply an uninhibit-
nent of Epicureanism, who has given the most attractive ex-
ed pursuit of the natural instincts and their pleasures, but the
pression to these ideas, both in his depiction of the bliss en-
Stoics’ interpretation is quite different. For them the forma-
joyed by the gods in their remote paradise and in his searing
tive and guiding principle in nature is reason (logos), which
attacks on popular notions of punishments after death,
is identified with God himself and is said to manifest itself
which were associated with the divine control of Hades.
as fate or necessity and as providence. Another special mani-
Some of the attacks made by Lucretius on these popular mis-
festation is human reason, whose guidance it is one’s duty
conceptions sound very much like a condemnation of reli-
to obey. For rational beings such as humans virtue alone is
gion in toto. After a breathlessly pathetic picture of Agamem-
the vital possession, and from virtue alone comes happiness.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3912
HELLENISTIC RELIGIONS
Pleasure, on the other hand, is regarded as only a by-product
The philosophical creeds with their variety of religious
of virtuous living and not as a proper end in itself. Like the
ingredients appealed, of course, only to an educated elite.
Epicureans, the Stoics valued “freedom from disturbance”
Their quiet colonnades were far removed from the rough-
(ataraxia) as a desirable state, as well as “freedom from emo-
and-tumble of the marketplace, as was the Epicurean Gar-
tion” (apatheia) and “inward independence” (autarkeia). The
den. Many confusing cries accosted common people in the
founder of Stoicism, Zeno of Citium (335–263 BCE), was
marketplace, and they often found it most satisfying, as far
highly regarded for his integrity, and it was said of him that
as religion was concerned, to follow the emotional uplift and
“he made his life a pattern to all, for he followed his own
the offer of salvation presented by the mystery religions and
teaching.” He was succeeded as leader of the school by Cle-
by Christianity.
anthes (331–232 BCE), who was followd in turn by Chrysip-
SEE ALSO Apostles; Apotheosis; Astrology; Divination; Em-
pus (280–207 BCE). These philosophers showed varied em-
peror’s Cult; Gnosticism; Hermetism; Heroes; Incarnation;
phases in their teachings, much more so than did the
Jesus; Kingship; Manichaeism; Mystery Religions; Neoplato-
followers of Epicurus, who adhered closely to the precepts
nism; Oracles; Paul the Apostle; Rabbinic Judaism in Late
of their founding father and gave him almost divine status.
Antiquity; Roman Religion, article on The Imperial Period;
Among the Stoics, Cleanthes was the most concerned
Shape Shifting; Skeptics and Skepticism; Syncretism.
with religion. He is renowned for his beautiful Hymn to Zeus,
BIBLIOGRAPHY
where the god is addressed as the creator of the world and
Bell, H. Idris. Cults and Creeds in Graeco-Roman Egypt (1953). Re-
the universe and as a ruling spirit who continues to dwell in
print, Chicago, 1975. This book deals with religious devel-
the whole of his creation. When this hymn is compared with
opments in Egypt that were, in several instances, influential
previous Greek praises of the god, what is striking is the ab-
in the Greek world generally.
sence of any specific allusions to the mythology or cult of
Borghouts, J. F., trans. Ancient Egyptian Magical Texts. Leiden,
Zeus, and some of the mythology was quite scandalous. In-
1978. Several spells from the Hellenistic period are included.
stead, Zeus has become to Cleanthes an abstract figure stand-
Farrington, Benjamin. The Faith of Epicurus. New York, 1967. A
ing for divine creativity, reason, law, and providence. He
well-written study that shows the debt of Epicurus to Aristot-
does refer to the thunderbolt of Zeus, but he links it to the
le.
Stoic doctrine of the conflagration that will end the world:
Festugière, A.-J. Personal Religion among the Greeks. Berkeley,
“Nature’s own stroke brings all things to their end.” He also
Calif., 1954. A sensitive analysis of the devotional aspects of
gives it a moral force, urging Zeus to use it to dispel darkness
the cults of Asklepios and Isis.
from the souls of humans.
Festugière, A.-J. Epicurus and His Gods. Translated by C. W. Chil-
ton. Cambridge, Mass., 1956. A detailed and warmly sympa-
Both Cleanthes and Chrysippus assembled arguments
thetic study that explains the spirit of evangelism in the Epi-
to prove the existence of God, giving prominence to the ar-
curean creed and apologetic.
gument from design: The order and regularity of the heaven-
Fraser, P. M. Ptolemaic Alexandria. 3 vols. Oxford, 1972. An au-
ly bodies could not be produced by humanity, it is urged;
thoritative work that gives detailed attention to religious
they must have been produced by something better than hu-
themes.
mans. “And what name other than God would one give to
Grant, Frederick C., ed. Hellenistic Religions: The Age of Syncre-
this?” (Cicero, On the Nature of the Gods 2.16, quoting Chry-
tism. New York, 1953. A valuable collection of translated
sippus). As has been seen, in its whole view of nature and
texts.
man early Stoicism assigns a built-in importance to religion.
Griffiths, J. Gwyn, trans. and ed. Plutarch’s De Iside et Osiride.
A moral earnestness is also evident in the writings of Stoics
Cardiff, 1970. An edition with translation and commentary.
in the Roman imperial era, especially those of Seneca (5 BCE–
A representative of Greek culture and religion in the early
65
centuries of imperial Rome, Plutarch presents remarks on the
CE) and Epictetus (55–135 CE), whose idea of God is
practically monotheistic. In their attitude to the gods of tra-
religions of Iran and Greece in addition to his ambitious
analysis of the Egyptian cults.
dition, the Stoics were often charged with a pallid reduction-
ism. They tended to equate the gods with the functions asso-
Jones, Christopher P., trans. Life of Apollonius (Philostratus). Har-
mondsworth, 1970. Important for the study of magic and
ciated with them. Plutarch, a middle Platonist not unfriendly
miracle.
to Stoicism, complains in the early second century CE of the
Long, A. A. Hellenistic Philosophy: Stoics, Epicureans, Sceptics. Lon-
facile way in which gods were labeled according to their
don, 1974. A learned and lucid study.
physical associations; Osiris was thus related to natural fertil-
Nock, Arthur Darby. Essays on Religion and the Ancient World. 2
ity while Dionysos was explained as wine and Demeter as
vols. Cambridge, Mass., 1972. Rigorously academic in style,
grain. Another kind of reductionism was employed by the
these collected essays are the work of an outstanding scholar
Stoics to explain myths whose primitive crudities offended
who devoted his attention mainly to the Hellenistic and
them, namely, a wholesale use of allegory. Plutarch himself
Roman eras.
was prepared to use this method liberally. The Platonist
Sinclair, Thomas Alan. A History of Greek Political Thought. Lon-
school that he favored continued to flourish, but it had aban-
don, 1952. A sound survey with three chapters on Alexan-
doned orthodoxy in its espousal of an open electicism.
der’s age and the sequel.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HENOTHEISM
3913
Vermaseren, Maarten J. Cybele and Attis: The Myth and the Cult.
Müller, 1896, p. 163). Müller maintained that this henothe-
Translated by A. M. H. Lemmers. London, 1977. A distin-
istic phase “tended to become a belief in one God, presiding
guished Dutch scholar traces the impact of these cults of Asia
over the other no longer supreme gods—polytheism; or a be-
Minor on the Greco-Roman world.
lief in one god, excluding the very possibility of other gods—
Walbank, F. W. The Hellenistic World. Atlantic Highlands, N.J.,
monotheism” (Müller, 1879, p. 362; cf. Müller, 1896,
1981. Scholarly and readable.
p. 163). In comparing monotheism and henotheism, Müller
Witt, R. E. Isis in the Graeco-Roman World. London, 1971. A
made the following observation: “There is one kind of one-
comprehensive and well-illustrated study.
ness which does not exclude the idea of plurality,” i.e., heno-
J. G
theism, and “there is another which does” exclude the idea
WYN GRIFFITHS (1987)
of plurality, i.e., monotheism (Müller, 1881, p. 415).
The association of henotheism with the idea of “rudi-
mentary monotheism,” however, never completely disap-
HENOTHEISM, a term coined from the Greek henos
peared from the minds of some scholars of religion. Thus,
(“one”) and theos (“god”), was for some time used by F. Max
henotheism was sometimes confused with monolatry, a term
Müller interchangeably with kathenotheism, derived from the
best applied to the religion of ancient Israel before it attained
Greek kath Ehena (“one by one”). It was Friedrich Schelling
monotheism, when the existence of gods other than Yahveh
(1775–1854) who first used the word henotheism in his study
was admitted but their worship was strictly forbidden (see
of mythology to indicate “relative, rudimentary monothe-
Ex. 22:20). Friedrich Heiler (1961, p. 323) and others have
ism,” which he supposed was the idea of God in prehistoric
pointed out, however, that monolatry—the exclusive wor-
consciousness (Philosophie der Mythologie und der Offen-
ship of a god by a certain social group—clearly differs from
barung, 1842). F. Max Müller (1823–1900), in his attempt
the idea of henotheism expounded by Müller.
at “tracing the origin and first growth of human thought,”
Müller’s idea of henotheism has a speculative dimension
employed the word as a technical term of Religionswissen-
that deals with how a divine reality reveals itself to humans.
schaft to designate a peculiar form of polytheism that in his
He recognized in the Vedas a “breaking forth” of the aware-
view was characteristic of the description of the gods in the
ness “that all the deities are but different names of one and
R:gveda. He observed that in the Vedas—the oldest Indian
the same godhead” and that “the primitive intuition of the
religious literature—although deities are invoked by a variety
godhead”—“the main-spring of all later religion”—“is nei-
of names, such as Agni (“fire”), Su¯rya (“the sun”), Us:as
ther monotheistic nor polytheistic. . . . God is God” (Mül-
(“dawn”), Maruts (“the storms”), Pr:thv¯ı (“the earth”), A¯p
ler, 1881, pp. 136–137 and 414–415). Thus, he asserted that
(“the waters”), and Nad¯ı (“the rivers”), that are closely con-
“the unity of the Divine” was at the basis of the henotheistic
nected with nature, as well as by proper names, such as
mode of expression (Müller, 1896, p. 144). From his study
Varun:a, Mitra, Indra, and Aditi, “to the mind of the suppli-
of the Vedas Müller concluded that “we learn a lesson—the
cant” each god is “at the time a real divinity, supreme and
lesson how gods were made and unmade—how the Beyond
absolute,” and not limited by the powers of any other gods.
or the Infinite was named by different names in order to
Müller called this “belief in single gods” henotheism or ka-
bring it near to the mind of [hu]man [beings], to make it
thenotheism,“ a worship of one god after another” (Müller,
for a time comprehensible, until, when name after name had
1881, pp. 136–137). In his lectures of 1882 he noted that
proved of no avail, a nameless God was felt to answer best
rather than the term kathenotheism the “shorter term henothe-
the restless cravings of the human heart” (Müller, 1896,
ism has found more general acceptance, as conveying more
p. 163). However, if one disregards these metaphysical asser-
definitely the opposition between monotheism, the worship
tions, Müller’s idea of henotheism appears to be yet another
of only one God, and henotheism, the worship of single gods”
term that designates a certain plurality of gods, entailing a
(Müller, 1896, pp. 146–147).
possible confusion with such terms as monotheism, polythe-
Müller distinguished this Vedic plurality of gods from
ism, and monolatry.
the idea of polytheism, which, as he pointed out, derived
The idea of henotheism proposed by Müller is twofold:
chiefly from Greek and Roman antiquity and designated “a
(1) it designates a certain developmental stage within a reli-
certain more or less organized system of gods, different in
gion preceding polytheism or monotheism, and (2) a unique,
power and rank, and all subordinate to a supreme God, a
qualitative “kairological moment,” or aspect, of human reli-
Zeus or Jupiter” (Müller, 1896, pp. 145–146).
gious awareness itself (cf. Panikkar, p. 266). Heiler, for one,
Partly in opposition to the thesis of Ernest Renan
employs the word henotheism for its psychological signifi-
(1823–1892) that monotheism was a unique tendency of the
cance, equating it with “subjective theism,” which in his view
Semitic race, Müller suggested that a “henotheistic phase”
paves a way to objective monotheism (Heiler, p. 460). The
was “a peculiar phase of religion” that was found probably
primordial religious intuition that attracted Müller’s atten-
everywhere preceding either polytheism or monotheism
tion may be compared with one of the two modes of think-
(Müller, 1873, p. 142; cf. Müller, 1881, p. 414). He asserted
ing Heidegger identifies, namely with the besinnliches De-
that such a phase existed not only in India but in Greece,
nken, or meditative thinking, as opposed to rechnendes
Italy, Germany, and elsewhere (Müller, 1879, p. 275; cf.
Denken, or calculative thinking.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3914
HERA
BIBLIOGRAPHY
Hera’s position as the wife of Zeus most likely goes back
For general information on henotheism see D. W. Holsten’s arti-
to her prominent position in Argos. Even though her name
cle “Henotheismus,” in Die Religion in Geschichte und Gegen-
eventually became limited to the city on the Peloponnese, it
wart, 3d ed., vol. 3 (Tübingen, 1959). See Robert Mackin-
must have been her position as city goddess of one of the
tosh’s article “Monolatry and Henotheism,” in the
most powerful Mycenaean cities that made it possible for her
Encyclopaedia of Religion and Ethics, edited by James Has-
tings, vol. 8 (Edinburgh, 1915), for an excellent account of
to supplant Zeus’s first wife.
the history of henotheism and monolatry as technical terms.
THE EDUCATION OF GIRLS AND MARRIAGE. The education
Raffaele Pettazzoni gives a concise historical background for
of girls was the sphere of action of several Greek divinities,
the word henotheism when discussing primitive monotheism
including Apollo, Artemis, Aphrodite, and Hera. In the case
in his Essays on the History of Religions (Leiden, 1967); therein
of the latter, it is striking that virginity is often emphasized.
Pettazzoni assesses the influence of Schelling on F. Max Mül-
Hera herself was worshipped as Parthenos (Virgin) in Her-
ler. For Max Müller’s writings, see Chips from a German
mione and Arcadian Stymphalos. The island of Samos was
Workshop, vols. 1 and 2 (1867–1875; New York, 1895–
once called Parthenie (the Maidenly), and the river Imbrasos
1898). Müller’s India: What Can It Teach Us? (London,
1896) contains lectures he delivered in 1882 at the Universi-
by the sanctuary was also called Parthenios. Yet this pre-
ty of Cambridge. His Introduction to the Science of Religion
matrimonial association of Hera is only dimly visible.
(London, 1873) includes the “Lectures on the Science of Re-
On the other hand, Hera’s position as the goddess of
ligion.” Müller’s article “Henotheism, Polytheism, Mono-
marriage is clear. As Hera Teleia, she “keeps the keys of wed-
theism, Atheism” is found in his Lectures on the Origin and
lock,” as Aristophanes expressed it in his Thesmophoriazusae
Growth of Religion (New York, 1879). Selected Essays on Lan-
guage, Mythology and Religion, vol. 2 (1881; New York,
(973). The epithet was already explained in antiquity by a
1978), contains many of Müller’s essays from his Chips from
commentator on line 974 of the play: “Hera Teleia and Zeus
a German Workshop, including “Lecture on the Vedas” and
Teleios were honored in wedding ceremonies, since they
“Semitic Monotheism.” For later interpretations of henothe-
were in charge of weddings.” As Teleia, Hera was the “ful-
ism, see, for example, Theophile J. Meek’s Hebrew Origins
filled” woman par excellence because the Greeks saw the
(1936; New York, 1960) and Friedrich Heiler’s Erscheinungs-
wedding as a girl’s life’s fulfillment. The relation of the epi-
formen und Wesen der Religion (Stuttgart, 1961). On the
thet to the wedding also clearly appears from her temple at
phrase “kairological moment,” see Raimon (var. Raimundo)
Plataea. Here, Hera had two statues and two epithets, Nym-
Panikkar’s chapter “Silence and the Word,” in Myth, Faith
pheuomenê (she who is led as bride during the wedding day),
and Hermeneutics (New York, 1979). A good discussion of
and Teleia (the fulfilled). The wedding of Zeus and Hera was
Martin Heidegger’s contrasted modes of thinking is found
in his Discourse on Thinking (New York, 1966).
considered to be so important that several Greek communi-
ties—such as various cities on Euboea or Cretan Knossos—
MICHIKO YUSA (1987 AND 2005)
claimed it took place in their area. The inhabitants of these
cities would imitate the wedding near a river at the annual
sacrificial festival. The Athenians, as well, remembered the
HERA was the wife of Zeus and, in literature, the most
marriage of Zeus and Hera in the month Gamelion, in late
prominent Greek goddess, although her cultic importance
winter. Husbands even celebrated the central mystery of this
was limited. Hera was an ancient goddess, whose name is al-
festival, the Hieros Gamos, or Theogamia, by (rather unusual-
ready attested in Mycenaean times. Etymologically, a rela-
ly) staying home and spending an evening with their wives.
tion with the word heros seems probable. As the latter most
likely means something like “Lord,” Hera’s name may be in-
Although Plutarch (fragment 157, Sandbach) mentions
terpreted as “Lady,” even if certainty is not attainable.
that in sacrifices to Hera Gamelia the gall was not offered
“so that married life might be without bitterness,” the god-
Zeus’s first wife was called Dione, who survived only at
dess’s unruly and jealous behavior is often alluded to in the
the margins of the Greek world, yet Hera had already sup-
Iliad. Hera was also anything but a good mother: in a fit of
planted her in Mycenaean times—a Linear-B tablet of Pylos
rage she hurled her son Hephaistos, the divine smith, from
mentions the combination “Zeus, Hera, Drimios, the son of
Olympus into the sea. The close connection between Hera
Zeus.” The role of Hera in Homer’s Iliad, the oldest and
and Hephaistos is striking and may have something to do
most detailed source in the Archaic Age, is threefold. First,
with the position of the goddess outside the centers of civili-
she is the wedded wife of Zeus (she was also his eldest sister).
zation, just as the smith is at the margin of the civilized and
Hera sits “on the golden throne” and holds the scepter, and
political community.
there is no doubt about her importance. Second, the picture
of the divinely consummated marriage with Zeus made Hera
The negative picture of Hera in Greek mythology can
into a goddess of weddings and marriage throughout Greece.
hardly be separated from her role in Greek cult, where both
Third, she appears as the jealous wife par excellence, whose
her rituals and the location of her sanctuaries point to a posi-
unruly behavior is a source of continuous concern for the su-
tion away from the central social order. In some rituals, this
preme god. He beats her, threatens her with violence, and
jealousy was actually closely connected to the ritual. In Boeo-
even penalizes her by hanging her in the sky with anvils on
tian Plataea, every ten years a great festival took place—the
her feet (Iliad 1.566–7, 588; 8.403–5; 16.18–31).
Daidala—of which the meaning is not at all clear. The myth
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HERA
3915
told how Hera had withdrawn to neighboring Euboea out
appear at a later time. Given the prominence of the shield
of jealousy, but returned when Zeus dressed up a wooden
in Argos, it should be noted that many miniature shields
doll as his bride and pretended to marry her. The ritual
were found in the sanctuary—sure signs of male initiation.
ended with the ceremonial burning of the doll, the sacrificial
As in Argos, Hera was apparently the goddess who supervised
meat, and the wooden altar (a variant of the widespread fire
the coming of age of the new generation of citizens, both
sacrifices that always carry a slightly unpleasant meaning).
male and female.
HERA’S CULT ON ARGOS. Hera’s cult was especially promi-
The most important festival of Hera was the Tonaia.
nent in Argos and on Samos. In Argos, Hera’s sanctuary—
The myth related the capture of her statue by Etruscan pi-
the Heraion—can be traced from about 800 BCE. It was situ-
rates and its subsequent recovery. The story reflects the leav-
ated about eighteen kilometers from Argos and five kilome-
ing of the temple by the statue. During the festival the statue
ters from Mycenae, and does not seem to have gained
was most likely exhibited near the holy agnus castus—a nega-
importance before the last third of the eighth century BCE.
tive tree in ancient Greece—where it would have been
It it is only from around 700 BCE that traces of a stone altar
washed and redressed. Coins from the Roman period show
are discovered. The temple proper seems to have been built
that Hera’s statue was tethered; such tethered statues indicat-
only a few decades later, and it perished in a fire in 423 BCE.
ed that the relevant divinity was connected with the dissolu-
Hera’s Argive cult was well-known for its priestesses, who
tion of the social order. It is unfortunate, however, that the
seem to have served her for the entirety of their lives—a rath-
exact position of the festival in the Samian year is not known,
er unusual feat in ancient Greece. The presence of innumera-
and so its precise function remains obscure.
ble fibulae shows the importance of the cult for the life of
HERA’S CULT IN SOUTHERN ITALY. The goddess Hera was
the women, who dedicated their clothes at this sanctuary.
also popular in Southern Italy, where excavations in Foce del
The main festival, which was called Heraia and Hecatom-
Sele, at the estuary of the river Sele, have revealed an impor-
baia, was celebrated in the month Panamos, the first month
tant sixth-century sanctuary of Hera. Many objects from the
of the Argive year. The festival thus falls within the category
life of women have been found there, such as weights for
of New Year festivals.
weaving and perfume bottles. This female character is also
During the festival there was a procession from the city
evident in Croton, where, because of Pythagoras, the women
to the sanctuary. The procession included Hera’s priestess—
of Croton no longer dared wear expensive clothes; instead,
who traveled the distance in an old-fashioned oxcart—as well
they dedicated them in the most prominent sanctuary of the
as, most likely, the maidens who had woven the new peplos
town, the temple of Hera Lacinia.
for Hera, whose presentation formed part of the festival.
Excavations have shown that this sanctuary in Foca del
However, as an ancient collection of Greek proverbs says,
Sele received dedications from throughout the Greek world
“those in Argos who had kept their boyhood pure and blame-
and therefore must have been held in high standing. There
less took up a sacred shield and led the procession: this was
is litle information, however, about Hera’s sixth-century
their honor according to ancient tradition” (Plutarch, 1.44).
temple in Paestum/Posidonia, although the miniature arms
Evidently, the festival marked the last stage of the initiation,
found once again seem to point into the direction of initia-
during which the new male citizens showed themselves to the
tion. In her sanctuary in Santa Venera, at the border of the
community.
urban area of Paestum, Hera was also worshipped (along
The initiatory function of Hera also appears from the
with Iovia, a kind of Venus of the Italic Lucani). Though
many votives that represent a kourotrophic goddess. On the
scarce, the data available points to Hera as the goddess who
island of Lesbos, beauty contests took place in front of Hera’s
presided over both male and female maturation, as well as
temple, and similar contests in other Greek communities
the wedding. In ways specific to local customs, this must
demonstrate that these took place just before the formal
have been Hera’s function throughout Greece.
adulthood of Greek girls. Such initiations are virtually always
the prerogative of the upper class; the many dedications of
SEE ALSO Artemis; Dionysos; Divination, article on Greek
figurines of Amazons on horses also seem to point to the
and Roman Divination; Family; Goddess Worship, over-
horse-riding aristocracy. Dedications from central Italy in
view article; Hesiod; Homer; Juno; Marriage; Zeus.
Hera’s sanctuary show the great radius of Hera’s Argive cult.
H
BIBLIOGRAPHY
ERA’S CULT ON SAMOS. The second center of Hera’s cult
was Samos. Here the Heraion was situated about eight kilo-
The older collections of material in Lewis Richard Farnell’s The
meters west of the city of Samos. The first temple was built
Cults of the Greek States, vol. I (Oxford, 1896) pp. 179–257,
as well as in O. Gruppe’s Griechische Mythologie und Religion-
in the eighth century BCE, and the final, impressive temple
sgeschichte, 2 vols. (Munich, 1906) II.1121–1137, keep their
by Polycrates, the powerful ruler of independent Samos be-
value. Karl Kerényi, Zeus und Hera: Urbild des Vaters, des
fore the island was conquered by the Persians, was built at
Gatten und der Frau (Leiden, Netherlands, 1972); Walter
the end of the sixth century BCE. The oldest stage of Hera’s
Pötscher, Hera: Eine Strukturanalyse im Vergleich mit Athena
cult must have been dominated by women; the typical male
(Dramstadt, Germany, 1987); Joan V. O’Brien, The Trans-
features—such as the dedications of miniature boats—
formation of Hera: A Study in Ritual, Hero, and 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
3916
HERAKLES
in the Iliad (Lanham, Md., 1993); and Reinhard Häussler’s
were exploited in late classical drama; the preserved adapta-
Hera und Juno: Wandlungen und Beharrung einer Göttin
tion of a Greek tragedy for the Roman comic stage, Plautus’s
(Stuttgart, Germany, 1995), are not that helpful. The best
Amphitruo (after 200 BCE), became the first in a long series
modern synthesis is Walter Burkert’s Greek Religion (Oxford,
of early plays in European literature.
1985), 131–35; 400–401, which has to be supplemented on
the connection between Hera and initiation by Claude
Zeus’s ever-jealous wife Hera pursued the unborn baby.
Calame, Choruses of Young Women in Ancient Greece: Their
When, immediately before Herakles’ birth, Zeus declared
Morphology, Religious Role, and Social Functions (Lanham,
that an offspring of Perseus would become king of Mycenae,
England, 1997), 113–23. Héra: Images, Espaces, Cultes, ed-
Hera hindered Herakles’ birth in favor of that of another off-
ited by J. de La Genière (Naples, 1997), is an especially use-
spring, Eurystheus, whom Herakles would have to serve for
ful update of the archaeological evidence.
many years. Herakles also had a twin half-brother, Iphicles,
JAN N. BREMMER (2005)
the son of Amphitryon, and this brother’s son, Iolaos, be-
came Herakles’ devoted friend and companion.
In the service of Eurystheus, Herakles performed twelve
HERAKLES,
labors. The series begins in the Peloponnesian neighborhood
the son of Zeus and the Theban queen Alc-
of Argos, the Iron Age successor of the Bronze Age site Myce-
mene, is the most prominent Greek hero, despite the fact
nae. He killed the lion of Nemea (near Argos), a monstrous
that no poem on his labors is preserved—numerous images,
beast with a skin that weapons could not penetrate. Herakles
several preserved tragedies, and countless allusions to his
strangled him and turned the hide into his signal armor.
myths and cults in Greek and Latin literature attest to his
With Iolaos’s help, he killed the Hydra of Lerna (another
importance. But although he has a mortal mother and dies
town near Argos), a snakelike monster whose many heads re-
himself, he is no typical hero. He lacks the close connection
grew as soon as he had cut off one; he used the Hydra’s poi-
with a single city, or with a grave as the focus of his cult. In-
son on the tips of his arrowheads. He caught the Cerynthian
stead, his mythology connects him especially with the cities
hind, a female deer with golden antlers that was living in Ar-
of Thebes and Argos, and his cult is panhellenic and makes
cadia, and the Erymanthean boar, another Arcadian wild ani-
him appear much more like a god than a hero. One can un-
mal. He shot the man-eating birds that were living in the
derstand why the poet Pindar (c. 522–438 BCE) blurred the
swamps of Stymphalos in Arcadia, and he cleaned the stables
categories and called him a “hero god,” (h¯ero¯s theos; Nemean
of Augias, king of Elis, in southwestern Peloponnese.
Ode 3.22).
NAME. Ancient authors, as well as some modern scholars,
The other six adventures expand the geographical
connected his name with that of the goddess Hera. His name
frame. To the south of the Peloponnese, he caught the bull
takes the very common form of Greek personal names that
that Poseidon had given as a present to the Cretan king
are easily understandable as composite nouns: Hera-kles
Minos and that later was devastating the island; in the north,
means “the glory of Hera,” as Dio-kles is “the glory of Zeus,”
he tamed the man-eating wild horses of the Thracian king
or Patro-klos “He who brings glory to his father.” In mythol-
Diomedes. Turning east, he asked for and received the belt
ogy, however, such a positive connection with Hera does not
of the Amazon queen Hippolyte; in the far west, he abducted
exist. He is, after all, the illegitimate son of her husband and
the cattle of Geryoneus on an island on the western shore
a local queen, and in Homeric poetry this turned Hera into
of the Oceanus, and he received, with the help of the giant
Herakles’ most bitter enemy (see, for example, Iliad 15.25–
Atlas, the apples of the Hesperides (“evening girls”); and fi-
28). Only after his elevation into Olympus did Hera accept
nally, he descended into the underworld and brought back
Herakles as an adoptive son. The ancient explanation—that
the three-headed hound of hell, Cerberus. This cycle was
it was none other than the constant persecution by Hera that
fully established before 460 BCE, when it was represented on
set Herakles on his steady course to glory (see Pindar, Frag-
the temple of Zeus in Olympia.
ment 291)—seems rather farfetched, as is the claim that his
Other exploits include his service, in female dress, at the
first name had been Alcides (“strongman”). In reality, the
court of queen Omphale in Lydia; his fight with death to
name Alcides designates Herakles as the grandson of Alkaios,
gain back Alcestis, the wife of his host Admetus; the found-
father of Herakles’ stepfather, Amphitryon. But modern ex-
ing of the Olympian games; his part in a first Trojan war,
planations are not much better; the repeated effort to under-
which preceded the more famous Greek expedition and in
stand h¯eo¯s as “young man” rests on no firm linguistic
which Herakles punished the treacherous Trojan king
grounds, although Herakles was, among other things, a pro-
Laomedon, and a short participation in the voyage of the Ar-
tector of young warriors.
gonauts; an often-represented brawl with Apollo over the
MYTHOLOGY. Zeus fell in love with the beautiful queen of
Delphian tripod; and the shooting of the centaur Nessus
Thebes, Alcmene. When her husband Amphitryon (grand-
when the beast tried to rape Herakles’ wife Deianira (with
son of Zeus’s son Perseus) was away on a military campaign,
whom Herakles had a son, Hyllus). When Herakles years
Zeus took Amphitryon’s shape and seduced her; in order to
later abducted young Iole, with whom he had fallen in love,
extend his pleasures, he interrupted the sun’s course for three
Deianira used the advice of Nessus to impregnate a shirt with
days. The complications that resulted from Zeus’s disguise
Nessus’s blood—which was tainted with the Hydra’s poi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HERAKLES
3917
son—to use as a love charm. The shirt caused so much pain
In private cult, Herakles was addressed as a powerful
to Herakles that he burned himself alive on top of Mount
protector; a very common epithet is alexikakos (“He Who
Oeta. After his death, he was received among the Olympian
Protects from Evil”). Like other private protectors such as
gods and married to Hebe (“youth”).
Isis, he received dedications after he manifested himself in
a dream. In Athens he was identified with the healing hero
The story of Herakles, the mighty, albeit somewhat
Pancrates (“All-powerful”), who had a small sanctuary in the
flawed, mortal who subjects himself to a much weaker per-
city. Throughout antiquity, the entrance of houses was
son, cleanses the earth from frightful monsters, and finally
guarded either by a symbol of Herakles, such as his club, or
is rewarded by being made a god, attracted a moralistic read-
a verse written on the lintel: “The son of Zeus Herakles kal-
ing. In the allegorical interpretation of Stoic philosophers,
linikos is living here: no evil may enter.”
Herakles became the exemplar of the ideal Stoic sage whose
labor and dedication earns him a godlike position. In royal
In the course of the Greek colonization of southern Italy
ideology, from Alexander the Great (356–323 BCE) to the
during the eighth and seventh centuries BCE, his cult also
emperor Charles V (1500–1558), Herakles more specifically
came to Italy, and especially to Rome, where he was wor-
became the embodiment of royal virtues. The personal
shiped as Hercules (a form of his name that presumably de-
motto of Charles V depicts the pillars of Herakles at the
veloped through the Etruscan name Hercle). In Rome he had
Strait of Gibraltar with the proud caption plus ultra (more
an open-air altar, the Ara Maxima (Very Large Altar) near
beyond)—thus the ruler whose empire included the Ameri-
the spot where, in archaic times, the Tiber could be traversed
cas claimed to have outdone the Greek hero. The myth of
in a ford; the cult dates back to the Archaic Age, as does the
Herakles at the crossroads, created in the fifth century BCE
pediment sculpture of a temple on the nearby Forum Boari-
by Prodicus, confronts the young hero with Dame Virtue
um (Cattle Market) that represents his introduction into
and Dame Lust and makes him opt for the former, despite
Olympus. His connection with cattle and its transhumance
the latter’s many promises; the story survives well into the
through the mountains of Italy seem to be old and constant;
European Renaissance and the baroque age.
the connection is also the backdrop to the Greek myth of
Geryoneus and its Roman continuation, the killing of the
CULTS. In most Greek cities, Herakles had cult followers, al-
local Roman cattle-rustling monster Cacus. Throughout
though he had very few major sanctuaries. An open-air sanc-
Italy, women were excluded from Herakles’ cult (which in
tuary on top of Mount Oeta, where myth placed the pyre
Greece was already concentrating on males). Other cultic
in which Herakles burned himself, is archaeologically attest-
roles are less well attested; somewhat by chance we learn that
ed as early as the Archaic Age, and it was the site of an athletic
Herakles possessed a lot oracle in the Roman port city of
contest. It is the only sanctuary of Herakles that served more
Ostia.
than one city. He also had a major city sanctuary on the is-
I
land of Thasos. Its archaeological exploration points to the
DENTIFICATIONS. Herakles is identified with a wide variety
of local gods, such as the Cilician Santas/Sandon, whose cult
importance of ritual (by definition, all-male) banquets in
centers on an annual fire ritual reminiscent of Herakles’ self-
Herakles’ cult (myth consistently represented him as an avid
destruction on Mount Oeta. Most important was the identi-
eater and even more avid drinker and womanizer). He was
fication with the Phoenician Melqart, who has his main
among the foremost divine protectors of the city—a relief on
sanctuary in Tyre and another important cult on the penin-
a city gate represents him as an archer poised to shoot to-
sula of Gades (Cádiz) in southwestern Spain. The Greek his-
wards any evil that might approach. In many other cities, es-
torian Herodotos claimed that some Greek cults of Herakles
pecially of the Greek East, he is connected with the military
derived from Tyre’s Melqart, and a few modern scholars fol-
protection of the city and with the able-bodied young male
lowed this theory and extended it to the cult of the Roman
citizens who constituted the city’s army; this connection is
Ara Maxima, but the evidence does not seem to bear them
responsible for Herakles’ epithet kallínikos (He of the Beauti-
out.
ful Victory). In Athens, he presided over the coming-of-age
rituals of young men, who offered him a large libation of
SEE ALSO Apotheosis; Cattle; Dragons; Fire; Heroes; Mel-
wine.
qart; Monsters; Ninurta; Quests; Reshef; Vr:tra.
The birth story of Herakles, with the nightly visit of the
supreme god to the ruling king’s wife, derives from Egyptian
BIBLIOGRAPHY
royal ideology, although there are no other traces of such a
Bader, Françoise. “De la préhistoire à l’idéologie tripartite. Les
claim in historical Thebes. The Dorian states of the Pelopon-
travaux d’Héraclès.” In D’Héraklès à Poséidon. Mythologie et
nese, especially the Spartan royal lineages, regarded him as
protohistoire, edited by Raymond Bloch, pp. 9–124. Paris,
their divine ancestor whose son, Hyllos, was the ancestor of
1985.
one of the three traditional Doric tribes. Other aristocratic
Bergquist, Birgitta. Heracles on Thasos. The Archaeological, Liter-
and royal families claimed him as their ancestor as well, such
ary, and Epigraphical Evidence for his Sanctuary, Status and
as the dynasty of the Lydian king Croesus, or the Macedo-
Cult Reconsidered. Uppsala, 1973.
nian royal family. Such claims inevitably involved a cult
Bonnet, Corinne. Melqart. Cultes et mythes de l’Héraclès tyrien en
whose details, however, mostly elude us.
Méditerrannée. Leuven, Belgium, 1988.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3918
HERDER, JOHANN GOTTFRIED
Bonnet, Corinne, ed. Héraclès d’une rive à l’autre de la Méditerran-
das Studium der Theologie betreffend, Fünfter Theil (Letters
née. Bilan et perspectives. Brussels, 1993.
to Theophron; Letters Concerning the Study of Theology, Part
Bonnet, Corinne, Colette Jourdain-Annequin, and Vincienne
V, 1781), Herder states this principle when he says that “the
Pirenne-Delforge, eds. Le béstiaire d’Héraclès. 3e rencontre
entire purpose of Christianity is something other than eru-
héracléenne. Liège, Belgium, 1998.
dite exegesis and dogmatism, no matter how invaluable these
Burkert, Walter. “Heracles and the Master of Animals.” In Struc-
might be” (Herder’s Sämmtliche Werke, XI, 194). Given his
ture and History in Greek Mythology and Ritual, edited by
love for literature, Herder extolled the poetic power of the
Walter Burkert, pp. 78–98; 176–187. Berkeley, Calif., 1979.
Bible and, in keeping with his Pietistic heritage, wanted the
Goldman, Hetty. “Sandon and Heracles.” Hesperia. Supplement 8
Bible to speak directly to the individual reader. Living faith,
(1949): 164–174.
according to Herder, defines true orthodoxy, rather than the
Jourdain-Annequin, Colette. Héraclès aux portes du soir. Mythe et
other way around.
histoire. Besançon, France, 1989.
HERDER’S BACKGROUND. Herder was a contemporary of
Kuntz, Mary. “The Prodikean ‘Choice of Herakles.’ A Reshaping
Immanuel Kant (1724–1804) and Johann Georg Hamann
of Myth.” Classical Journal 89 (1994): 163–181.
(1730–1788). Like them he grew up in the province of East
Nilsson, Martin P. “Der Flammentod des Herakles auf dem
Prussia and studied in Königsberg (present-day Kaliningrad),
Oite.” Archiv für Religionswissenschaft 21 (1922): 115–136.
where Kant was his teacher at the university and where Ha-
Panofsky, Erwin. Hercules am Scheideweg und andere antike Bilds-
mann became his friend and private tutor, introducing the
toffe in der neueren Kunst. Leipzig and Berlin, 1930.
young student to English language and literature, especially
John Milton and William Shakespeare. Following a brief pe-
Sparn, Walter. “Hercules Christianus. Mythographie und Theolo-
gie in der frühen Neuzeit.” In Mythographie der frühen
riod of formal university studies (1762–1764), Herder as-
Neuzeit. Ihre Anwendung in den Künsten, edited by Walther
sumed a teaching position at the German secondary school
Killy. Wolfenbütteler Forschungen 7. Wiesbaden, Germany,
in Riga, Latvia, before he was installed in 1767 into the min-
1984.
istry. For the rest of his life he remained in the pastorate. He
Woodford, Susan. “Cults of Heracles in Attica.” In Studies in
served three Lutheran churches, first in Riga (1767–1769),
Honor of George M. A. Hanfmann, edited by David Gordon
then in Bückeburg (1770–1776), and finally in Weimar
Mitten, John Griffiths Pedley, and Jane Ayer Scott,
(1776–1803), interrupted only by a study tour through the
pp. 211–225. Mainz, Germany, 1971.
Netherlands and France in 1769–1770. Those two years of
travel included a memorable voyage of five weeks on the
FRITZ GRAF (2005)
North Sea, which he described in a catalog of new ideas and
study plans published posthumously as Journal meiner Reise
im Jahr 1769 (Journal of my travels in the year 1769, 1846),
HERDER, JOHANN GOTTFRIED (1744–
and a period of extremely vigorous and intense discourse
1803), was a German pastor and theologian, a literary critic,
with a group of young German poets, the Sturm und Drang
and a philosopher of history. The unity underlying Herder’s
circle around Johann Wolfgang von Goethe in Strasbourg.
many and varied academic endeavors, which resulted in a
Goethe, immediately upon his own move to Weimar in
seemingly unending flow of publications, stems from his
1775, used his influence with the court there to secure for
consistently historical approach to the topics he studied. His-
Herder a high ecclesiastical position in that small German
torical awareness sets him apart most noticeably from the
principality. Herder’s fame as a preacher never waned. He
prevalent thought patterns of the ahistorical Enlightenment
fused religiosity with his philosophy of humanism in ways
authors of his time and makes him a pivotal figure in eigh-
that made his sermons easily understood and commonly
teenth-century German intellectual life.
admired.
While Herder’s significance is easily established in such
HERDER’S PHILOSOPHY. Herder’s first major publication,
disciplines as literature and literary criticism, cultural history,
Über die neuere deutsche Literatur, Fragmente (On the new
and philosophy of history or anthropology, it is much more
German literature, fragments, 1766–1767), contains his im-
difficult to define the influence he has exerted through his
portant views on language and expresses his love for idiomat-
many contributions to the development of contemporary re-
ic expressions and inverted word order, qualities he deemed
ligious thought. In part this is due to the fact that Herder’s
essential to poetry. Shakespeare became his model. Shake-
approach often is more that of a sweeping questioner than
speare’s use of Nordic mythology impressed Herder and led
a systematic thinker, and in part this is the case because reli-
him to demand that one must seek to understand the cultural
gious views underlie all of his writings, most clearly his an-
and intellectual environment in which a poet lived before at-
thropological essays. Understanding the human being as
tempting to interpret a given work of literature. The psycho-
made in the image of God was what moved him, not consid-
logical-historical approach became a hallmark of Herder’s
erations of theological orthodoxy. Herder, the forceful critic
criticism, whether he dealt with the poetry of the Hebrew
of Enlightenment rationalism in general, favored an empha-
Scriptures or with Latvian folk songs. In Kritische Wälder
sis on divine revelation in creation and Scripture over dogma
(Critical forests, 1769) Herder disputes G. E. Lessing’s at-
and systematic theology. In his Briefe an Theophron; Briefe,
tempt to establish objective criteria for artistic production.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HERDER, JOHANN GOTTFRIED
3919
Whereas Lessing saw Homer as the world’s greatest poet,
operation with Goethe) to careful study of the natural sci-
Herder considered Homer merely the greatest among the
ences, during his Weimar years he published with increasing
Greeks, claiming instead that individual circumstances, such
frequency works specifically on religion. His book Maran
as national language and ethnic peculiarities, determine ap-
Atha, das Buch von der Zukunft des Herrn (Maran Atha: The
propriate criteria for judgment of works of art.
book of the coming of the Lord, 1779) represents Herder’s
With Über den Ursprung der Sprache (On the origin of
poetic explanation of Revelation, one of the books in the
language, 1771) Herder joined the debate as to whether lan-
Bible that rationalistic theologians found quite unacceptable.
guage was divinely given or a human invention, attempting
He wrote Briefe, das Studium der Theologie betreffend (Letters
to show that there cannot be a satisfactory answer to that
concerning the study of theology, 1780–1781) to serve as a
question because language and human existence are synony-
handbook for students of theology, offering exegetical in-
mous. Herder wrote this essay for a contest sponsored by the
sights into the Old and New Testaments. Herder had be-
Berlin Academy and won the prize. In 1774 Herder was
come much more orthodox during his Bückeburg years, al-
awarded another academy prize with his entry “Auch eine
though questions of dogma never occupied a place of great
Geschichte zur Bildung der Menschheit” (Another philoso-
importance in his scheme of thought. The study Vom Geist
phy of history). Instead of delineating the development of
der Ebräischen Poesie (On the spirit of Hebrew poetry, 1782–
the human race from primitive beginnings to a sophisticated
1783) views the Old Testament as the greatest poetry given
and mature present stage (a practice common among En-
to humankind and therefore as a revelation of the ultimate
lightenment authors), Herder denied such absolute progress
truth. Pietistic influences were in part responsible for this
and looked upon history as a window through which one can
view. Such influences were strong in Herder’s youth and
observe humanity’s progression toward the goal God has es-
were renewed through his conversations and correspondence
tablished for it. He saw no justification for his contempo-
with Countess Maria Eleanora of Schaumberg-Lippe in
raries to consider earlier epochs to be morally, aesthetically,
Bückeburg and the Swiss pastor Johann Kaspar Lavater
or intellectually inferior. In fact, he had praise for the “dark-
(1741–1801), both Pietists. Although Herder in Gott: Einige
ness” of the Middle Ages, during which virtue, honor, and
Gespräche (God: Some conversations, 1787) appears to em-
love were of the utmost importance, and he chastised his own
brace the ideas of Barukh Spinoza (1632–1677), there is
age for lacking in those human qualities. Herder believes that
widespread agreement that he was not a Spinozist because
history is the revelation of God’s plan for mankind; he even-
of his decisive disagreement with the deists. Rather, it is
tually defined his own understanding of this plan more and
agreed that he used Spinoza’s thoughts to clarify his under-
more clearly as the number of his historical investigations
standing of God. Herder saw God as existing in the world,
grew. His works Wie die deutschen Bischöfe Landstände wur-
yet he refused to limit God’s existence to this world. This
den (How the German bishops became an estate of the realm,
was Herder’s method in most of his writings. He reacted crit-
1774) and Ursachen des gesunckenen Geschmacks bei den vers-
ically to what others had written and offered his own in-
chiedenen Völkern da er geblühet (Causes of the decay of taste
sights, yet he rarely presented his ideas in a systematic fash-
in the various nations where it once flourished, 1775) are two
ion. His was the role of a fruitful critic more than that of a
examples of his many historical writings.
builder of a complete worldview. The fact that others have
seized upon his ideas and developed them constitutes his
HERDER’S THEOLOGY Herder’s love for biblical hermeneu-
contribution and his significance.
tics was directed mainly at the Old Testament, in which the
sense of history and the beauty of poetry he found attractive
SEE ALSO Pietism.
are especially in evidence. His Älteste Urkunde des Mensc-
hengeschlechts (The oldest document of the human race,
1774–1776) offers an interpretation of the first few chapters
BIBLIOGRAPHY
of the Bible. Herder, the knowledgeable literary critic, builds
The standard edition of Herder’s works is Herder’s Sämmtliche
a convincing case for an allegorical interpretation of Genesis
Werke, 33 vols., edited by Bernhard Ludwig Suphan, Jakob
Balde, Carl Christian Redliche, Otto Hoffman, and Rein-
3, only to declare that such a reading is insufficient and leads
hold Steig (Berlin, 1877–1913; reprint, Hildesheim, 1967).
merely to superficial moral teachings. Instead, he reads the
A comprehensive and up-to-date analysis in English of Her-
account of the fall as history, maintaining, unlike many eigh-
der’s contribution is Robert Thomas Clark’s Herder, His Life
teenth-century theologians, the truth of original sin as an an-
and Thought (Berkeley, Calif., 1955), regarded as an authori-
thropological fact. His major contribution to the philosophy
tative account of Herder’s far-reaching ideas. Rudolf Haym’s
of history, the famous Ideen zur Philosophie der Geschichte der
Herder nach seinem Leben und seinen Werken, 2 vols. (Berlin,
Menschheit (Ideas for a philosophy of the history of mankind,
1880–1885) deserves and receives continued admiration. A
1784–1791), seeks to establish the purpose of the human
helpful study of Herder’s theological position is Michael F.
race from a Christian metaphysical point of view and to de-
Möller’s Die ersten Freigelassenen der Schöpfung: Das Mensc-
fine that purpose as the practical application of humanitarian
henbild Johann Gottfried Herders im Kontext von Theologie
und Philosophie der Aufklärung (Frankfurt am Main, Germa-
ideals.
ny, 1998). On Herder’s life as a minister of the church, there
While Herder continued to write about many aspects
is useful information in Eva Schmidt, ed., Herder im geistlic-
of the arts and letters and devoted himself (frequently in co-
hen Amt (Leipzig, Germany, 1956); and in Wilhelm-Ludwig
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3920
HERESY: AN OVERVIEW
Federlin’s Vom Nutzen des geistlichen Amtes: Ein Beitrag zur
This brief history of the term, the details of which are
Interpretation und Rezeption Johann Gottfried Herders (Göt-
fascinating but cannot be presented here, shows in archetypal
tingen, Germany, 1982). A detailed summary of Herder’s
fashion the characteristic elements in the Christian under-
hermeneutical work is in Thomas Willi’s Herders Beitrag zum
standing of heresy. This understanding was already present
Verstehen des alten Testaments (Tübingen, Germany, 1971).
in the New Testament and did not have to wait for the com-
FRIEDHELM K. RADANDT (1987 AND 2005)
ing of the later orthodox great church, although because of
the “apostolic” authority the church had acquired in regard
to doctrine, scripture, and episcopal office, the distinction
HERESY
between heresy and orthodoxy came to be more clearly
This entry consists of the following articles:
drawn as the church developed, thus allowing the opposition
AN OVERVIEW
to emerge with full clarity.
CHRISTIAN CONCEPTS
SCHOLARLY THEORIES ABOUT HERESY. The science of reli-
HERESY: AN OVERVIEW
gions borrowed the term heresy from Christian usage as fixed
in canon law and, as a result, has been very much influenced
The term heresy derives from the Greek hairesis. In classical
by the history of the Christian church. The traditional view
Greek this word has a variety of meanings, all based on the
of “orthodoxy” and “heresy” as equivalent to “true” and
verb haireo: “seizure” (of a city), “choice,” “election,” and
“false” was first challenged by Martin Luther in his disputa-
“decision or purposive effort.” This last meaning is the start-
tion with Johannes Eck at Leipzig (1517), where he let him-
ing point for the Hellenistic and Christian use of the term
self be drawn into saying that even councils (of the church)
to mean “doctrine,” “school,” or “received opinion,” empha-
can err, as they did in the case of Jan Hus. Luther and his
sizing the idea of a free decision or free choice of a doctrine
disciples, though themselves branded as heretics by Rome,
or doctrinal authority. The word thus becomes a technical
did not further develop this aspect of their critical revision
term for a philosophical school, a party, or a religious doctri-
of church history. As a result, the opposition of orthodoxy
nal system and its adherents. The term is applied to Stoics,
and heresy reappeared within Protestantism itself (the termi-
Pythagoreans, Sadducees, Essenes, Pharisees, and Christians
nology used by the early church in dealing with heretics
(see Acts 5:17, 24:5, 24:14, 26:5, 28:22). Neither in Greek
served as justification). Only after the appalling experience
nor in Hellenistic Jewish usage does the word have a nega-
of the seventeenth-century religious wars were minds ready
tive, derogatory sense; it is an entirely value-free designation.
for another view of the matter.
This situation changes with dramatic suddenness, how-
ever, with the rise of Christian literature. The New Testa-
In his Unparteiische Kirchen- und Ketzerhistorie von An-
ment already uses hairesis in a negative sense (see 1 Cor.
fang des Neuen Testaments bis 1688 (Impartial History of the
11:19, Gal. 5:20, 2 Pt. 2:1); the word therefore conveys sus-
Church and Heresy from the Beginning of the New Testa-
picion, according to Heinrich Schlier. The semantic develop-
ment to 1688, published in 1699), Gottfried Arnold (1666–
ment in the direction of “sect, division, erroneous teaching”
1714), a German Pietist theologian, attempted to show that
that is thus initiated continues in the early church; hairesis
Christian truth is to be found among heretics, schismatics,
becomes a technical term for “heresy” and is applied primari-
and sectarians (mystics), and not in the great church itself
ly to the gnostics but also to Greek and Jewish “sects.” (The
or in orthodoxy. Although Arnold simply offered a kind of
older meaning of “doctrinal opinion, received view” is in-
inverted church history in which heresy, especially the views
flected, not completely but in large measure, in the direction
of the mystics, and not orthodoxy was given the seal of ap-
of “erroneous teaching, false belief.”) As Schlier says, “Hence
proval (by “impartial” Arnold meant “nonconfessional”), his
the concept does not owe its meaning to the development
book exercised an important and mellowing influence and
of an orthodoxy. The basis of the Christian concept of haire-
blazed a trail for the ensuing period. Among his successors
sis is to be found in the new situation created by the intro-
were J. L. von Mosheim (Ketzergeschichte, 1746–1748),
duction of the christian ekklesia. Ekklesia and hairesis are ma-
C. W. F. Walch (Historie der Ketzereien, 1762–1785),
terial opposites” (Schlier, 1964, vol. 1, pp. 182–183).
F. C. Baur (Die christliche Gnosis, 1835; Lehrbuch der
christlichen Dogmengeschichte, 1847, 1858; Das Christentum
Despite this, the concept of heresy acquired sharp defi-
und die christliche Kirche der ersten drei Jahrhunderte, 1853,
nition only gradually from the second century on; its distinc-
1963), Adolf von Harnack (Lehrbuch der Dogmengeschichte,
tion from the concept of schism took even longer. Further-
1886, 1909), and Adolf Hilgenfeld (Die Ketzergeschichte des
more, the process here described was not entirely comparable
Urchristentums, 1884).
to the development in Judaism, although there was a strict
temporal parallelism: From the end of the first century haire-
Toward the end of the nineteenth century, the work of
sis and the corresponding Hebrew word min were used in the
the Religionsgeschichtliche Schule paved the way for a still
derogatory sense of “heresy” and were applied to Christians
more penetrating historical view of heresy and orthodoxy,
and Gnostics, among others. One presupposition of this de-
not only because early Christianity came to be understood
velopment was the emergence of rabbinical orthodoxy after
and interpreted in the context of its environment, but also
Jamnia (c. 100).
because the barrier raised by the canon (considered to be 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
HERESY: AN OVERVIEW
3921
New Testament) was dismantled, and the New Testament
to a founder or that did not have their own canonical docu-
was increasingly recognized as presenting only some of the
ment containing a revelation (as, for example, do Zoroastri-
many theological concepts and ideas of early Christianity. It
anism and Judaism) there was no such thing as a “schism”
became increasingly difficult to make a distinction between
or a “heresy” in a strict and specifically religious sense. This
heresy and orthodoxy. The multiplicity of competing state-
is to be accounted for by the fact that in these religions the
ments of faith regarding the “saving event” in Jesus Christ
particular religion or cult of the gods was coextensive with
and its theological explanation showed ever more clearly that
the people as a whole, that is, religion and national commu-
at the beginning of the church’s history neither heresy nor
nity were inseparable. An “apostasy” from the official cult
orthodoxy was sharply defined or patent; both were concepts
binding on all meant a withdrawal from the nation; in other
developed later.
words, apostasy brought exclusion from the civic community
(for the Germanic community this meant “outlawry”). Fur-
This view of the matter has been presented most notably
thermore, the idea of a binding confession in the sense of a
by Walter Bauer in his well-known book Rechtgläubigkeit
kind of rule or norm of faith was wholly alien to such a na-
und Ketzerei im ältesten Christentum (1934; Orthodoxy and
tional or popular religion. As a result, divergent views on, for
Heresy in Earliest Christianity, Eng. trans. of 2d ed., 1971).
example, the nature of the gods or similar subjects did not
A critical study of the early sources for the history of Chris-
immediately lead to a break with tradition and thus to divi-
tianity in Egypt, Syria, Asia Minor, and Greece shows that
sions. Popular religions were therefore essentially tolerant
in these ancient Christian centers the Gnosticism later
and as long as there was no attack on the central cultic life
judged to be heresy was evidently regarded as Christianity.
showed themselves liberal toward the cults of other gods.
An orthodoxy came into being as the result of a lengthy his-
torical and theological process. From a confrontation with
For illustration of this spirit one need only recall the in-
other doctrines and practices something emerged that was to
terpretatio of foreign gods, a tested means of adapting and
be regarded as the orthodox doctrine and practice: a canon,
of establishing equivalences. Communities or associations
an episcopal office that drew its legitimacy from succession
were of course to be found within popular religions, but they
to the apostles (who were subsequently promoted to be the
were for the most part simply specific manifestations of re-
founders of the principal episcopal sees), baptism, imposition
ligio-social life, as, for example, the mysteries based on the
of hands, and eucharist.
ancient cults of the gods. There was no place for “orthodoxy”
and “heresy” in the mysteries; indeed, a person could become
A MORPHOLOGY OF HERESY. This understanding of the ori-
an initiate in several mysteries. Nor do the groups and associ-
gin of heresy and orthodoxy derived from the history of the
ations found in the religions of illiterate tribes form an excep-
Christian church is to a great extent valid for the history of
tion to this rule. When there are no fixed norms set down
religions. Bauer’s thesis is therefore important also for the
in the doctrine of an exclusive community there is no room
general study of religions. To that extent the unreflective,
for “heresy.”
traditional concept of heresy is no longer applicable today;
it must yield its place to the historical insight that heresy and
In this world of national and tribal religions there was,
orthodoxy are relative terms for religio-historical processes of
however, an area that served as a very sensitive touchstone
quite different kinds. In any case the history of religions has
of orthodoxy in a broad sense of the term: the area of cult
no room for a theological and dogmatic judgment of these
or worship. Here there was indeed the basis for a parting of
processes. It uses the concepts as purely historical categories
the ways. It can be said that in a national or popular religion
or, better, as umbrella terms that make it possible to manage,
heresies and schisms in the narrow sense did not arise, be-
in some degree, the multiplicity of contents presented by the
cause the necessary presupposition was lacking, but that on
history of religions. The history of religions cannot indeed
the other hand an individual could bring about a reordering,
bring about a revision of historical writing that would discard
restructuring, or reformation, which then led to the found-
concepts that bear the mark of history. It can, however, exert
ing of an entirely new religion or to a new cult. The occasion
a very healthy influence on the discussion of this subject by
for such an innovation was almost always a radical critique
giving a critical presentation of historical events and causes
of the traditional cult and of the sacred tradition closely con-
that have led to oppositions between heresy and orthodoxy,
nected with it. Zarathushtra (Zoroaster), the Buddha, and
which, in turn, have so often had tragic consequences. From
Muh:ammad are the outstanding examples of this phenome-
the standpoint of comparative religion, an understanding
non. In the case of the Buddha, it is true, his community was
of the applicability of the concept of heresy can shed light
initially only one philosophico-ascetical group among others.
on the concept itself.
Also to be mentioned here is the pharaoh Akhenaton
(Amunhotep IV), who failed in his attempt to introduce mo-
Religions in which heresy does not appear. Strictly
nolatry into Egypt.
speaking, it is possible to speak of “heresy,” “schism,” or
“sect” only in connection with a certain type of religion,
There was still another area in national or popular reli-
namely, religions founded by an individual or, as this author
gions in which divisions and formations of schools could
prefers to call them, “confessional religions.” For in all the
arise: the area of philosophy, in Greece or ancient India, for
ancient popular religions that were not explicitly traced back
example. The formation of new philosophical schools repre-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3922
HERESY: AN OVERVIEW
sented an “apostasy,” or deviation from a doctrine; in fact,
part. On the other hand, while the preaching of a founder
the Greco-Christian concepts of “heresy,” “schism,” and
is indeed open to numerous interpretations in matters of de-
“sect” were derived precisely from this area of ancient cultur-
tail, the fact is that once the tradition originating with him
al life. The concepts belong primarily to the philosophical
has been fixed in writing, his teachings as a whole take on
and not the religious tradition. It is remarkable how inge-
a particular shape and form. The result is a certain uniformi-
nious Hinduism has been in reincorporating the “heresies”
ty among all his followers in regard to the basic norms of
that spring from attitudes toward the Vedas. Hinduism is a
doctrine, belief, and behavior.
popular religion (it may be said to be the only Indo-
How heresy develops. In those religions that give rise
European one still in existence) that has a religious authority,
to the development of heresy, a number of stages mark the
namely the Vedas, as its guiding principle. As a result, a dis-
process. Even in the lifetime of a founder there may already
tinction is made between “orthodox” heretics and radical ne-
be disagreements on matters of doctrine or behavior (e.g., be-
gators such as the Jains, Buddhists, and Sikhs. It is clear from
tween the Buddha and Devadatta on questions of asceti-
this that the formation of heresies or schisms is connected
cism). The many-sidedness and occasional lack of clarity in
with an authoritative revelation, whether this takes the form
the founder’s teachings lead, especially after his death, to the
of a canonical document or a person.
formation of groups in the original community (groups that
Religions that give rise to heresy. Turning to religions
initially had more or less equal standing). In the struggle
that have a founder, one finds a radically different situation.
among these groups, one group emerges—often as the result
(These “confessional religions” are not, it should be noted,
of a compromise—that interprets and transmits the found-
identical with “world religions,” and it is better to avoid the
er’s heritage in an “orthodox” way. As a result, a point is
unfortunate term revealed religions, because it has too many
reached at which there can be heresies or the formation of
theological associations.) All of the religions in question—
sects in the strict sense of these terms. (It has been seen in
Judaism, Zoroastrianism, Buddhism, Christianity, Mani-
the case of the Christian concept of heresy that the existence
chaeism, and Islam—lay claim in one way or other to a nor-
of a “church” plays a normative role even before the rise of
mative doctrine. This does not from the outset always take
an “orthodoxy.”)
the form of a fixed confession of faith, but there is at least
It is difficult at times to determine how one particular
a definite conception of faith and doctrine or, better, a cen-
movement is able to establish itself as orthodox. In most cases
tral nucleus of doctrine that is used to separate “true” from
this movement or school preserves the heritage of the found-
“false” and that has taken written form in a sacred canon
er in a balanced and fully satisfactory way. In some cases only
(thus “religions of the Book”). Such doctrines are, for exam-
a rough determination of orthodoxy is reached; the result is
ple, monotheism or Yahvistic henotheism in Israel; the ethi-
the continued existence of groups with equal standing (as in
cal dualism of Zarathushtra; the Buddha’s knowledge and
early Indian Buddhism and the later Buddhism of East Asia;
practice that lead to deliverance; faith in Jesus of Nazareth
also in earlier Zoroastrianism as opposed to the official Zoro-
as the Christ; the ontological and anticosmic dualism of
astrianism of the Sasanids). Islam too may be mentioned in
Mani; the confession of Alla¯h and of Muh:ammad as his mes-
this context because there is no “church” with an attendant
senger.
hierarchy. The consensus of scholars who act as representa-
tives of the community of believers becomes a regulating
The historian of the “confessional religions” mentioned
agency (the same holds for Judaism). Ideally, however, it is
above is familiar also with their slow maturation from pre-
for the caliph as head of the community (ummah) to suppress
liminary stages and their development of a central doctrinal
heretics (ka¯firs) and innovators (mubtadi E).
core that then became a distinguishing orthodoxy or ortho-
praxis. Orthodoxy is not present from the beginning as a
A tense opposition between “orthodoxy” and “heresy,”
fixed quantity (Islam is no exception here, though it might
“church” and “sect,” marks the entire history of the founded
seem such at first glance). It is always a secondary develop-
religions and is also one of their fruitful major themes. Using
ment, establishing itself in the confrontation of divergent in-
the history of the Christian church as an example, Ernst
terpretations of the founder’s “original teaching.” Walter
Troeltsch has very impressively described this process as one
Bauer’s thesis regarding the slow development of Christian
of conflict between the institutional principle and the princi-
orthodoxy from a number of divergent but, in the beginning,
ple of voluntarism, both of which are contained in the gos-
equally acceptable trends in early Christianity is to a large ex-
pel.
tent valid for the history of religions in general. Orthodoxy
Causes of the rise of heresy. In parallel fashion it is
is in every case an interpretation of the doctrine or message
possible to distinguish the following causes that lead to some
that the founder has left behind and that frequently shows
typical forms of heresy:
a lack of internal harmony, to say nothing of the fact that
it is usually transmitted only in oral form. On the one hand,
1. Dogmatico-theological questions understood as prob-
it is this state of the founder’s teaching that leads to a struggle
lems of doctrinal tradition and their interpretation (personal
among the groups that subsequently form within the reli-
factors may at times play a role here, e.g., the apostasy of dis-
gious community. Local and social differences also play a
ciples). This cause is admittedly seldom found in a pure form
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HERESY: AN OVERVIEW
3923
(as Troeltsch established in connection with Christianity),
the community leader. Or, they are simply a consequence of
but it is a main factor in almost all confessional religions
the overall structure of Islam.
(think of Jewish Christianity or Marcionism). Doctrinal
6. Cultural, anthropological (racial), and ethnic factors
questions supply the ideological backbone of almost all here-
that are evident in Islam, in the history of the Eastern Chris-
sies and sects (e.g., Mazdaism or the Islamic Sh¯ıEah sects);
tian church, and, to some extent, in Buddhism, for example,
every “heresy” seeks doctrinal justification as an expression
are factors that do not, of course, operate in isolation. Also
of its immediate self-consciousness.
to be mentioned under this heading is the continued influ-
2. Questions of lifestyle or, if the reader will, of ethics
ence of past forms of religion, the various forms of “pagan-
and morality (in any case, problems of practice). Frequently
ism,” for instance, which either give the impulse to emerging
these are directly connected with the questions mentioned
heresies and divisions or at least supply them with ideological
above or else are consequences of divergent doctrines. In
material. Striking examples are Gnosticism, Manichaeism in
most instances sects follow a “radical” line and thus tend to
the Iranian world, and the rise of the Nusayriyah and the
extremism (e.g., in questions of asceticism or discipline in re-
Druze in the Islamic world.
ligious orders, as in Buddhism and also in Christianity).
7. The figure of a charismatic leader often plays a role
3. Questions of ritual and cultic observance. Once
that should not be underestimated in the separate or com-
again, these are usually connected with doctrinal problems
bined operation of these various factors. The leader has an
but rarely in “book religions” as distinguished from “cultic
important part in shaping a heresy and its further course.
religions.” Even Christianity, a book religion, has known
The leader can develop from the founder of a sect into the
such cases: The controversy over the date of Easter in the sec-
founder of a new religion.
ond century, for example.
A HISTORICAL EXAMPLE: GNOSTICISM. One of the most
striking examples of a heresy that had its own original world-
4. Social problems, which are closely connected with
view but on encountering another religion (Christianity) be-
moral and ethical problems. Socio-revolutionary movements
came part of its history, is Gnosticism, or Gnosis. In it one
come under this heading. Marxist analysis and more recent
is confronted with a cosmopolitan or ecumenical form of re-
sociological analyses have shed a great deal of light on this
ligion that is largely parasitical in character. By way of lay in-
area, showing that a good many heresies have been the ex-
tellectuals it made its way into the Christian community as
pression of critical situations in society (e.g., medieval hereti-
early as the time of Paul or, to put it differently, it attached
cal movements in Christianity and Islam, or the recent “reli-
itself to certain Christian ideas. The result was a development
gions of imminent salvation” in nonliterate cultures).
that turned a pre-Christian religious movement into a Chris-
Following Troeltsch, English sociologist of religion Bryan R.
tian heresy or, more exactly, a distinct movement or sect in
Wilson has interpreted modern sectary movements within
the church. There can be no doubt of this in view of the dif-
Christianity, especially in the Anglo-American world, as ex-
ferent roles played in Gnostic systems by the spiritual man
pressions specifically of social protest and has once again
who founds a Gnostic sect and by Jesus Christ as authorita-
shown that periods of social unrest are privileged times for
tive bringer of revelation, and in view, too, of Gnosticism’s
the rise of sects. Social tensions and pressures in a society that
very different soteriology. But before the point was reached
is sustained and given its impress by an “established church”
at which Gnosticism became a heresy or sect, it was in many
lead to movements of religious protest directed against state
places the church itself, with its own scriptural tradition and
and church as a single undivided power. In the Middle Ages
exegesis. It is known from numerous Gnostic writings that
such movements appeared as “critical” manifestations within
the Gnostics regarded themselves as the real Christians and
feudalism and asserted themselves most clearly in “heretical”
intended to be the true church. To Celsus, of course, the
movements (Bogomils, Albigensians, Waldensians, and so
Gnostics were Christians. There were groups of Gnostics
on). The important part played by this sort of background
who formed tightly knit churches, as the letters of Paul, the
should not, however, lead one to interpret every religious sect
Gospel of John, and the Nag Hammadi writings show in their
or heresy as a crypto-revolutionary movement. There is good
different ways; even Irenaeus, a father of the church, admits
reason to reject the old ahistorical underestimation of such
this. Gnosticism was therefore not natively an anti-Christian
causes, but one should not replace it with a one-sided overes-
or antiecclesial movement. Its entire exegesis of scripture dis-
timation of them.
proves this interpretation. It was turned into such by the
heresiologists, who, like Paul before them, initiated a process
5. Political causes. These are often closely connected
of elimination to which Gnosticism finally fell victim.
with the social causes described above, because the politico-
religious ambitions of a stratum or class usually also involve
The reaction of Irenaeus provides a good mirror in
social interests that can lead to divisions within an estab-
which to study this development. He equates gnosis with pa-
lished religion of the type being discussed here. In Islam, for
ganism; in fact, he attacks the Gnostics as worse than the pa-
example, the vast majority of Sh¯ıE¯ı and other sects or heresies
gans, a view fully justified from a historical standpoint. He
are religio-political movements that have been sparked by
sees them as imitators of the pagans and yet not as genuine
concrete disputes concerning, for instance, the position of
pagani but rather heretics of the Christian age who disagree
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3924
HERESY: AN OVERVIEW
with the church on the real origin of things and on true
as heretical, of the MuEtazilah who had assimilated the Helle-
Christian doctrine. Unlike Hegesippus and Hippolytus,
nistic heritage. Both Sh¯ıE¯ıs and Sunn¯ıs developed their own
Irenaeus knows nothing of an earlier prehistory of gnosticism
sunnah or religio-legal tradition and claimed justification for
and is familiar only with Simon Magus as founder and first
it in Muh:ammad (in the case of the Sh¯ıEah, by way of EAl¯ı,
heretic. To a great extent, Irenaeus’s view of the matter deter-
Fa¯t:imah, and their sons as the Prophet’s spokesmen). In Zo-
mined the course followed by subsequent heresiologists:
roastrianism the problems of monotheism and dualism,
They knew Gnosticism only as a Christian heresy (a concep-
which had their basis in the theology of Zarathushtra, led al-
tion that only slowly yielded its place to another during the
ternately to orthodoxy and heresy, a process in which the
nineteenth and twentieth centuries).
civil authorities played a part. Thus the religion of the god
of time (Zurwa¯n) was dominant in the later Arsacid and early
It was in the confrontation with gnosticism (including
Sasanid periods as the accepted interpretation of the Zoroas-
Marcionism) that ecclesial orthodoxy took form. Scholars
trian tradition. Later on, however, especially once the Zoro-
have always realized that this process of distinction and sepa-
astrian religion had been outlawed, this form became a here-
ration was of radical importance, but they have not always
sy to be bitterly opposed, and modern Parsis even reject as
understood what the process meant for both sides. It is more
non-Zoroastrian a dualist interpretation of the message of
than a simple coincidence that to a great extent both the
Zarathushtra. Thus it is made repeatedly clear that the rela-
church and the Gnostic “heretics” used the same arguments
tion between heresy and orthodoxy is one of interplay that
in their disputes, especially the arguments from tradition and
does not permit historians of religion to pass any clear value
from the unbroken line of witnesses. Both sides made use of
judgment on the matter; rather they see in this situation clear
the same proofs, as a study of Irenaeus and the texts of the
evidence of the dynamism and vitality of religion.
Christian Gnostics shows; these proofs were those of apostol-
ic authority, scriptural exegesis, and tradition. Tradition pro-
SEE ALSO Apostasy; Cults and Sects; Esotericism; Ortho-
vided the Gnostics with an impregnable fortress: the secret
doxy and Heterodoxy; Schism; Syncretism; Zurvanism.
tradition that is for practical purposes identical with liberat-
ing knowledge and that has been entrusted solely to spiritual
BIBLIOGRAPHY
persons or initiates, and is completely kept from the ignorant
There is no complete treatment of heresy as a phenomenon in the
(see, for instance, the Gospel of Thomas). Recent studies have
study of religions. There are, however, countless works on
shown that on certain points of his terminology for the
heresy as found in the various traditions. The following list
church, Irenaeus was dependent on the gnostics; for exam-
is a selection from these.
ple, diadoche and paradosis, used in connection with the prin-
General Works
ciple of succession, were already current terms among the
Assmann, Jan. “Die ‘Häresie’ des Echnaton: Aspekte der Amarna
gnostics. This is why Irenaeus was unable to get the better
Religion.” Saeculum 23 (1972): 109–126.
of the Gnostics with arguments of this kind, even though he
Baetke, Walter. “Der Begriff der Unheiligkeit im altnordischen
repeatedly attempted to do so.
Recht.” In his Kleine Schriften, edited by Kurt Rudolph and
Ernst Walter, pp. 90–128. Weimar, 1973.
Irenaeus’s principal weapon, however, was the concept
Brosch, Joseph. Das Wesen der Häresie. Bonn, 1936.
of gnosis itself: “Irenaeus uses the concept of gnosis to distin-
Forkman, Göran. The Limits of the Religious Community. Lund,
guish between Church and heretics by focusing the entire
1972.
dispute on the fundamental and always presupposed attitude
Leipoldt, Johannes, and Siegfried Morenz. Heilige Schriften. Leip-
of the human person to revelation and God” (Norbert Brox,
zig, 1953.
Offenbarung, Gnosis und gnostischer Mythos bei Irenaeus von
Morenz, Siegfried. “Entstehung und Wesen der Buchreligion.”
Lyon, Salzburg, 1966, p. 170). Another and quite different
Theologische Literaturzeitung 75 (1950): 709–715.
way of attaining true gnosis, a way essentially different from
Nigg, Walter. Das Buch der Ketzer. Zurich, 1949.
that of the Gnostics, is available to human beings: the way
of humble knowledge of the order of salvation that is attested
Rudolph, Kurt. “Wesen und Struktur der Sekte.” Kairos, n. s. 21
(1979): 241–254.
in scripture, handed on by the apostles, and described in the
church’s teaching and preaching and that is explained, of
Schlier, Heinrich. “Hairesis.” In Theological Dictionary of the New
course, by Irenaeus himself. True (ecclesiastical) gnosis thus
Testament, edited by Gerhard Kittel, vol. 1. Grand Rapids,
Mich., 1964.
becomes a standard by which heretical gnosis is shown to be
an erroneous figment of the imagination. This example
Simon, Marcel. “From Greek Hairesis to Christian Heresy.” In
makes clear the complicated way in which the distinction be-
Early Christian Literature and the Classical Intellectual Tradi-
tion, in Honorem Robert M. Grant, edited by Wilhelm R.
tween heresy and orthodoxy was achieved and how the two
Schoedel and Robert L. Wilken, pp. 101–116. Paris, 1979.
could not become distinct without having first fertilized one
another.
Wach, Joachim. Sociology of Religion. Chicago, 1944.
Christianity
Similar processes are to be seen at work in other sectors
Bauer, Walter. Orthodoxy and Heresy in Earliest Christianity. Ed-
of the history of religions. Islamic orthodoxy took over to a
ited by Robert A. Kraft and Gerhard Krodel. Philadelphia,
large extent the philosophical terminology, though classified
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
HERESY: CHRISTIAN CONCEPTS
3925
Berkouts, Carl T., and Jeffrey Burton Russell. Medieval Heresies:
Lüdemann, Gerd. Ketzer. Die andere Seite des frühen Christentums.
A Bibliography, 1960–1979. Toronto, 1981.
Stuttgart, 1996. A vigorous novel appraisal of facts and prob-
Betz, Hans Dieter. “Orthodoxy and Heresy in Primitive Chris-
lems by a leading albeit controversial German New Testa-
tianity.” Interpretation 19 (July 1965): 299–311.
ment scholar. Extensive bibliography.
Betz, Hans Dieter. “Häresie: Neues Testament.” In Theologische
Pourkier, Aline. L’hérésiologie chez Epiphane de Salamine. Paris,
Realenzyklopädie, vol. 14, pp. 313–318. Berlin, 1984.
1992.
Gensichen, Hans-Werner. Damnamus: Die Verwerfung der Irrlehre
Simonetti, Manlio. Ortodossia ed eresia tra I e II secolo. Soveria
bei Luther und im Luthertum des 16. Jahrhunderts. Göttingen,
Mannelli, Italy, 1994. A collection of influential essays by the
1955.
foremost Italian specialist.
Grundmann, Herbert. Ketzergeschichte des Mittelalters. Die Kirche
Islam
in ihrer Geschichte, no. 3. Göttingen, 1963.
Scarcia, Gianroberto. “L’eresia musulmana nella problematica
Grundmann, Herbert. Bibliographie zur Ketzergeschichte des Mitte-
storico-religiosa.” Studi e materiali di storia delle religioni 33
lalters, 1900–1966. Rome, 1967.
(1962): 63–97.
Harrington, Daniel J. “The Reception of Walter Bauer’s Ortho-
Scarcia Amoretti, Biancamaria. “Die historische Entwicklung der
doxy and Heresy in Earliest Christianity during the 1970s.”
Sekten im Islam.” In Der Islam, vol. 3, edited by Anne-marie
Harvard Theological Review 73 (January–April 1980):
Schimmel, pp. 100–156. Stuttgart, 1990. A typological and
289–298.
historical survey by a leading specialist.
Leff, Gordon. Heresy in the Later Middle Ages. Manchester, 1967.
Zoroastrianism
Shaked, Shaul. Dualism in Transformation. Varieties of Religion in
Loos, Milan. Dualist Heresy in the Middle Ages. Prague, 1974.
Sasanian Iran. London, 1994. A learned and vigorous exami-
Rudolph, Kurt. “Gnosis: Weltreligion oder Sekte.” Kairos, n. s. 21
nation of a very controversial issue. See the critical review by
(1979): 255–263.
another prominent specialist: Mary Boyce, “On the Ortho-
Troeltsch, Ernst. The Social Teaching of the Christian Churches. 2
doxy of Sasanian Zoroastrianism,” Bulletin of the School of
vols. New York, 1931; Chicago, 1981.
Oriental and African Studies 59 (1996): 11–28.
Turner, H. E. W. The Pattern of Christian Truth. London, 1954.
KURT RUDOLPH (1987)
Judaism
Translated from German by Matthew J. O’Connell
McEleney, Neil J. “Orthodoxy in Judaism of the First Christian
Revised Bibliography
Century.” Journal for the Study of Judaism 4 (1973): 19–42.
Scholem, Gershom. Major Trends in Jewish Mysticism. 3d ed., rev.
New York, 1954.
HERESY: CHRISTIAN CONCEPTS
Islam
Heresy is one of the most explosive terms in Christian vocab-
Halm, Heinz. Die islamische Gnosis. Zurich, 1982.
ulary. Although the term has served a constructive role in
Laoust, Henri. Les schismes dans l’Islam. Paris, 1965.
Christian self-definition almost from the first days of the
Lewis, Bernard. “Some Observations on the Significance of Here-
movement, modern sentiments have tended to view this label
sy in Islam.” Studia Islamica 1 (1953): 43–63.
as offensive, unhelpful, and unnecessary.
Zoroastrianism
The problem is that terms of self-definition are coined
Boyce, Mary. Zoroastrians: Their Religious Beliefs and Practices.
to describe perceptions of boundaries from the viewpoint of
London, 1979.
insiders, and, in the customary use of the terms, from the
Boyce, Mary. A History of Zoroastrianism, vol. 2, Under the Achae-
perception of the winners. The terms, then, are not neutral
menians. Leiden, 1982.
and unbiased, nor do disinterested observers determine their
Widengren, Geo. Die Religionen Irans. Stuttgart, 1965.
use. The debates between heretics and the orthodox are dis-
Zaehner, Robert C. Zurvan: A Zoroastrian Dilemma. Oxford,
putes over the adequacy and accuracy of a tradition’s essen-
1955.
tial boundaries by those who have a vested interest in the tra-
dition. The losers will protest any label that marks them as
Hinduism
O’Flaherty, Wendy Doniger. “The Origin of Heresy in Hindu
outsiders. Such disputes are customary in the process of self-
Mythology.” History of Religions 10 (May 1971): 271–333.
definition of ideologically defined systems.
Buddhism
In religious communities, the inside is frequently la-
Bareau, André. Les sectes bouddhiques du petit véhicle. Saigon,
beled orthodox, which in the Christian tradition has tended
1955.
to identify Roman Catholic (including its breakaway subspe-
Dutt, Nalinaksha. Buddhist Sects in India. Calcutta, 1970.
cies, Protestant) and Eastern or Greek Orthodox churches.
In the discussion that follows, this broad tradition will be
New Sources
identified by the term church. This use of the word church
Christianity
Le Boulluec. La notion d’hérésie dans la littérature grecque IIe-IIIe
is somewhat problematic, for both the heretic and the ortho-
siècles. Paris, 1985. Origins and development of the notion
dox claim the title as rightfully theirs. But scholarship has
of heresy in the first Greek Church Fathers, from Justin to
been unable to come up with acceptable neutral replacement
Origenes.
terms. Since the Catholic and Orthodox churches have rep-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3926
HERESY: CHRISTIAN CONCEPTS
resented the majority of Christians throughout most of
takably sharp language was used routinely. Those who dis-
Christian history, and since they are heirs of the early tradi-
torted the truth were “ravening wolves,” according to the au-
tion that began to distinguish between orthodoxy and heresy,
thor of Acts (20:28–31). Ignatius of Antioch (c. 35–c. 107)
the application of the label church to these churches is appro-
called teachers of error “tombstones and sepulchers” (Letter
priate.
to the Philadelphians 6.1). Their beliefs were “not the plant-
ing of the Father” (Letter to the Philadelphians 3.1); rather,
The word heresy (Greek, hairesis) occurs nine times in
they were “wicked offshoots, which bear deadly fruit” (Letter
the New Testament; the word heretic occurs once. The term
to the Trallians 9.1). The fate of heretical teachers and their
heresy occurs elsewhere throughout early Christian literature,
followers is “unquenchable fire” (Letter to the Ephesians
in Jewish writings of the period (LXX, Philo, Josephus), and
16.2).
in wider Greek literature. Its earliest meaning was choice; it
came to mean party or school and sometimes, more pejora-
By the latter part of the second century, numerous
tively, a faction or sect. Ecclesiastical use took the term even
books attacking Christian heretics circulated. The best
further in that negative direction, where it came to be used
known of these was written by Irenaeus, Bishop of Lyons.
almost exclusively for heresy or heretical group. But whatever
His massive treatise against Gnosticism, Detection and Over-
the nuance, from neutral to hostile, hairesis primarily distin-
throw of the Pretended but False Gnosis (more often referred
guished groups from others of similar kind; in each of its
to simply as Against Heresies), became a template for other
uses, the idea of boundaries is clear, if not central.
refutations of heresy.
Modern discussions of heresy routinely point out that
The church claimed to possess “the faith that was once
the Greek term for heresy originally simply meant choice.
delivered to the saints” (Jude 1:3)—the true apostolic faith.
Some have implied, based on a common fallacy that a word’s
Early Christian leaders recognized the need to trace heresy
etymology is the best clue to its meaning, that the negative
to another source, one more hostile and foreign to the circle
connotation the term heresy came to carry in Christian use
of Jesus and the apostles, for if the heretics could successfully
is a betrayal of the original neutral sense of the word. But
press their claim that their traditions stemmed from Jesus or
the meaning of a word is more accurately determined by its
the apostles, the heretics might be the faithful bearers of
use in context, not in some etymological quest. Thus, a word
truth and the church itself the heretic. Christian heretical
means whatever it is made to mean by a particular communi-
groups understood this principle as keenly as the orthodox
ty. The concern to downplay the negative meaning that
did, and they made every effort to locate their traditions in
Christian use has given the term heresy reflects the modern
Letter to the Ephesians teaching or that of Jesus’ close asso-
agenda, which generally finds the term distasteful; it does not
ciates. The Gnostics, for example, spoke of secret knowledge
uncover a supposedly right or better meaning of the term.
that had been handed down privately by Jesus to a few select
Heresy is one of several conditions labeled by the church
disciples, and finally to the Gnostics. But the church coun-
as hazardous. Schism, apostasy, and belief in another religion
tered, tracing Gnostic heresies back to the arch-heretic
or in no religion are others. Heretics, apostates, and schis-
Simon Magus, who according to early Christian tradition
matics are more closely related to the church than others, for
was condemned by Peter himself (Acts 8:9–25).
they had at one time been insiders. Heretics still consider
The church, largely through its antiheresy writers, pres-
themselves insiders, although the church rejects them for
ented a strict schema of the relationship between orthodoxy
having willfully rejected some essential element of faith.
and heresy. Orthodoxy came first; heresy, a deviation from
Apostates, like heretics, were once insiders, but they have re-
the truth, came later. As Origen, the leading theologian of
jected the faith, willfully and in toto. They chose to be out-
the third century, declared: “All heretics at first are believers;
siders, and they are so counted by the church. Schismatics
then later they swerve from the rule of faith.” That view was
had also once been insiders. Unlike heretics and apostates,
taken up in Bishop Eusebius’s Church History. His work,
however, schismatics have not rejected essential elements of
which covered Christianity’s first three hundred years, in-
the faith either in part or in full; rather, they have rejected
formed Christian understanding for centuries after that.
the recognized authoritative apparatus and discipline of the
church in some way. Pagans (or heathens or infidels) and
TOOLS AGAINST HERESY. Given that heresy was perceived to
atheists, unlike the other three groups, are not defined in
endanger the essence of Christian faith, the church quickly
terms of a past association with the church. The church’s
developed tools by which to identify and curb heresy. During
most difficult labeling has been whether to judge a group as
the second century, four tools began to be refined: canon,
schismatic or heretical; all the other categories are clear.
creed, clergy, and councils. By the fourth century, these had
reached a fairly stable structure.
THE EARLY ASSESSMENT OF HERESY. From the early
church’s viewpoint, heresy and heretics were as dangerous a
Canon. The canon (scripture) was the collection of ap-
foe as the church would encounter, for heresy targeted the
proved writings judged to have authoritative status. By the
essentials by which the group’s self-understanding had signif-
end of the first century, many of Paul’s letters had been col-
icance and substance. From the earliest Christian writers who
lected and were in distribution. By the end of the second cen-
addressed perceived dangerous deviations in beliefs, unmis-
tury, a collection not unlike the present New Testament 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
HERESY: CHRISTIAN CONCEPTS
3927
in wide use. Two concerns prompted the establishment of
In the early 300s, Emperor Constantine converted to
a canon. Some groups, such as the Marcionites, rejected doc-
Christianity. The state and church became allied in common
uments that were treated by the church as authoritative.
cause, and the power of the church increased considerably.
Other groups, such as the Gnostics, promoted new docu-
Under a Christian empire, the charge of heresy brought seri-
ments to support their novel theological positions, and they
ous legal jeopardy, as well as social stigma. In the interests
presented these documents as authoritative. Against such in-
of consensus, Constantine called the first Ecumenical (uni-
terests, the church approved a formal canon, which specified
versal) Council at Nicaea in 325 CE to deal with what came
the books that had authoritative status and from which the
to be known as Arianism, part of the broader trinitarian con-
church could distinguish orthodox from heretical beliefs.
troversy. This debate focused on the relationship of the Son
The claim was that the church’s canon had apostolic author-
(Logos) to the Father. Arianism, the loser in the debate, came
ship or authority.
to be viewed as the archetypical heresy. Many of the beliefs
that were condemned as heresy following the Arian contro-
Creed. The creed (from the Latin credo, “I believe”) was
versy were responses to questions that arose from the Arian
a condensed statement of essential beliefs, and in substance
debate; most therefore dealt with some question about the
and structure reflected the Rule of Faith referred to in sec-
nature of Jesus (Monophysitism, Nestorianism, Monotheli-
ond- and third-century writings. The interrogatory form of
tism, together referred to as the Christological controversies).
the creed (“Do you believe. . .”) appears to have been the
earlier, being used as a test of the orthodoxy of a candidate
The Christian state treated heretics much the same as
prior to baptism; from the mid-fourth century, the declarato-
the pagan state had treated all Christians prior to Constan-
ry form (“I believe. . .”) became more familiar. The primary
tine’s conversion. In each case, the condemned faced serious
creed (Niceno–Constantinopolitan, or more simply Nicene)
legal jeopardy, with potential loss of property, and exile or
was established by the councils at Nicaea (325 CE) and Con-
execution. Heresy was pronounced a capital crime in 380,
stantinople (381 CE), and confirmed at Chalcedon (451 CE).
and by the 1200s burning at the stake had become the com-
The creed helped to consolidate the core beliefs of widely dis-
mon fate of heretics.
persed churches, and it provided a condensed test by which
At times, the interests of the church and state clashed,
to distinguish the heretic from the orthodox.
and sometimes the political leaders were more sympathetic
Clergy. By the early second century, principal authority
with the theologically losing side (the heretics), which then
was being consolidated in the hands of the local bishops,
placed the orthodox in jeopardy. But, in theory, church and
under whom were presbyters (priests) and deacons. Toward
state saw themselves with common interests and allied in a
the end of the century the concept of apostolic succession
common cause. In the modern period, few church-state alli-
was developed. This linked the bishops in a line back to the
ances exist, and individuals now judged as heretics are at risk
apostles; through this line of bishops the truth was passed on
of excommunication by the church, but little more.
and guaranteed. The church argued that those outside the
It may seem that the church was often involved in the
bishop’s church could make no comparable claim or offer
suppression of heretics. In theory, however, it was difficult
such certain guarantee.
for someone to earn the label “heretic.” One must not only
Councils. Bishops frequently met in councils to regu-
have held a heretical belief; one must have held it willfully
late the faith. Creeds were approved there, and individuals
and obstinately. To distinguish between degrees of heresy,
were frequently tried and condemned as heretics at the ses-
the church spoke of objective (material) heresy and the more
sions. Bishops were expected to enforce the council’s judg-
serious kind, formal heresy.
ment against people in their own territories who confessed
MEDIEVAL HERESIES. After the great trinitarian and Christo-
the condemned belief. The effectiveness of this repression
logical controversies of the fourth and fifth centuries, the
often depended on which side a bishop or the emperor sup-
fight with heresy subsided, as such beliefs were largely van-
ported. The Arian-Nicene conflicts of the fourth century il-
quished (as with Arianism) or were located in lands no longer
lustrate that a decision by a council did not always bring
under the church’s control (as with Monophysitism and
about immediate conformity.
Nestorianism, which largely had come under the new Mus-
These early tools were so effective that they continued
lim empire in the 600s). Muslims became the more serious
to be used as the principle machinery for identifying and
threat to both eastern and western Christians.
confronting heresy well into the modern period.
By the 1100s the western church and papacy were at the
TREATMENT OF HERETICS. In the early centuries, the charge
height of their power. At the same time, scholastic specula-
of heresy would have brought social stigma within the Chris-
tion flourished as Europe became reacquainted with lost ele-
tian circle, but little else. The earliest punishment for heresy
ments of classical learning, new reformist monastic orders
was excommunication, which meant that heretics were ex-
and lay movements challenged the norm, and a sense of truth
cluded from the fundamental rite of the church, the Eucha-
and error was sharpened from European Christendom’s con-
rist. Such exclusion was often, in itself, the most effective tool
flict with Islam. Crusades against the Muslim infidels in the
by which to recover erring members.
Holy Land were easily turned to crusades against Christian
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3928
HERESY: CHRISTIAN CONCEPTS
heretics within Europe as a developing medieval consensus
as keenly aware of the importance of boundaries. Although
brought a reinvigorated scrutiny of ideas.
at points they disagreed with Catholics as to what constituted
heresy, Protestants generally used the same tools by which
The medieval approach to heresy differed from ancient
Catholics had marked off boundaries. Protestants accepted
practice. Suspect beliefs were simply associated with some
the canon (though they excluded the Apocrypha), and they
ancient error, which had already been stamped as heretical
retained the Creed. The developed hierarchical structure of
by the ancient church. Such was the case with the dualism
the church posed more difficulty, particularly regarding the
of the Cathars in southern France, condemned as a revival
authority of the bishop of Rome, though with some modifi-
of Gnostic and Manichaean ideas rejected by the church a
cation Protestants retained clergy and councils, for they
thousand years earlier. Once a contemporary belief had been
feared heresy as much as Catholics did, and they needed ap-
linked to an ancient heresy, the church could act to suppress
propriate tools to suppress it. John Calvin’s approval of the
the group that espoused such views without engaging in the
burning of Michael Servetus for Arian-like beliefs and the
kinds of debates by which the ancient church had worked
general Protestant suppression of Anabaptists suggest that
out boundaries between orthodoxy and heresy.
the Catholic and Protestant understandings of heresy dif-
The zeal against heresy and the techniques employed by
fered very little. Further, both Catholics and Protestants
orthodox authorities varied from place to place. The Spanish
agreed with the early church’s labeling of the ancient Chris-
Inquisition and the crusades against the Cathars mark what
tian heretics. They differed only in regard to which early her-
are viewed as the most notorious aspects of the medieval
esy they accused the other side of espousing.
church’s suppression of heresy (with witnesses coerced and
Some within the Protestant movement developed a
confessions gained under torture). Other efforts included the
more sympathetic reconsideration of groups that had fallen
establishment of the Dominican order in the early 1200s; its
under the judgment of the church. In 1699, Gottfried Ar-
mission was to correct heretical beliefs by focused and in-
nold, a German Pietist, put forward a daring reassessment
formed preaching. Shortly after the rise of Protestantism, the
of the past in his Impartial History of the Church and Heresy
Catholic Church formed the Congregation of the Holy Of-
from the Beginning of the New Testament to 1688. Emphasiz-
fice (now called the Congregation for the Doctrine of the
ing practical piety over dogma, Arnold reversed the labels:
Faith) to deal with heresy. To help check the spread of hereti-
those previously branded as heretics were approved; their or-
cal ideas, it developed an Index of Forbidden Books (which
thodox oppressors stood condemned. Some later histories re-
had force from 1559 to 1966).
flect his influence.
HERETICS RECONSIDERED. The charge of heresy was fre-
Early Christianity reconsidered. More significant
quently brought against reforming critics of the church, as
challenges to the church’s use of the term heresy came in the
well as against those whose theological stances departed from
1800s and 1900s. Although the challenges were quite di-
the core of Christian faith. Such treatment often embold-
verse, all provided grounds for challenging the church’s claim
ened the critics, who charged that the ecclesiastical elite were
that its faith had remained unchanged from the beginning.
the real heretics and enemies of Christ. Indeed, the four-
This muted the church’s dismissal of supposedly heretical be-
teenth-century English reformer John Wyclif spoke of the
liefs on the grounds that heretical beliefs were not identical
pope as antichrist, as did various monastic reformers. Many
with the faith of the apostles, for the church’s own beliefs
were burned at the stake for such opinions.
were found to reflect development and change.
In the early 1500s the situation changed with the rise
Four modern reconstructions of Christianity’s early pe-
of Protestantism. Although the church quickly labeled Prot-
riod were influential. First, Ferdinand Christian Baur and
estants heretics, the political environment worked in their
the Tübingen School argued that second-century Christiani-
favor. Local princes, often in sympathy with the Protestant
ty reflected a synthesis of opposing first-century Petrine and
cause, protected the reformers from the usual fate of heretics,
Pauline interpretations of the Christian message. Second,
and Emperor Charles V, a zealous Catholic, had too many
theories of Max Weber and Ernst Troeltsch allowed ortho-
political worries to focus his attention on an insignificant
doxy to be treated by many as an unfortunate institutional-
monk such as Martin Luther. Within two decades of Lu-
ization of Christianity, contrary to the spirit of Christianity’s
ther’s initial protest in the early 1500s, many of the nations
original charismatic structures. Third, Walter Bauer argued
and principalities of Europe had Protestant governments.
that in many areas of the Roman Empire the so-called hereti-
These lands became zones of safety for the new Protestant
cal forms of Christianity came first. For Bauer, the concept
heretics. This marks the beginning of a pluralism that broke
of an original apostolic orthodoxy was a fiction of the church
apart the Western medieval consensus. Only in the older, ec-
at Rome, which that church developed in the second century
clesiastically uniform society had there been sufficient power
to extend its influence throughout the empire. Fourth, under
in the mere labeling of heresy to guarantee effective action
Bauer’s influence, scholars began to speak of the multiple
against such beliefs.
forms of Christianity in the first century, tracing trajectories
Interestingly, Protestantism retained, largely intact, the
from each of these into later centuries. That gave heresy roots
concept of heresy held by the Catholics, for Protestants were
as ancient as orthodoxy could claim.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HERESY: CHRISTIAN CONCEPTS
3929
These reconstructions challenged the traditional defini-
tian church has come to recognize the shifting boundaries of
tion of orthodoxy—what was believed everywhere by every-
orthodoxy over the ages and the excesses that the regulation
one at all times—expressed by Vincent of Lerins in the 400s.
of belief has fostered. Increasingly, the tendency has been to
If Christianity never had an original uniform message that
expand the inside, to admit a wider pluralism within the
preceded all other interpretations of the Christian message,
boundaries of authentic Christianity. The devastating reli-
then the terms orthodoxy and heresy appear to lose their power
gious wars of the 1600s, the relativizing influences of the En-
as markers of the inside and the outside. Orthodoxy would
lightenment of the 1700s, the ecumenical efforts of the
become, as Bauer contended, merely the heresy that won out.
1800s and 1900s, and modern scholarly reconstructions of
All beliefs would seem to have an equal claim to authenticity
earliest Christianity have led many Christian groups to em-
within the Christian circle.
phasize the commonalities rather than the differences among
Christian communities. The positions espoused by the
The label heresy reconsidered. Many modern scholars
World Council of Churches (founded in 1948) and by Vati-
object to the use of the term heresy, finding it problematic
can II (1962–1965) reflect the new attitudes.
for numerous reasons. First, high stakes are connected to the
labeling, for those outside the church are considered to be
In the modern period, heresy is out of vogue. Without
in deadly error and damned. That judgment seems too un-
broad social consensus, the charge of heresy is neither effec-
compromising in the modern world, where societal consen-
tive nor feared; it brings no legal jeopardy and little, if any,
sus is rarely achieved and where diversity is the norm and tol-
social stigma. In this context, Christianity struggles to main-
eration is applauded. Second, the use of the label has shifted
tain a balance between absolute relativity, where concepts of
over time and place, raising questions about the validity of
truth and error have little substance, and dogmatic certitude,
the application of such a term as a reliable boundary marker
which has a tainted past.
for what the church claims to identify: truth from error.
Third, the labeling is one-sided, and those marked as heretics
SEE ALSO Arianism; Cathari; Docetism; Donatism; Ebio-
have routinely protested, for their perceptions of the bounda-
nites; Gnosticism, article on Gnosticism as a Christian Her-
ries are different, and they claim to be as much a part of the
esy; Manichaeism, article on Manichaeism and Christianity;
Christian inside as anyone else. Fourth, even though the
Marcionism; Monophysitism; Montanism; Nestorianism;
church framed its debate against heresy in terms of truth and
Pelagianism; Waldensians.
error, it is clear that the labeling of heresy was frequently
usurped in the interests of political or social agendas, for
BIBLIOGRAPHY
common cause against movements of protest or rebellion was
For a general introduction to heresy in the Christian tradition, see
often more easily marshaled if the action was seen primarily
G. R. Evans, A Brief History of Heresy (Oxford, 2003). For
as a suppression of heresy.
a more full treatment of specific heresies from an orthodox
viewpoint, see Harold O. J. Brown, Heresies: The Image of
Modern scholars, both ecclesiastical and secular, are
Christ in the Mirror of Heresy and Orthodoxy from the Apostles
rarely interested in the accuracy of the various claims to truth
to the Present (Garden City, N.Y., 1984); reprinted as Here-
and accusations of error that have marked the Christian dis-
sies: Heresy and Orthodoxy in the History of the Church (Pea-
cussion of orthodoxy and heresy. Rather, they are curious
body, Mass., 1998). Maurice Wiles examines the history of
about the process and players in labeling and drawing of
Arianism, the quintessential heresy that resurfaced from time
to time in Christian thought, in his Archetypal Heresy: Arian-
boundaries, and they usually emphasize the political and so-
ism through the Centuries (Oxford, 1996). For medieval here-
cial aspects in the suppression of heresy, which undeniably
sies, see Jeffery Burton Russell’s Dissent and Order in the
were there. In this context, sociological theories of deviance
Middle Ages: The Search for Legitimate Authority (New York,
may be particularly illuminating. Matters of social control,
1992). Most books on the Protestant Reformation will ad-
power relationships, consensus, and the labeling of normality
dress the problem of heresy in some way. A solid analysis of
and deviance are intelligible to both the church and its schol-
the issues is provided in Euan Cameron’s The European Ref-
arly critics, for the church’s drawing of boundaries to mark
ormation (Oxford, 1991). The adaptation of Christianity to
off heresy parallels in many ways the drawing of boundaries
the modern world is carefully discussed in Jaroslav Pelikan’s
that most societies engage in to mark off deviance.
Christian Doctrine and Modern Culture (since 1700), vol. 5
of The Christian Tradition: A History of the Development of
In illuminating Christian treatment of heresy, the para-
Doctrine (Chicago and London, 1989). The other volumes
digm of deviance works best, however, for the period of the
in this series are also useful in a study of the Christian con-
imperial church and later. For the initial stages of Christian
cepts of orthodoxy and heresy. The most influential work
self-definition, the church’s fixation on truth and error re-
challenging the traditional view of the character of earliest
mains something of an enigma. The modern discussion has
Christianity is Walter Bauer’s Rechtgläubigkeit und Ketzerei
shown little capacity to appreciate this interest, which the
im ältesten Christentum (Tübingen, Germany, 1934), partic-
church has always claimed marked one of its primary con-
ularly its English translation, Orthodoxy and Heresy in Earliest
Christianity, edited by Robert A. Kraft and Gerhard Krodel
cerns.
(Philadelphia, 1971). H. E. W. Turner’s The Pattern of
CONCLUSION. The term heresy carries the weight of two mil-
Christian Truth: A Study in the Relations between Orthodoxy
lennia of Christian use. It is used less often now, as the Chris-
and Heresy in the Early Church (London, 1954) is the most
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HERMENEUTICS
substantial reply to Bauer. For works on the early church re-
Dilthey’s dream was overtaken by the rapid emergence
flecting the influence of Bauer, see Robert Wilken, The Myth
and proliferation of the many specialized disciplines that are
of Christian Beginnings (Garden City, N.Y., 1971, reprint
now recognized and preserved by the organizational struc-
1980); and Gerd Lüdemann, Heretics: The Other Side of
ture of the modern university—art history, anthropology,
Early Christianity, translated by John Bowden (Louisville,
economics, history, the various literatures, political science,
Ky., 1996). James M. Robinson and Helmut Koester extend-
psychology, philosophy, and so on. Each of these disciplines
ed Bauer’s theories by tracing trajectories from the first cen-
rapidly developed its own intellectual interests and norma-
tury into later centuries in Trajectories through Early Chris-
tianity (Philadelphia, 1971). For the application of
tive procedures for the presentation and adjudication of ar-
sociological theories of deviance to the problem of heresy, see
guments within them. Methodologies rather than hermeneu-
John Barclay, “Deviance and Apostasy: Some Applications
tics dominated intellectual life.
of Deviance Theory to First-Century Judaism and Christian-
In recent years, however, powerful intellectual currents
ity” in Modelling Early Christianity: Social-Scientific Studies
of the New Testament in its Context, edited by Philip F. Esler
have brought hermeneutics once again to the fore, so that in-
(London and New York, 1995), pp. 114–127; and Sheila
terest in it has burgeoned among literary critics, sociologists,
McGinn, “Internal Renewal and Dissent in the Early Chris-
historians, anthropologists, theologians, philosophers, and
tian World” in The Early Christian World, edited by Philip
students of religion. These currents include (1) new theories
F. Esler (London and New York, 2000), vol. 2,
of human behavior in the psychological and social sciences
pp. 893–906.
in which human cultural expressions are regarded as manifes-
tations of unconscious and instinctual drives or as reflections
THOMAS A. ROBINSON (2005)
of class interests; (2) developments in epistemology and the
philosophy of language that have led to claims that what
counts as reality for a given culture is a function of the lin-
HERMENEUTICS. The term hermeneutics is derived
guistic structures superimposed on experience; and (3) the
from the Greek verb herm¯eneuein (“to interpret”) and refers
arguments advanced by philosophers such as Ludwig Witt-
to the intellectual discipline concerned with the nature and
genstein and Martin Heidegger that all human experience is
presuppositions of the interpretation of human expressions.
basically interpretative, and that all judgments take place
within a context of interpretation mediated by culture and
INTRODUCTION. The Greek term has etymological associa-
language behind which it is impossible to go. Underlying all
tions with the name of the Greek god Hermes, the messenger
these currents is the assumption that human consciousness
of the gods and the deity of boundaries. Some have seen this
is situated in history and cannot transcend it—an assump-
association as reflecting the inherently triadic structure of the
tion that raises important questions concerning the role of
act of interpretation: (1) a sign, message, or text from some
cultural conditioning in any understanding.
source requires (2) a mediator or interpreter (Hermes) to (3)
convey it to some audience. So considered, this deceptively
It would be an error, however, to conclude from this
simple triadic structure implicitly contains the major concep-
new interest in hermeneutics that Dilthey’s dream of a uni-
tual issues with which hermeneutics deals: (1) the nature of
versal foundational discipline for the cultural sciences is
a text; (2) what it means to understand a text; and (3) how
about to be realized. Even a superficial glance at the contem-
understanding and interpretation are determined by the pre-
porary intellectual scene reveals little agreement concerning
suppositions and beliefs (the horizon) of the audience to
how hermeneutics is conceived or how the discipline should
which the text is being interpreted. Serious reflection on any
proceed. The intellectual disciplines constituting the modern
of these three issues reveals why interpretation is itself a
university have themselves been fractured into parties, each
philosophical issue and a subject of interpretation.
of which has its own method and mode of interpretation. In
psychology, for example, there are behaviorists, cognitive
Since interpretation is fundamental to all the intellectu-
psychologists, Freudians, Jungians, and Gestaltists, just as in
al disciplines—to the natural sciences as well as the humani-
the social sciences there are functionalists, structuralists, eth-
ties—one might have expected hermeneutics to have arisen
nomethodologists, and Marxists.
earlier in Western culture than it did. Although there were
many controversies within Judaism and Christianity con-
Paradoxically, it is just this proliferation of parties that
cerning the interpretation of the Bible—just as pre-
partially accounts for the resurgence of interest in hermeneu-
Reformation humanists were concerned with the exegesis of
tics in the early twenty-first century. Diversity and conflict
the texts of antiquity—it was not until the middle of the last
of interpretations historically have provided the stimulus and
century that modern hermeneutics was born. Friedrich
the urgency for acquiring understanding and agreement. Dil-
Schleiermacher (1768–1834) is generally acknowledged to
they pointed out, for example, how the rise of modern her-
be the founder of modern hermeneutics, but it was Wilhelm
meneutics was itself closely connected with the post-
Dilthey (1833–1911) who first dreamed of developing a
Reformation debates among Protestants and Catholics over
foundational discipline for the cultural sciences
the interpretation of Scripture, just as Schleiermacher’s own
(Geisteswissenschaften) that would render their conclusions as
attempt to establish a universal hermeneutics was admittedly
objective and as valid as those of the natural sciences.
prompted by the attempt to overcome misunderstanding.
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HERMENEUTICS
3931
The incommensurate perspectives that disciplines may adopt
2. How are the cultural sciences distinct in method and
concerning the same object (such as a text, language, or
form from the natural sciences?
human nature) raise profound questions about the nature of
3. What are the conditions that make any sort of human
human conceptualization, objectivity, understanding, expla-
understanding possible?
nation, and translation. Hence it is not surprising that, for
many intellectuals, hermeneutics is increasingly coming to
4. How can one resolve certain conceptual puzzles associ-
occupy the role that epistemology did a few decades ago.
ated with concepts like understanding and meaning, and
The problems of hermeneutics are more unavoidable in
how might such a resolution help one to understand the
the scholarly study of religion than in many other academic
task of interpretation?
disciplines, for reasons both conceptual and historical. Con-
Each of these questions, and the conception of hermeneutics
ceptually, religions themselves may be regarded as communi-
it yields, often overlaps with the others, and a theorist of one
ties of interpretation, so that the scholarly study of them
type may also deal with issues characteristic of another. Nev-
takes the form of an interpretation of an interpretation. Since
ertheless, these four ways are sufficiently distinctive to be a
the scholarly interpretation of religion most often rests on
useful heuristic device for organizing what follows.
different assumptions than the religious interpretation itself,
HERMENEUTICS AS INQUIRY INTO THE INTERPRETATION OF
the religious participant frequently regards the scholar’s in-
TEXTS. Modern hermeneutics had its origins in attempts to
terpretation as reductionistic and alien. Hence there is a pe-
solve problems and conflicts concerning the interpretation
rennial debate among scholars of religion regarding the de-
of texts; Schleiermacher is usually regarded as the originating
gree to which the scholarly interpretation of religion must
figure. Although there were debates before his time concern-
do justice to the believer’s own point of view.
ing the difference between sacred and profane interpretation,
Historically, the scholarly study of religion—as well as
it was Schleiermacher whom Dilthey properly called the
the rise of modern hermeneutics—is closely associated with
“Kant of hermeneutics,” because Schleiermacher argued that
the religious tradition of liberal Protestantism. Indeed, liber-
Scripture required no special type of interpretative proce-
al Protestantism might be said to have emerged through a
dure, and grasped that the fundamental issue was to develop
series of bitter hermeneutical debates concerning the applica-
the basic grammatical and psychological conditions neces-
tion of historical-critical methods to the Christian Bible.
sary for the understanding of any text whatsoever. It was
These debates illustrate the phenomena discussed at the be-
Schleiermacher again who saw that the nature of language
ginning of this paragraph, since orthodox Christians regard-
was the crucial theoretical issue confronting hermeneutical
ed the application of these methods to the Bible as an alien
theory, because one could gain access to another person’s
mode of interpretation. Liberal Protestantism resolved the
meaning only through the medium of language.
issue by defining the essence of religious faith as experience
Authorial Intention. Schleiermacher’s hermeneutical
rather than doctrine or historical belief.
theory is organized around two foci: (1) the grammatical un-
Schleiermacher, the founder of hermeneutics as well as
derstanding of any characteristic modes of expression and the
of liberal Protestantism, was particularly influential in articu-
linguistic forms of the culture in which a given author lived
lating the outlines of this compromise. He regarded the vari-
and which conditioned that author’s thinking and (2) the
ous religions as culturally conditioned forms of an underly-
technical or psychological understanding of the unique sub-
ing and universal religious sensibility. Thus he not only
jectivity or creative genius of that author. Both these foci re-
moved the locus of faith from belief to experience, but also
flect Schleiermacher’s own indebtedness to Romantic think-
laid the foundations for a descriptive science of religion to
ers who had argued that any individual’s mode of expression,
which Rudolf Otto (1869–1937), Joachim Wach (1898–
however unique, necessarily reflects a wider cultural sensibili-
1955), and others were to contribute. This close connection
ty or spirit (Geist). A correct interpretation requires not only
between liberal Protestantism and the scholarly study of reli-
an understanding of the cultural and historical context of an
gion partially accounts for the fact that liberal theologians
author, but a grasp of the latter’s unique subjectivity. This
have been particularly sensitive to theories of interpretation.
can be accomplished only by an “act of divination”—an in-
Many scholars would insist that, to answer the many
tuitive leap by which the interpreter “relives” the conscious-
questions arising from the activity of interpretation, it is im-
ness of the author. By seeing this consciousness in the larger
portant to have a hermeneutical theory. Others, however,
cultural context, the interpreter comes to understand the au-
would insist that the great mistake distorting all modern he-
thor better than the author understands himself or herself.
meneutics is precisely the lust for some such theory. Rather
Schleiermacher’s hermeneutics have not had a great in-
than prejudice the issue from the outside by describing alter-
fluence on secular literary criticism in either England or the
native hermeneutical theories, this article shall roughly delin-
United States, although most literary criticism until the
eate four ways in which modern hermeneutics may be con-
1920s generally assumed that the aim of interpretation was
ceived, each of which is dominated by a distinctive question:
to discover the intention of the author. In the last several dec-
1. What is it to understand a text and what are the condi-
ades, however, most literary criticism has been built on the
tions of its possibility?
assumption—classically enunciated by T. S. Eliot in his essay
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HERMENEUTICS
“Tradition and the Individual Talent” (1919) but argued on
presumably establish the boundary lines separating the vari-
other grounds by Freudians, Marxists, New Critics, structur-
ous generic types of interpretation—literary, artistic, philo-
alists, and deconstructionists—that a literary text has its own
sophical, legal, religious, and so forth—and would establish
afterlife independent of the author, and that to understand
the methods and normative canons of objectivity and validity
it has little or no relationship to understanding the author’s
for each type. It would, in short, be a universal hermeneutics.
intentions when writing it. In recent years, however, some
Wilhelm Dilthey is generally regarded as the most important
critics have rediscovered Schleiermacher and reaffirmed his
exponent of this view of hermeneutics, and the Italian histo-
view that some form of authorial intent must be the founda-
rian of law Emilio Betti is perhaps its best-known contempo-
tion of a theory of objective meaning. E. D. Hirsch, Jr., for
rary advocate. Although profoundly influenced by Schleier-
example, has argued in Validity in Interpretation (1967) that,
macher—at an early age he wrote a prize essay on
if interpretation is to avoid pure subjectivity and arbitrari-
Schleiermacher’s hermeneutics, and later a monumental bi-
ness, there must be some criteria for determining the correct
ography of him—Dilthey rejected Schleiermacher’s assump-
meaning of a text. This in turn, says Hirsch, requires some
tion that every work of an author is an outgrowth of an im-
theory of determinate meaning. Anyone concerned with ob-
plicit principle contained in the author’s mind. Dilthey
jectivity will be driven logically to some discriminating
considered this assumption to be profoundly antihistorical,
norm, and “the only compelling normative principle that has
because it does not sufficiently take account of the external
ever been brought forward is the old-fashioned ideal of right-
influences at work or the author’s development. Moreover,
ly understanding what the author meant” (p. 26). This has
Dilthey thought that a universal hermeneutics required the
led Hirsch and others to deal with the many problems this
elaboration of epistemological principles that would serve the
position raises. However, while this view represents the com-
cultural sciences in the way that Kant’s principles accounted
mon sense of most laypersons, it is not now widely shared
for Newtonian physics. If Kant developed a “critique of pure
by most literary critics, who have developed hermeneutical
reason,” then Dilthey devoted his life to a “critique of histori-
theories rejecting authorial intent as the norm of meaning.
cal reason.”
Schleiermacher and the Interpretation of Religion.
Cultural versus Natural Sciences. Dilthey’s herme-
So far as the interpretation of religion is concerned, Schleier-
neutics quite obviously rests on a sharp distinction between
macher’s influence is to be found less in his hermeneutical
the methods of the cultural and those of the natural sciences.
theory, which is dominated by the problem of recovering the
The distinctive method of the cultural sciences is under-
author’s meaning, than in his views that (1) religiosity is an
standing (Verstehen), whereas that of the natural sciences is
essential and a priori aspect of human nature and (2) lan-
explanation (Erklärung). The natural scientist explains events
guage is the medium of all understanding. The first assump-
by employing universal laws, whereas the historian neither
tion has elicited many attempts to develop what Paul Ricoeur
discovers nor employs such laws but, rather, seeks to under-
has called a “regional hermeneutics”: rules governing the in-
stand the actions of agents by discovering their intentions,
terpretation of religious expressions as a unique and autono-
purposes, wishes, and character traits. Such action is intelligi-
mous type. One of the earliest and most influential of these
ble because human actions, in contrast to natural events,
attempts was Rudolf Otto’s analysis of the “numinous” in
have an “inside” that others can understand because they too
his famous book Das Heilige (1917; Eng. trans., The Idea of
are persons. Understanding, then, is the discovery of the “I”
the Holy).
in the “Thou,” and it is possible because of a shared universal
Less explicitly indebted to Schleiermacher, but based on
human nature.
the same assumption of the universality of human religiosity,
Insofar as Dilthey’s hermeneutics rests on understand-
was the very influential work of Mircea Eliade. He argued
ing as a distinctive act that requires an imaginative identifica-
that the basic structure of religiosity can be seen most clearly
tion with past persons, one can discern the influence of
in archaic religions in which human life is regarded as part
Schleiermacher. But Dilthey developed an elaborate and
of a living cosmos. Profound connections are said to exist be-
complex theory of experience (Erlebnis) and its relationship
tween the rhythms of human and cosmic life. Myths and reli-
to various forms of expression that constitutes nothing less
gious symbols are systems of micro-macrocosmic correspon-
than the philosophical anthropology and epistemology he
dences and analogies. Human fecundity, for example, is seen
thought necessary to establish hermeneutics as a foundation-
as recapitulating the pattern of divine fecundity. All human
al discipline of the cultural sciences. Dilthey was never able
activities are thus sanctified and made meaningful. This as-
to complete this enterprise in a way satisfactory to himself
sumption led Eliade to explore the many variants of certain
or others, and its complexities defy any brief exposition here.
recurring symbols in the world’s religions, as for instance the
Suffice it to say that it contained a sophisticated analysis of
sacred tree, stones, snakes, fish, and water.
the temporality of experience and the way in which human
HERMENEUTICS AS FOUNDATION FOR THE CULTURAL SCI-
experience is bound together by units of meaning that are
ENCES. A second way of thinking about hermeneutics is to
subconscious and prereflective. These meanings become ob-
regard it as providing a foundational discipline for the cultur-
jectified in human expressions. He held that one’s knowledge
al in contrast to the natural sciences. This discipline would
of one’s own experience as well as of the experience of others
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HERMENEUTICS
3933
is available only through these objectified expressions. Con-
velop a logic of the forms of religious expression, a theory
sequently, one comes to know human nature through histor-
of religious symbolism and language. Wach himself concen-
ical knowledge, that is, through understanding the varieties
trated on arranging and classifying the forms of religious ex-
of objectified forms in which humanity has expressed its own
pressions—for example, the theoretical, practical, and socio-
experience of life. Ultimately, history is the variety of ways
logical, which he then further subdivided and explored.
in which human life has expressed itself over time. Indeed,
one can grasp one’s own possibilities only through historical
The attempt to construct a universal hermeneutics for
reconstruction and understanding. Through understanding
the cultural sciences inevitably leads the theorist to propound
(Verstehen) of the life-expressions (Lebensäusserungen and Er-
some theory of human nature and its expressions. Having
lebnisausdrücke) of past persons, one comes to understand
uncovered the radically different forms of consciousness and
the humanity of which one is a part.
belief exemplified in history, for example, Dilthey then
thought it important to develop a psychology that would ac-
Weber and Wach. Like Dilthey, the German sociolo-
count for this diversity of worldviews while affirming the
gist Max Weber (1864–1920) was preoccupied with estab-
“unity of human nature” that made it possible for an inter-
lishing the objectivity of the results of the cultural sciences,
preter in one culture to understand a person in a strange and
but he was even more interested in the status of generaliza-
different culture. But, it may be asked, how can the appeal
tions in political economy and sociology. His work therefore
to some abstract principle such as the “unity of human na-
stands at the juncture between the humanities and the social
ture” aid an interpreter who is actually confronted with cul-
sciences. He was interested in the logical relationships be-
tural expressions so different and strange that a sympathetic
tween understanding and explanation. Though sympathetic
act of understanding seems impossible? Dilthey never solved
to Dilthey’s attempts to establish the autonomy of under-
this problem.
standing, he was also interested in generalizations about
human collective actions—generalizations he hoped could be
Psychological Theories. The degree to which one’s
made as objective and scientific as those in the natural sci-
hermeneutics is a function of one’s view of human nature is
ences. His analysis and classification of types of social ac-
most dramatically illustrated by modern psychological theo-
tions, and his delineation of ideal types, are attempts to solve
ries such as those of Freud and Jung. Here human expression
these conceptual problems. Unlike Dilthey, he was especially
and behavior are explained and understood in terms of un-
interested in the interpretation of religion. His Sociology of
conscious psychical forces. As Paul Ricoeur has shown,
Religion (1904–1905) is one of the great works in the com-
Freud’s theory of the unconscious led him not only to broad-
parative study of religion, and his Protestant Ethic and the
en the theory of human expressions so as to include dreams
Spirit of Capitalism (1922), although now dated in important
and slips of the tongue as “texts” but also to propose a herme-
respects, is one of the influential books in modern sociology.
neutics in which art and religion were also seen as containing
unconscious meaning. According to Freud, for example, reli-
The significance of Dilthey and Weber for hermeneu-
gion is best understood as the expression of unconscious
tics lies primarily in (1) their minimalization of the concern
wishes rooted in infantile helplessness and molded by the
for recovering the author of the text, and their extension of
“family romance” in which Oedipal sexual wishes play an
hermeneutics to cover all forms of cultural expression and ac-
important role. Consequently, religion is regarded as a col-
tions; (2) their efforts to work out the logic of understanding
lective neurosis and evaluated negatively. Thus not only does
as an activity unique to the cultural sciences; and (3) their
Freud’s hermeneutics reject “authorial intent” as a superficial
attempts to ground the possibility of understanding in some
category, but it proposes a different meaning for the classical
theory of the structure of human nature and its expressions
hermeneutical dictum that the interpreter can better under-
(Dilthey) or of types of social action (Weber).
stand an author than the author understands himself. For
Schleiermacher and Dilthey, this dictum meant that the in-
The hermeneutical theories of Schleiermacher, Dilthey,
terpreter better understands the cultural and linguistic con-
and Weber deeply influenced the work of Joachim Wach, a
text that conditions the author, and of which the author is
German sociologist of religion who immigrated to the Unit-
unaware. For Freud, this dictum means that the interpreter
ed States in 1935. Wach wanted to establish the interpreta-
has the theoretical key to unlock the unconscious meanings
tion of religion as an objective descriptive discipline free of
of which no past author could possibly be aware. The inter-
the normative claims of Christian theology. For him as for
preter understands more scientifically the unconscious
Dilthey, the proper starting point for such a discipline was
drives, instincts, and mechanisms of repression that deter-
the establishment of the necessary conditions for under-
mine a given form of expression. Texts are semiotic codes for
standing (Verstehen). Wach, like Schleiermacher, believed
which the scientific interpreter alone holds the key.
that Verstehen generally requires a type of empathy, but that
in religion it specifically presupposes a basic “sense for reli-
HERMENEUTICS AS REFLECTION ON THE CONDITIONS OF
gion” that Wach then explicated in terms of Schleiermacher’s
ALL UNDERSTANDING. Given the way in which reflection on
notion of an inherent religious propensity in human nature.
understanding necessarily drives one to consider basic episte-
Wach argued that religions are the expressions of this sense
mological and anthropological issues, it should not be sur-
for religion. The challenge of religious studies, then, is to de-
prising that the philosophy of Martin Heidegger (1889–
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3934
HERMENEUTICS
1976) has been so influential at the turn of the twenty-first
than any other thinker to reconceive hermeneutics along
century. In Being and Time, Heidegger, although profoundly
Heideggerian lines. His theory also involves a criticism of
influenced by Dilthey, argues that Dilthey was finally unable
previous conceptions of hermeneutics such as those of
to overcome the subjectivistic tendencies of Western thought
Schleiermacher and Dilthey. The difficulty with Schleierma-
since Descartes—tendencies that have led to a peculiar di-
cher’s hermeneutics, apart from its limitation to the interpre-
lemma in epistemology, and to a seductive preoccupation
tation of texts, is that Schleiermacher (and Dilthey too) as-
with the cognitive ideals of the natural sciences and technolo-
sumed that the historical and cultural distance of the
gy. Crucial to Heidegger’s analysis is the argument that
interpreter from the phenomena being interpreted necessari-
human beings already find themselves in a world made intel-
ly occasions misunderstanding. Gadamer argues, following
ligible to them by virtue of what he called “the forestructure”
Heidegger, that interpretation also assumes a context of in-
of understanding, that is, the assumptions, expectations, and
telligibility, and that the presuppositions and assumptions—
categories that one prereflectively projects on experience and
one might say prejudices—of the interpreter are precisely
that constitute the “horizon” of any particular act of under-
what enable understanding as well as misunderstanding.
standing. An analysis of “everydayness” reveals that what is
Consequently, one’s own assumptions and beliefs are not
regarded as problematic as well as intelligible becomes so
necessarily barriers to understanding but preconditions of it.
only against the backdrop of the tacit, prereflective under-
The quest for a presuppositionless understanding is futile.
standing one already possesses. In all explanation one discov-
Every text or object is interpreted from some standpoint in
ers, as it were, an understanding that one cannot understand;
a tradition that constitutes the horizon within which any-
which is to say, every interpretation is already shaped by a
thing becomes intelligible. This horizon is continually modi-
set of assumptions and presuppositions about the whole of
fied as it encounters objects, but there is no final and objec-
experience. Heidegger calls this the hermeneutical situation.
tive interpretation.
He means that human existence itself has a hermeneutical
Gadamer has been criticized by Emilio Betti for destroy-
structure that underlies all one’s regional interpretations,
ing any possibility of distinguishing between a subjective and
even those in the natural sciences. One’s prereflective under-
a universally valid interpretation. Betti argues that texts and
standings are modified and corrected as they become more
cultural expressions have meanings independent of the inter-
self-conscious in the encounter with texts, objects, and other
preter’s opinions, and that the interpreter can provide no
interpretations.
canon for distinguishing right from wrong interpretations.
Heidegger’s thought has been influential in several di-
Gadamer replies that the task is not to provide norms and
rections, two of which are important for religious studies: the
rules for interpretation but to analyze the inherent structure
interpretation of religion and the conception of hermeneu-
of understanding itself—an analysis that reveals interpreta-
tics generally. Rudolf Bultmann (1884–1976), a German
tion to be as Gadamer describes it.
New Testament scholar and theologian, saw in Heidegger’s
HERMENEUTICS AS AN ANALYTIC AND MEDIATING PRAC-
analysis of human existence the conceptual basis for an exe-
TICE. There is a fourth way of thinking about hermeneutics
gesis of the New Testament whereby its basic religious in-
that is less easily characterized than the others, because it in-
sights could be extracted from the mythical thought-forms
volves no theory of hermeneutics. Those who think in this
of the first century, in which it was originally expressed. To
fashion are not interested in establishing rules for the inter-
the complaint that this exegesis employed modern presuppo-
pretation of texts nor in providing foundations for the cul-
sitions, Bultmann replied that all exegesis is determined by
tural sciences. Their aims appear to be more piecemeal: to
certain philosophical presuppositions; the only question is
analyze, to clarify, and if possible to resolve conceptual issues
whether these are correct. He believed Heidegger to be cor-
surrounding explanation and interpretation in the various
rect because Heidegger had discovered the inherent historici-
contexts in which they are employed; to establish the logical
ty of human existence; that is, how it is essentially constitut-
connections between meaning, truth, and validity; to discover
ed by acts of decision rooted in a self-understanding oriented
the various normative uses of language; to ascertain what is
toward the future. Moreover, Heidegger had shown that
meant by rationality and irrationality, especially as it bears on
genuine historical understanding requires the encounter with
the possibility of translation and the problem of relativism.
past expressions of human self-understanding that can modi-
No one of the various thinkers who think and work in this
fy one’s own. In this sense, the act of historical understand-
way may necessarily discuss all these problems systematically,
ing has an element that resembles the act of appropriation
yet the various proposed solutions often bear directly on
of a religious message. Although Bultmann was primarily in-
those problems normally associated with classical hermeneu-
terested in the implication of Heidegger’s work for the inter-
tical theory. For example, some thinkers concerned with the
pretation of the New Testament understanding of faith, the
philosophy of science, such as Mary Hesse, have argued that
same hermeneutical procedure could be employed on other
no sharp distinction can legitimately be drawn between ex-
religious phenomena, as Hans Jonas has done in his well-
planation and interpretation, since explanations in the natu-
known work The Gnostic Religion (1958).
ral sciences are as interpretative as those in the cultural sci-
It is Hans-Georg Gadamer (1900–2002), however, who
ences. Or again, some philosophers have argued that, since
in a major work, Truth and Method (1960), has done more
there is no realm of the given to which theories can corre-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HERMENEUTICS
3935
spond, the attempt by philosophers since Kant to formulate
critical discussion and overview of the debates concerning
epistemological theories is a mistake. There is no one right
relativism in recent philosophy, with special attention to the
or wrong way to interpret anything, including texts, hence
philosophy of science and the hermeneutical tradition repre-
the quest for agreement is not a desideratum.
sented by Gadamer.
Betti, Emilio. Teoria generale della interpretazione. 2 vols. Milan,
Generally, this type of thinking about hermeneutics
1955. Translated into German by its author as Allgemeine
owes much to the writings of Ludwig Wittgenstein (1889–
Auslegungslehre als Methodik der Geisteswissenschaften (Tü-
1951), whose later works deal extensively with issues such as
bingen, 1967). A criticism of the hermeneutics of Gadamer
“What does it mean to understand?” and “How does one
and the Heideggerian tradition, and a defense of the classical
know that another person is in pain?” It was characteristic
position on objectivity in interpretation. A shorter manifesto
of Wittgenstein’s approach that no simple summary of his
is to be found in his Zur Grundlegung einer allgemeinen Aus-
views can be given, since he argued that the function of a phi-
legungslehre (Tübingen, 1954).
losopher is to analyze carefully the concrete uses in specific
Bultmann, Rudolf. “Is Exegesis without Presuppositions Possi-
contexts of words like understanding. He believed that it was
ble?” and “The Problem of Hermeneutics.” In New Testa-
a mistake to attempt to provide a general theory of under-
ment and Mythology and Other Basic Writings, selected, ed-
standing. The mind easily becomes bewitched by such gener-
ited, and translated by Schubert M. Ogden. Philadelphia,
1984. Characteristically lucid attempts by a famous New
al theories, and this bewitchment is itself the source of most
Testament critic to deal with the problem of objectivity from
philosophical difficulties and illusions. Instead, one should
an existentialist perspective influenced but not determined
look at how such words are actually employed and embedded
by Heidegger.
in concrete practices. A few students of religion have argued
Dilthey, Wilhelm. Gesammelte Schriften. 18 vols. in 20. Stuttgart,
that this approach has important implications for the inter-
1957–1977. Volumes 5–7 are especially important for un-
pretation of religion. For example, it has been asserted that
derstanding Dilthey’s view of historical understanding.
the hermeneutical theory of Joachim Wach has excessively
Eliade, Mircea. “Methodological Remarks on the Study of Reli-
constricted interpretation by superimposing a single model
gious Symbolism.” In The History of Religions: Essays on
upon it.
Methodology, edited by Mircea Eliade and Joseph M. Kita-
Although Wittgenstein’s philosophy is often said to be
gawa with a preface by Jerald C. Brauer, pp. 66–107. Chica-
go and London, 1959. A statement of the hermeneutical
alien to Heidegger’s, there are affinities at surprising points,
principles governing research on religious symbols by an in-
not the least of which is the notion that explanation and in-
fluential historian of religion.
terpretation make sense only within a horizon of presupposi-
Eliade, Mircea. The Sacred and the Profane: The Nature of Religion.
tions, practices, and assumptions that individuals’ culture
New York, 1959. A more general work on the nature of
mediates to them—their tradition, so to speak. Wittgenstein,
religion.
like Heidegger, also saw the human situation itself to be her-
Eliot, T. S. Selected Essays. New York, 1950. This volume brings
meneutical. But unlike Heidegger, he did not think this fact
together a number of Eliot’s influential writings, including
justified the construction of an ontology. Rather, he felt it
the essay “Tradition and the Individual Talent” (1919),
should be the occasion for the painstaking exploration of the
which debunks the “fallacy” of authorial intention.
concrete forms of discourse—“language games”—in which
Ermarth, Michael. Wilhelm Dilthey: The Critique of Historical Rea-
human beings engage. There can be only regional explora-
son. Chicago, 1978. A fine scholarly discussion of Dilthey’s
tions of the grammar governing specific forms of expression.
attempt to provide theoretical foundations for the human
Presumably, then, the interpretation of religion ought to de-
sciences in the light of the exigencies of his own life and the
vote itself to carefully mapping and exploring those charac-
intellectual crisis of the time.
teristics of the distinctively human form of life one calls reli-
Gadamer, Hans-Georg. Truth and Method. New York, 1975. Per-
gious: its structure, presuppositions, and forms of expression.
haps the most influential book in hermeneutical theory of
the late twentieth century. Beginning with a critique of aes-
SEE ALSO Anthropology, Ethnology, and Religion; Biblical
thetic theory, Gadamer engages in a far-reaching critique of
Exegesis; Buddhist Books and Texts, article on Exegesis and
Schleiermacher and Dilthey before exploring the implica-
Hermeneutics; Literature, article on Literature and Religion;
tions of Heidegger’s thought for hermeneutics.
Phenomenology of Religion; Structuralism; Study of Reli-
Heidegger, Martin. Being and Time. New York, 1962. Regarded
gion; Tafsir; Women’s Studies in Religion.
by many as one of the most influential philosophical works
of the last century, especially as regards hermeneutics.
BIBLIOGRAPHY
Hirsch, E. D., Jr. Validity in Interpretation. New Haven, Conn.,
Bauman, Zygmunt. Hermeneutics and Social Science. New York,
1967. A modern statement of the classical view that the aim
1978. A discussion of the significance of hermeneutics
of literary interpretation is truth and agreement.
when conceived as inquiry into the nature and objectives of
Norris, Christopher. Deconstruction: Theory and Practice. New
historical knowledge and of the social sciences. There are
York, 1982. A useful introduction to the literary theories of
chapters on Marx, Weber, Mannheim, Husserl, Schutz, and
deconstructionist critics, especially Jacques Derrida, that re-
Heidegger.
ject the assumptions of classical hermeneutical thought.
Bernstein, Richard J. Beyond Objectivism and Relativism: Science,
Palmer, Richard E. Hermeneutics: Interpretation Theory in Schleier-
Hermeneutics, and Praxis. Philadelphia, 1983. A very useful
macher, Dilthey, Heidegger, and Gadamer. Evanston, Ill.,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3936
HERMES
1969. After a useful classification of six modern definitions
ly readable critique of Wach and, by implication, of the clas-
of hermeneutics and a discussion of the debate between Betti
sical hermeneutical tradition from a Wittgensteinian point
and Gadamer, the author discusses the four major theorists
of view.
of the title. Contains a very helpful bibliography.
VAN A. HARVEY (1987 AND 2005)
Ricoeur, Paul. Hermeneutics and the Human Sciences, Cambridge,
1982. With roots in the French phenomenological tradition,
Ricoeur has exerted a significant influence on Protestant the-
ology and hermeneutical theory through his analysis of reli-
HERMES was recognized in Mycenaean tablets, and his
gious symbolism and his examination of the hermeneutical
nature was described in early Greek poems as that of a clever
significance of Freud’s view of human nature.
mediator among the gods or between gods and men, or as
Robinson, James M., and John B. Cobb, Jr. The New Hermeneu-
an archetypal messenger. Hermes gave the kings of Mycenae
tic. New York, 1964. A collection of essays by German and
the scepter of Zeus (Homer, Iliad 100–108) and the lamb
American theologians dealing with the hermeneutical devel-
with the golden fleece, a fatal pledge of royalty for the Pelo-
opments in the Bultmannian school as represented by Ger-
pides (Euripides, Orestes 995–1000). The ancient authors
hard Ebeling and Ernst Fuchs.
show the Peloponnesus as the most ancient and important
Schleiermacher, Friedrich. Hermeneutics: The Handwritten Manu-
environment where Hermes’ cult had developed, but inscrip-
scripts. Edited by Heinz Kimmerle, translated by James Duke
tions and monuments show him worshiped everywhere in
and Jack Forstman. Missoula, Mont., 1977. An English
the Greek world. The Homeric Hymn to Hermes describes
translation of the various handwritten manuscripts found
after Schleiermacher’s death, including aphorisms dated as
him as the son of Zeus and the nymph Maia, locates his
early as 1805 and formal addresses as late as 1829. There is
abode in a cave of Cyllene, and ascribes to him the invention
an extremely helpful introduction by Heinz Kimmerle trac-
of the lyre, made from a tortoise shell.
ing the development of Schleiermacher’s thought on inter-
Hermes is also reported to have stolen fifty sacred cows
pretation.
from Apollo’s herd—he hid the theft by forcing the cows to
Toulmin, Stephen. Human Understanding, vol. 1, The Collective
walk backwards in order to produce reversed tracks. Hermes
Use and Evolution of Concepts. Princeton, N.J., 1972. Intend-
then discovered a means to light a fire, ritually sacrificed two
ed to be the first of three volumes. The author interprets con-
of the cows, then returned to his cave. Apollo discovered the
ceptual change in the sciences as rooted in “changing popula-
thief in spite of all Hermes’ tricks, but his wrath was assuaged
tions of concepts and procedures” that function within
intellectual communities. Especially useful for its discussion
when he saw the lyre and accepted it in exchange for the two
of the way in which, since Kant, two paradigms of knowing
cows Hermes had sacrificed. This trade was considered to be
have dominated the Western mind: relativism and formal-
the beginning of commerce.
ism.
Apollo granted Hermes the power of prophecy known
Wach, Joachim. Das Verstehen: Grundzüge einer Geschichte der her-
to three sacred women at Delphi, and Zeus made him the
meneutischen Theorie im 19. Jahrhundert. 3 vols. Tübingen,
lord of every herd and the only messenger to Hades (Homer-
1926–1933. A massive three-volume history of the problem
ic Hymn to Hermes 550–572). The same myth also appears
of hermeneutics that, unfortunately, has yet to be translated.
in the Ichneutai of Sophocles (fr. 314 Radt) and a Persian
Primarily descriptive and historical, it nevertheless reflects
version of a Hellenistic novel, the Vamiq and Adhra (see
the influence of Schleiermacher and Dilthey.
Hägg, 1989). Hermes’ symbol is the herald’s staff and his
Weber, Max. The Methodology of the Social Sciences. Glencoe, Ill.,
speed is symbolized by little wings on his boots and cap. The
1949. Contains some of Weber’s methodological essays deal-
ancestry of the Attic priests Kerykes (literally, “heralds”) de-
ing with the problems of objectivity and value-freeness in the
scended from Hermes (e.g., Pausanias 1.38.3).
social sciences and the logic of the cultural sciences.
Weber, Max. Economy and Society: An Outline of Interpretative So-
Hermes was also worshiped by shepherds (Semonides,
ciology. 2 vols. Berkeley, Calif., 1978. This unfinished mas-
fr.18 Diehl; Homer, Odyssey 14.435–436); Pan, the god of
terwork of Weber contains his Katagorienlehre, his basic the-
sheep farming, was his son. Statues of Hermes often depict
ory of types and categories of social and economic action, as
him with a ram. In addition, Hermes granted fertility to cat-
well as his sociology of religion. There is an extremely useful
tle and was thus often represented as a phallus (Paus. 6.26.5)
introduction by Guenther Roth.
or as a phallic stele called a herma. Like Hercules, Hermes
Wittgenstein, Ludwig. Philosophical Investigations. 2d ed. Oxford,
stole cattle from the world of gods in order to take them to
1958. Although not directly concerned with hermeneutics as
the world of humans.
traditionally understood, the revolutionary view of language
proposed here has had a profound effect on modern philoso-
Hermes was worshiped by travelers, whom he protected
phy generally. The analysis of meaning and understanding
and guided, and he was the focus of a cult in which heaps
cannot be ignored by anyone dealing seriously with these
of stones where piled near roads (Hesychius, s.v. hermaioi
issues.
lophoi). The mythic origin of these heaps was the trial of Her-
Wood, Charles Monroe. Theory and Religious Understanding: A
mes, who was judged by the gods after he had killed Argos,
Critique of the Hermeneutics of Joachim Wach. Missoula,
the Argive cowherd, causing Io, a priestess of Hera who had
Mont., 1975. A published doctoral dissertation; an eminent-
been transformed into a cow, to run away from the herd.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HERMES
3937
Hermes was charged for this murder, but he was carrying out
The Falisci worshiped him as Titus Mercus, the Campani as
an order of Zeus when he killed Argos, and the gods voted
Mirikus. His name indicates that Mercurius was the god of
to acquit Hermes by throwing stones, forming the first her-
the merx, the wares, a god to whom mercatores (merchants)
maic heap. Thus, Hermes was called the Argiphontes (Killer
were especially devoted. In this capacity, Hermes was nor-
of Argos). The murder of Argos was another crime that
mally depicted as holding a money bag. The character of the
caused the passage of cattle from the herd of a god (Hera in
ancient Mercurius cult in Rome was plebeian; his temple
this case) to the world of humans. In fact, the temples of
near the Circus Maximus was dedicated in 495 BCE by the
Hera at Argos and in other towns owned sacred cows, which
plebeian centurion Laetorius (Livius 2, 27, 5–6), and his fes-
were used for sacrifices. The astuteness of Hermes and his
tival was celebrated on May 15. At Mercurius’s spring near
friendship with humans earned for him the character of a
Porta Capena, merchants ritually purified themselves and
trickster, a clever inferior god who gave people every means
their wares (Ovidius, Fasti 5.663–692). The cult was entrust-
of civilization (Burkert, 1984). Hermes was venerated as a
ed to the fraternity of the Mercuriales, who were guarantors
giver of fortune—the adjective hermaios meant gainful and
of commercial law, as the Fetiales were of the law of war.
the noun hermaion referred to an unexpected piece of luck.
In the second and first centuries BCE the community of
The cave of Hermes was a passageway to the nether-
Italic merchants at Delos organized a cult of thanks to the
world. In the Odyssey (24.1–14) Hermes acts as the psycho-
Hermaistai, a body of six magistri (Bruneau, 1970,
pomp and leads by his staff the souls of the Proci through
pp. 585–589). Colleges of Mercuriales were often engaged
the cave to the doors of Helios and the asphodel meadows,
in the cult of the emperor. In a private cult, Hermes was wor-
abode of deceased souls. As messenger of the underground
shiped and represented in the Lararia. He was thought to be
realms, Hermes is often appealed to in curse tablets, or defix-
the father of the two Lares, born of Lara, a nymph whom
iones, together with Hades and Persephone. Hermes was
Hermes raped as he led her to the netherworld. Hermes was
sometimes considered an inferior or servant god (Aeschylus,
also reputed to be the lover of the prophetic nymph Car-
Prometheus 954, 966, 983) and his cult included subordinate
menta, and with her the father of Evander. People seeking
people and even slaves (Athenaeus 14.636 B), although free
profits threw stones into heaps at crossroads in honor of
people and kings (e.g., Odysseus in Homer, Odyssey 10.275–
Mercurius (Martin of Bracara, Correction of the Peasants 7).
306) were helped by him as well.
In imperial times Hermes’ staff also became a symbol of
Hermes played a role in the rituals that preceded wed-
peace (Gellius 10, 27, 3) and reason (Julian, Contra Heracl-
dings; together with the nymphs, Pan, and Aphrodite, he was
eion 234 B; Ammianus 25, 4, 14).
worshiped by brides (Torelli, 1977, p. 166). At Samothracia,
Hermes granted his image, his name, and his myth to
Hermes was identified with one of the Kabeiroi (Scholium
a number of local gods of other cultures so that they could
to Apollonius Rhodius 1.916), and Herodotus (2.51) main-
be reconceived in a Greek or Roman fashion. A local Hermes
tains that the Athenian phallic hermae derived from a Samo-
was recognized by Herodotus (5, 7) as the god worshiped by
thracian tradition. Hermes was also worshiped in the myster-
Thracian kings. Among the Germans, Mercurius (identified
ies of Andania in Messenia (Sylloge Inscriptionum Graecarum
with Wodan) was worshiped with human sacrifices (Tacitus,
736). By the spring of Salmakis, near Halicarnassos, Hermes
Germania 9). Among the Gauls, Mercurius was widely wor-
and Aphrodite were thought to be the parents of a beautiful
shiped (Caesar, De bello Gall. 6, 17, 1), and the Church Fa-
boy who was beloved by the nymph of a spring; the boy re-
thers condemned human sacrifices in his honor (Minucius
fused the spring’s love, but when he entered the water of Sal-
Felix, Octavius 6, 1; Tertullianus, Apology 9; Scorpiace 7).
makis she embraced him and together they transformed into
The personality of the Roman Mercurius, god of roads and
Hermaphroditos (Ovidius, Metamorphoses 4.285–388).
merchants, perhaps also concealed the figure of Teutates, an-
According to Apollodorus (3, 28) and many Greek stat-
cient god of the community, who introduced civilization.
ues, the child Dionysos was entrusted to Hermes to protect
In the eastern provinces of the Roman Empire the ten-
him from the wrath of Hera. Hermes became increasingly
dency toward a solar henotheism, supported by Chaldaeans
important in the education of youth; his image and that of
and Stoics, gave Hermes the solar character we find particu-
Heracles were the most frequently dedicated in gymnasia.
larly at Baalbek-Heliopolis. Here Mercurius Heliopolitanus
The feature of Hermes as the hermeneus, the divine interpret-
was worshiped in a triad composed of him, Jupiter, and
er and god of wisdom, underwent much development after
Venus; and Hermes was seen as a solar god who protected
the teaching of Plato (Cratylos 407 E–408 B). Thus Hermes
cattle and vegetation. Hermes was also identified with the
became the medium between gods and humans, a medium
morning star, the messenger of the sun called Azizos at Edes-
often thought of as the Logos, the word of god (Diogenes
sa (Iulian, Hymn to Helios 34). In the Mithraic religion the
of Babylon, Stoicorum Veterum Fragmenta, III, 234–235),
planetary god Mercurius protected the first initiatic grade
the divine revelation, and even the donor of language to hu-
and was symbolized by the raven, considered to be the herald
mans.
of the sun god. The initiates of this grade served as waiters
Hermes’ image and mythology were lent to the Roman
at sacred dinners, according to the function of the god in
and Italic god Mercurius, who was called Turms in Etruria.
Olympus.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3938
HERMES TRISMEGISTOS
In Egypt Hermes was identified with Thot, the god of
mately as megistos kai megistos theos, megas Herm¯es (“greatest
wisdom and the scribe of the gods. Later in imperial times,
and greatest god, great Hermes”) or, more succinctly, as Her-
a new god, Hermanubis, was created in order to identify
mes Trismegistos (“thrice greatest Hermes”; Mahé, 1978–
Hermes with Anubis, who prepared the dead for their travel
1982, vol. 1, p. 1; vol. 2, p. 469).
to the netherworld. Like Hermes, both Thot and Hermanu-
Because this meaning soon became obscured, the title
bis hold a herald’s staff.
was reinterpreted in various ways. According to the eighth-
SEE ALSO Soul, article on Greek and Hellenistic Concepts.
century historian George Syncellus, who in part is confirmed
by Augustine (354–430 CE), Manethon (third century BCE)
B
supposedly taught that trismegistos is the surname of the sec-
IBLIOGRAPHY
Bettini, Maurizio. Le orecchie di Hermes: Studi di antropologia e let-
ond Hermes, son of Agathodemon (the Hellenized name of
terature classiche. Torino, Italy, 2000.
the god Khnum or Kneph) and the father of Tat (another
Brown, Norman Oliver. Hermes the Thief: The Evolution of a
version of Thoth), who is said to have transcribed the teach-
Myth. Madison, Wis., 1947.
ings of Thoth, the first Hermes, and stored them in Egyptian
sanctuaries (Nock and Festugière, 1945–1954, vol. 3,
Bruneau, Philippe. Recherches sur les cultes de Délos à l’époque hel-
lénistique et à l’époque impériale. Paris, 1970.
p. 163). These teachings, which had been engraved on tablets
by the first Hermes, his grandfather, before the flood, were
Burkert, Walter. “Sacrificio-sacrilegio: Il ‘trickster’ fondatore.”
supposedly discovered and made available in Greek by Ptole-
Studi Storici 25 (1984): 835–845.
my II Philadelphus (308–246 BCE). Later, a tradition pre-
Combet-Farnoux, Bernard. Mercure romain: Le culte public de
served especially by Hermias of Alexandria (fifth century CE)
Mercure et la fonction mercantile à Rome de la République ar-
justifies the title trismegistos on the basis that Hermes, after
chaïque à l’épopque augustéenne. Rome, 1980.
three successive reincarnations in Egypt, had “remembered
Eitrem, Samson. Hermes und die Toten. Oslo, 1909.
himself” and “recognized himself” (Mahé, 1978–1982, vol.
Freud, Sigmund. The Acquisition and Control of Fire (1932). In
2, pp. 474–475), a factor that had to be connected to the
The Standard Edition of the Complete Psychological Works of
Hermetic doctrine of rebirth (i.e., palingenesia; cf. Corpus
Sigmund Freud, translated by James Strachey, vol. 22. Lon-
Hermeticum 13 and Nag Hammadi codex 6.57–59). It must
don and New York, 1961.
be noted that the title trismegistos is bestowed also by Osiris
Hägg, T. “Hermes and the Invention of the Lyre: An Unorthodox
upon Agathodemon (Fragmenta Hermetica 32B).
Version.” Symbolae Osloenses 64 (1989): 36–73.
Thus, that literature in Greek, translated supposedly
Kahn, Laurence. Hermès passe: or, les ambiguïtés de la communica-
from the Egyptian (Corpus Hermeticum 16.2), that claims to
tion. Paris, 1978.
be the teachings of Thoth, the first Hermes, and of his disci-
Kerényi, Károly. Hermes der Seelenführer: Das Mythologem vom
ples or descendants is called Hermetic. In addition to the
männlichen Lebensursprung. Zurich, 1944. Translated by
names already cited, Hermes Trismegistos converses also
Murray Stein as Hermes: Guide of Souls. Rev. ed. Woodstock,
with his master Poimandres-Nous (“intellect”; cf. Corpus
Conn., 1996.
Hermeticum 1.11) and with his disciples Ammon and Ask-
Raingeard, Pierre. Hermès psychagogue: Essai sur les origines du culte
lepios (Asclepius 1), grandson of Asklepios-Imhouthes (Ascle-
d’Hermès. Rennes, France, 1934.
pius 37), himself the son of Ptah-Hephaistos (Stobaei Herme-
Torelli, Mario. “I culti di Locri.” In Locri Epizefirii: Atti XVI Con-
tica 23.6). In addition, Isis discusses with her son Horus a
gresso Magna Grecia. Naples, Italy, 1977.
revelation from the first Hermes that was given to her by her
Vernant, Jean-Pierre. “Hestia-Hermès: Sur l’expression religieuse
grandfather Kamephis (ibid., 23.33), probably distinct from
de l’espace et du mouvement chez les Grecs.” In his Mythe
Kneph-Agathodemon (Nock and Festugière, 1945–1954,
et pensée chez les Grecs: Études de psychologie historique, 3d ed.,
vol. 3, p. 164).
vol. 1, pp. 124–170. Paris, 1971. Translated as Myth and
Thought among the Greeks (London and Boston, 1983).
INVENTORY AND CHRONOLOGY OF HERMETIC LITERATURE.
To Thoth, the inventor of writing, the ancient Egyptians at-
Versnel, Hendrik S. Inconsistencies in Greek and Roman religion,
tributed all sorts of books, especially magical writings, secret
vol. 1, Ter Unus: Isis, Dionysos, Hermes; Three Studies in
Henotheism. Leiden and New York, 1990. See pages
techniques employed in temple workshops (e.g., the gilding
206–251.
of statues or the dyeing of fabrics), and theological writings
recopied or composed by the priests in the “house of life”
ATTILIO MASTROCINQUE (2005)
(pransh; Nag Hammadi codex 6.61.20). Thus the Greek
Hermetica that have come down to the present can be divid-
ed into two categories: works of occult sciences and philo-
HERMES TRISMEGISTOS.
sophical works.
Identified with Her-
mes in the Histories of Herodotos (fifth century BCE), the
1. Among the works of occult sciences, A.-J. Festugière
Egyptian god Thoth was sometimes called aa aa ur (or paa
(1942–1953, vol. 1, pp. 77, 240, 283) distinguishes three
paa paa). In the Egypt of the Ptolemies at the beginning of
kinds: (1) astrology, beginning in the third or second century
the second century BCE, this epithet was rendered approxi-
BCE, (2) alchemy, beginning in the second or first 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
HERMES TRISMEGISTOS
3939
BCE, and (3) magic, recorded in papyri of the fourth to sev-
gière, 1945–1954, vols. 1–2): a compilation of Hermet-
enth centuries CE that reproduce sources obviously much
ic treatises done after Stobaios and before Michael Con-
more ancient. The interested reader may turn to Festugière
stantine Psellus (eleventh century BCE). The connection
(ibid.) for a thorough exposition of this occult literature in
of Corpus Hermeticum 18 to Hermetism is debated.
all its abundance and great complexity.
The Arabic Hermetic writings described by Louis Massignon
2. The philosophical works were originally grouped as
(in Festugière, 1942–1953, vol. 1, pp. 384–400) are mostly
collections of the discourses of Hermes with his various disci-
original compositions without any direct ties to the Greek
ples or of them among themselves. Of this undoubtedly very
Hermetica.
abundant literature, still preserved are only some fragments
and the texts of a few discourses that have come down to the
Outside of Asclepius, the Middle Ages knew nothing of
present through subsequent intermediaries. These may be
the philosophical works of Hermes except for some frag-
grouped into chronological order as follows:
ments mentioned by a very few Hellenists: Corpus Herme-
ticum 1–14 was translated into Latin by Marsilio Ficino in
(1) Fragmenta Hermetica 1–36 (Nock and Festugière,
1463; Corpus Hermeticum 16–18 and a part of the Stobaei
1945–1954, vol. 4): various fragments quoted in Greek,
Hermetica were published shortly thereafter in the sixteenth
Latin, or Syriac by several authors, from Tertullian (sec-
century; Nag Hammadi codex 6.6, 6.7, and 6.8 were discov-
ond-third century CE) to Bar Hebraeus (1226–1286).
ered in 1945 but were not made available to scholars until
To these fragments should be added the Papyri Vindo-
1970; Definitions of Hermes Trismegistos for Asclepius was
bonenses Graecae 29456r and 29828r (Oellacher, 1951;
published for the first time in 1956 in Yerevan, Armenia.
Mahé, 1984), as well as an Armenian fragment (Mahé,
1978–1982, vol. 2, p. 346; parallel with John Malalas,
As for dating the composition of the various treatises,
in Scott, 1924–1936, vol. 4, p. 233) and several Syriac
the Logos Teleios (Asclepius, Nag Hammadi codex 6.7, 6.8)
fragments (Brock, 1983, 1984, with some Greek
is scarcely older than the third century CE. Most of the Greek
parallels).
texts seem to have been written in the second century BCE,
yet they rest upon even older sources. Indeed, it is sometimes
(2) Asclepius 1–41 (Nock and Festugière, 1945–1954, vol.
a case of works or compilations that longer survives such as
2): a Latin adaptation of Logos Teleios, finished probably
the Sayings of Agathodemon (Corpus Hermeticum 10.25, 12.1,
after 320 and before 410.
12.8), the General Discourses (Corpus Hermeticum 10.1, 10.7,
(3) Nag Hammadi codex 6 (Mahé, 1978–1982): codex 6
13.1; Stobaei Hermetica 4a.1; Stobaei Hermetica 6.1; Nag
of the Nag Hammadi collection (c. 340–370 CE), con-
Hammadi codex 6.63.2; Papyri Vindobonenses Graecae
taining Coptic translations of three treatises:
29456r and 29828r), the Diexodica (Fragmenta Hermetica
(a) Nag Hammadi codex 6.6, preserved without title
30; Asclepius 1 corr.; Nag Hammadi codex 6.63.3 corr.). In
and currently called The Discourse on the Eighth and
addition, the cited Papyri Vindobonenses Graecae, copied at
Ninth;
the end of the second century CE, reveals that at that time
a collection of the logoi of Hermes to Tat, comprising at least
(b) Nag Hammadi codex 6.7, The Prayer That They
ten treatises, had already been made. Going further, Strabo,
Spoke, parallel to Asclepius 41 and to the Papyrus
on a visit to Egypt in 24–20 BCE, mentions some Hermetic
Mimaut (Greek) of Paris;
literature that was not only astrological but also philosophi-
(c) Nag Hammadi codex 6.8, without title, a fragment
cal (Festugière, 1942–1953, vol. 1, p. 78). Finally, because
of Logos Teleios parallel to Asclepius 21–29 and to
Corpus Hermeticum 1.31 contains precise allusions to Jewish
three Greek quotations cited by Lactantius around
liturgy, it probably precedes the expulsion of Jews from
320, Cyril of Alexandria around 435, and Joannes
Egypt after the revolt of 115–117. Yet because Definitions
Stobaios around 500. The allusions of John Lydus
of Hermes Trismegistos for Asclepius 9.4 is the source of Corpus
(sixth century CE) to this same text can hardly be
Hermeticum 1.18, it dates at the latest from the first century
regarded as mere quotations.
CE and could well go back even further (Mahé, 1978–1982,
vol. 2, p. 278).
(4) Stobaei Hermetica 1–29 (Nock and Festugière, 1945–
1954, vols. 3–4): fragments or treatises quoted in Greek
ORIGINS AND ORIENTATIONS OF THE PHILOSOPHICA OF
by Joannes Stobaios in his Florilegium, which he com-
HERMES. Although the distinction between the Hermetic
piled around 500 for the education of his son.
writings on the occult sciences and the philosophical works
is easily supported by their differences in tone and content,
(5) Definitions of Hermes Trismegistos for Asclepius (Mahé,
the break is not total between the two genres. The prayer of
1978–1982, vol. 2), translated from Greek into Arme-
Asclepius 41 (Nag Hammadi codex 6.7) also appears at the
nian, probably in the second half of the sixth century
end of a magical formula for union with the sun (Mahé,
CE. Definitions 10.7 repeats Stobaei Hermetica 19.1; Def-
1978–1982, vol. 1, p. 141), and the magical papyri often
initions 11 is an interpolation drawn from Nemesius
contain invocations or myths comparable to those included
(c. 390 CE).
in the philosophical writings (Festugière, 1942–1953, vol. 1,
(6) Corpus Hermeticum 1–14 and 16–18 (Nock and Festu-
pp. 296–308; compare with the prayers of Corpus Herme-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3940
HERMES TRISMEGISTOS
ticum 5, 13, and Nag Hammadi codex 6.6, and with the
Book of Genesis (likewise Corpus Hermeticum 3) but also an
myths of Corpus Hermeticum 1, Asclepius, and Stobaei Herme-
apocalyptic scheme comparable to that of the Slavonic Apoc-
tica 23). Furthermore, the alchemical writings contain sen-
alypse of Enoch (2 Enoch). It also contains allusions to the
tences also found in the philosophical writings (Mahé,
Eighteen Blessings in the Jewish liturgy as well as to the reci-
1978–1981, vol. 2, pp. 309–310). Finally, certain philo-
tation of the ShemaE (Dt. 6:4–9). Corpus Hermeticum 13 and
sophical treatises contain magical words and symbols (Nag
Nag Hammadi codex 6.6 are close to the same traditions.
Hammadi codex 6.56.17f., 6.61.10f., 6.62.10f.), while Sto-
Comparison has also been made of the myth of the fall of
baei Hermetica 6 (to Tat, on the decans) is hardly distin-
souls in Stobaei Hermetica 23 (Kor¯e Kosmou) to that of the
guished from an astrological text except by its parenetic
fall of the angels in the Ethiopic Apocalypse of Enoch (1
epilogue.
Enoch), which may also have influenced Asclepius 25 (Nag
Hammadi codex 6.73.1f.). All these indications point to the
Composed in different periods by different authors, the
influence of the canonical books of the Bible as well as of the
Hermetic philosophical works do not present a consistent
apocryphal writings that were current among certain hetero-
teaching. They can be divided according to two tendencies:
dox Jewish circles; some of these may have had Gnostic ten-
The one, which is the greater part, is optimistic; the other
dencies, judging from Corpus Hermeticum 1; others, perhaps
inclines toward a rather pessimistic and Gnostic dualism
Essene, if indeed a tie can be seen between Stobaei Hermetica
(such as Corpus Hermeticum 1, 4, 13; or some passages of As-
23 and 1 Enoch. In addition, the Papyri Vindobonenses
clepius). Furthermore, the origin of this literature poses a
Graecae, cited earlier, bear on the front the discourse of
complex problem. It cannot be conceded that the Greek texts
Hermes with Tat and, on the back, the Book of Jannes and
are translations of ancient Egyptian writings. Indeed, noth-
Jambres, an apocryphal text or pseudepigraphon of the Old
ing that is directly comparable has been preserved either in
Testament.
hieroglyphic or in demotic Egyptian. The documents that
Eve A. E. Reymond calls “ancient Egyptian Hermetic writ-
The analogies between the teachings of Hermes and
ings” (Reymond, 1977) are simply secret writings that show
those of the Jewish exegete Philo Judaeus (d. 45–50 CE)
no verbal parallels or perhaps even no lexical affinities with
could be explained by Alexandrian scholarly traditions rather
the Greek Hermetica (Mahé, 1978–1982, vol. 2,
than by reciprocal influence. Indeed, the orientations of the
pp. 478–481).
two authors are distinct. Philo could not endorse pantheism,
immoderate esteem for astrology, theurgy, or the praise of
Moreover, the content of the Greek writings betrays a
statues and idolatry, all of which are often expressed in Her-
composite origin in which Egyptian inspiration combines
metic writings (Mahé, 1978–1982, vol. 2, pp. 318–320).
with Hellenic and Jewish influences. Festugière has shown
Apart from some allusions to divine mercy in Corpus Herme-
how the decline of Greek rationalism led to disguising tradi-
ticum 13.3, 13.8, 13.10 (cf. Ad Titum 3.5), a treatise highly
tional philosophical teachings as divine revelations attributed
influenced by Judaism, the God of Hermetism—“innocent”
to sages of Egypt or the Orient. Thus, the philosophy of
like that of Plato—sometimes sees to it that the guilty are
Trismegistos reflects the fundamental themes of Alexandrian
punished, but, unlike the biblical God, hardly ever thinks to
Hellenism concerning anthropogony, the origin and final
pardon them.
ends of the soul (Festugière, 1942–1953, vol. 3), and the op-
position between the cosmic god (ibid., vol. 2) and the un-
Underlining the importance of Hellenic and Jewish in-
known god of gnosis (ibid., vol. 4). In addition, many specif-
fluences in the Hermetica does not amount to denying Egyp-
ic arguments are borrowed from Greek philosophy. Thus,
tian inspiration. Contrary to the statement by Festugière
Stobaei Hermetica 1 illustrates a maxim of Protagoras (fifth
(1942–1953, vol. 2, pp. 30f.), it is not Platonic dialogue that
century BCE), repeated by Plato (Timaeus 28c), that it is im-
lies at the origin of the Hermetic logos but rather the collec-
possible to say anything about the divine essence. Stobaei
tion of ancient Egyptian wisdom (sbayt) sayings (mtrw) that
Hermetica 2A interprets, with the help of the doctrine of the
were formulated as the teachings of a “father” to his “son,”
four elements, the Platonic dogma that nothing exists by it-
because scribal and other intellectual functions were heredi-
self on earth. Stobaei Hermetica 3.1 cites Phaedrus 245c and
tary at that time. In the same way, the oldest Hermetic writ-
elaborates, along with Stobaei Hermetica 4–5, a physical the-
ings are some gnomologies such as Stobaei Hermetica 6 or
ory of forces and movement, of a very Hellenic inspiration.
Definitions of Hermes Trismegistos for Asclepius. Subsequently,
the sentences (which might be either connected to one an-
The influence of Judaism is equally certain. This is re-
other simply by conjunctions, or provided with commen-
vealed by the use of a vocabulary that is characteristic of the
taries, or illustrated by myths, or inserted into prayers) give
Greek Bible. Thus, God is termed kurios kai pater (“lord and
rise to the Hermetic logoi. In these the disciple, generally
father”) in Corpus Hermeticum 5.2 and 13.21, Asclepius 26,
called “my son,” sometimes timidly interrupts the master
Nag Hammadi codex 6.73.24, and Fragmenta Hermetica 23.
whom he calls “my father.” The Wisdom of Any (thirteenth
However, these Judaic influences are unequally distributed:
century BCE) contained already the start of such a dialogue.
They are very strong in some treatises, sporadic elsewhere,
and nonexistent in some. Thus Corpus Hermeticum 1 (Poi-
As in many Egyptian hymns, the Hermetic God is at
mandres) contains not only a cosmogony inspired by the
once “One and All”; he (or some derivative entity) is also “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
HERMES TRISMEGISTOS
3941
own father” and “his own mother.” He artistically designs
entirely unknown before the discovery of the codex. It is es-
the body of man (Corpus Hermeticum 5.6–7) with the same
sentially an adaptation of Platonic myths in Gorgias, Phaedo,
care as that of Khnum in the texts of Esna (Mahé, 1978–
and the Republic about the journey and judgment of the soul,
1982, vol. 2, pp. 291–294). In Stobaei Hermetica 23.32 Isis
giving Hades an aerial location. This has some similarities to
receives from the primordial god Kamephis the gift of the
Jewish apocalyptic, while the Egyptian element is practically
“perfect black,” (to teleion melan), namely Egypt (Kah nk¯em¯e,
nonexistent. After being examined by the Great Demon seat-
“black earth”); in Stobaei Hermetica 23.42, the lions are
ed between heaven and earth, the righteous soul goes to its
termed “sleepless,” an ancient Egyptian tradition (Nock and
proper resting place, while the evil soul is handed over to be
Festugière, 1945–1954, vol. 3, p. ccvi).
tormented by strangler demons, who scourge it and cast it
NEW WRITINGS DISCOVERED AT NAG HAMMADI. Along
in the celestial sea where fire and ice mass together. Yet God
with Greek and Jewish influences, several passages of the
is innocent of these torments.
writings discovered at Nag Hammadi bear the stamp of au-
In contrast with Nag Hammadi 6.8, Nag Hammadi 6.6
thentic Egyptian inspiration. Nag Hammadi codex 6.8 (par-
is a Gnostic treatise very similar to Corpus Hermeticum 13,
allel to Asclepius 21–29) opens with an evocation of the car-
nal union of man and woman presented, in accordance with
but with a more Egyptian setting. An anonymous disciple re-
Egyptian paganism, as a proper image of divinity. The refus-
minds Hermes of his promise to carry out his initiation by
al, expressed next by Trismegistos, to call “statues” the truly
bearing his thought to the Ogdoad and then to the Ennead,
living gods fashioned by men calls to mind the belief in ba,
that is, to the eighth and the ninth heavens (as in Corpus Her-
the soul of idols. Then comes a prediction by Hermes to Ask-
meticum 1.24–26). In the course of a conversation on spiritu-
lepios: Someday, under the pressure of foreign invaders, the
al regeneration, the disciple learns to recognize his “brothers”
Egyptians will cease to adore their gods, who will depart
and to pray to the “Father of the All.” Then the two conver-
from them. Formerly the image of piety, the country, full of
sants invoke “the invisible god whom one addresses in si-
barbarians and emptied of its ancient inhabitants, will be-
lence.” Chanting the seven vowels that correspond to the
come the image of impiety. The soil of Egypt and the waters
heavenly spheres, they reach the seventh, a symbol of piety
of the Nile will be impotent in the face of these misfortunes.
according to the divine Law, and exchange a kiss. The power
Because Egypt is “the image of heaven” and “the temple of
of light then descends upon them, and the first vision of the
the universe,” these human disorders will lead to a cosmic
Ogdoad takes place, if not only for Hermes, at least in an
catastrophe: People will cease to adore the world and to re-
incomplete manner for his disciple. The latter then directs
spect the soul and will invert their values and ally themselves
a hymn to his father, during which takes place a second vi-
with the bad angels. Therefore the balance of elements will
sion, more complete than the first, because the disciple sees
be upset, and evil will triumph until the Demiurge punishes
the Ogdoad, the Ennead and the One who creates in spirit.
the guilty and creates the world anew, as it was “the first
He salutes his father with the title trismegistos. Then he
time.” Then returning from the desert of Libya, the gods of
promises to maintain secrecy and utters a thanksgiving to
Egypt will enter the great “city by the sea,” which lies at the
God, the end of the All, who has allowed him to know Him
head of Egypt on the side of the sunset.
and to see himself. Next he chants the seven vowels over
again and concludes his prayer. Trismegistos orders him to
Without excluding the specific influence of foreign,
write everything in hieroglyphics on a stela that is to be
Jewish, and perhaps Iranian apocalypses, one might see a
placed in the open court of the temple of Hermes in Diospo-
similarity between this prediction and ancient Egyptian ora-
lis beneath a specific constellation. The stela will be sur-
cles: Iouper (twenty-second to eighteenth century BCE), Ne-
rounded by eight guards—the males having the faces of frogs
ferty (c. 2000 BCE), Demotic Chronicle (third century BCE)
(like the self-generating divinities of the Ogdoad at Hermop-
and, during the Hellenistic age, the Greek Oracle of the Lamb
olis) and the females having the faces of cats (a solar sym-
(under Ptolemy III, c. 246–221 BCE) and the Oracle of the
bol)—as well as by the “nine of the sun.”
Potter (c. 130 BCE). Contrary to Jewish traditions, Hermes
here is not an ecstatic visionary. He speaks calmly under the
In the imprecatory formula of the conclusion, a celestial
influence of wisdom alone. His vibrant praise of Egypt calls
hierarchy emerges to guard over the writing: the Unbegotten,
to mind Stobaei Hermetica 24.11–15, where Egypt, “our
the Self-begetting, the Begotten, and the Seven Ousiarchs (i.
most holy country,” is located at the heart of the earth; it is
e., the planetary gods penetrated by the demiurgic spirit).
represented, after the image of the god Geb, as a man lying
This hierarchy also appears in the report of Hippolytus (sec-
on his back facing the sky. References can be made as well
ond to third century CE) on the Perates, in the Mysteries of
to Nag Hammadi codex 2.122, where Egypt is referred to
Egypt by Iamblichus (c. 250–300), and in other writings
as an image of paradise. This Egyptian patriotism is coun-
from Nag Hammadi such as the Gospel of the Egyptians (Nag
tered by the defiance of Philo and other Jews, for whom
Hammadi codex 3.54). A comparison with the exegesis of
Egypt is a symbol of idolatry, ignorance, or concupiscence
Genesis 1–8 in Corpus Hermeticum 1.1–18 reveals a complex
of the flesh (Mahé, 1978–1982, vol. 2, pp. 85–88). The end
syncretism in which the Unbegotten, the Self-begotten, the
of Nag Hammadi codex 6.8 is a description of Hades that
Begotten, and the Seven Ousiarchs are identified, respective-
was not included in Asclepius, meaning that the former was
ly, with the Creator, Adam, Seth, and the seven generations
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3942
HERMES TRISMEGISTOS
from Seth to Noah (cf. Genesis 5.1–29) on the one hand and
BIBLIOGRAPHY
with the heavenly spheres on the other hand. Thus, reaching
Texts
the Ogdoad means not only escaping planetary Heimarmene
Corpus Hermeticum, 4 vols., edited by Arthur Darby Nock and
and subjection to the Law but also recovering the likeness
A.-J. Festugière (1945–1954; 2d ed., Paris, 1954–1960),
with a French translation, is to be preferred to any other edi-
and the glorious condition of Seth, the first man who was
tion. Walter Scott’s Hermetica, 4 vols. (Oxford, 1924–1936),
begotten in the form and image of the Self-begotten (i.e.,
is of interest for its commentaries, but the English translation
Adam), who in turn was made in the image of the Unbegot-
is based upon texts that are often distorted by arbitrary cor-
ten Creator. Just as God beholds himself in the Self-
rections.
begotten, according to Eugnostos the Blessed (Nag Hammadi
For Nag Hammadi codex 6.6, 6.7, and 6.8 and Definitions of Her-
codex 3.74–76), the disciple of Hermes is regenerated by the
mes Trismegistos for Asclepius, see my Hermès en Haute-Égypte,
vision of himself, which makes him similar to the primordial
2 vols. (Quebec, 1978–1982). It provides a critical edition
man. This Jewish background of the Hermetic palingenesia
of the three Hermetic treatises from codex 6 of Nag Ham-
madi and of their Greek and Latin parallels arranged in a syn-
strongly contrasts with the Egyptian setting of the dialogue.
opsis. The critical edition of the Definitions in volume 2 of
my Hermès en Haute-Égypte, based on the most conservative
The Prayer That They Spoke (Nag Hammadi codex 6.7),
branch of the manuscript tradition, differs markedly from
represented in codex 6 as the part following Nag Hammadi
the Armenian text that H. Manandian published, with a
codex 6.6 yet preserved in other contexts in Asclepius 41 and
Russian translation by S. Arevsatian, in Banber matenadarani
in the Papyrus Mimaut, concludes with the formula “Once
3 (1956): 287–314. Other Armenian Hermetic fragments
this prayer was said, they kissed one another and went to eat
are published in my Hermès en Haute-Égypte, vol. 2.
their food that was pure and without any blood.” One can
Nag Hammadi codex 6.6, 6.7, and 6.8 can also be read in Douglas
question at this point whether any Hermetic brotherhoods
M. Parrott’s Nag Hammadi Codices V, 2–5, and VI, with Pa-
existed, and Nag Hammadi codex 6.6 and 6.7 leave little
pyrus Berolinensis 8502, 1 and 4, “Nag Hammadi Studies,”
vol. 11 (Leiden, 1979), edited with the collaboration of
doubt about it: Indeed there were gnostics influenced by Ju-
James Brashler et al. for the Coptic Hermetica. The same
daism who invoked Hermes Trismegistos. They formed
volume also contains an English translation of Asclepius
communities like the one described in Corpus Hermeticum
21–29 and of parallel Greek fragments by George W.
1.27–31, in which fraternal meals were held, the kiss of peace
MacRae, based on the text of Nock. The Coptic text is excel-
was exchanged, and initiations were conducted into the mys-
lent, and its English translation is reliable, but the editors
tery of regeneration as described in Corpus Hermeticum 13
have not always drawn all the consequences from the com-
and Nag Hammadi codex 6.6.
parisons that occur with Greek and Latin texts. The edition
by Martin Krause and Pahor Labib, Gnostische und hermetis-
However, it should not be overlooked that philosophi-
che Schriften aus Codex II und Codex VI (Glückstadt, 1971),
is reliable neither in text nor in translation.
cal Hermetism originated in scholarly traditions before the
Papyri Vindobonenses Graecae 29456r and 29828r have been ed-
gnostics ever thought of laying claim to it, and that it contin-
ited by Hans Oellacher in his “Papyrus- und Pergamentfrag-
ued to develop independently of these same Gnostics. Thus,
mente aus Wiener und Münchner Beständen,” in Miscella-
Definitions of Hermes Trismegistos for Asclepius, a collection
nea Giovanni Galbiati, vol. 2 (Milan, 1951), pp. 182–188.
of philosophical definitions, served as a source before 115 CE
A new edition with my own corrections and comments has
for Corpus Hermeticum 1, a Gnostic treatise, and, in the
been published in Mémorial A.-J. Festugière (Geneva, 1984),
third century, for the Logos Teleios with a very different
pp. 51–64.
orientation.
Syriac Hermetic fragments are included in Nock and Festugière’s
Corpus Hermeticum, 2d ed., vol. 4, Fragments Hermetica
As a place of confrontation for the religious beliefs of
(Paris, 1960), and in Sebastian Brock’s “A Syriac Collection
ancient Egypt, for Greek philosophy, for Judaism, and for
of Prophecies of the Pagan Philosophers,” Orientalia Lo-
vanensia Periodica 14 (1983): 203–246, and “Some Syriac
gnosis, the philosophical writings of Hermes do not stand
Excerpts from Greek Collections of Pagan Prophecies,”
for a single doctrine, and they are not the “bible” of any reli-
Vigiliae Christianae 38 (1984): 77–90.
gion. Instead, they reflect the varied spiritual currents in Al-
On Hermetism and the occult sciences, see Festugière’s La révéla-
exandria during the first three centuries of the common era.
tion d’Hermès Trismégiste, vol. 1 (Paris, 1950), which also
Their relative unity is due mainly to their literary genre, in
contains (pp. 384–399), a catalog of Arabic Hermetic litera-
which the ancient gnomic sources always remain recogniz-
ture by Louis Massignon.
able even when the same sentence is commented upon differ-
Eve A. E. Reymond’s translation From Ancient Egyptian Hermetic
ently in one treatise as compared to another. The poignant
Writings, “From the Contents of the Libraries of the Suchos
fervor and brilliant stylistic success make certain passages, es-
Temples in the Fayyum,” pt. 2 (Vienna, 1977), seems to bear
pecially prayers, outstanding testimonials to the spiritual
no direct relation to the study of Hermetism. It is, instead,
a collection of demotic esoteric writings that are very deterio-
concerns of late paganism.
rated and difficult to identify; it was severely reviewed by
Wolfgang Brunsch in Wiener Zeitschrift für Kunde des Mor-
SEE ALSO Hermetism.
genlandes 73 (1981): 167–177.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HERMES TRISMEGISTOS
3943
See also Index du Corpus Hermeticum by Louis Delatte et al.
The Mysteries of Hermes Trismegistus (Utrecht, 1955) usefully
(Rome, 1977) and “Index of Coptic Hermetica” in volume
describes the process of interiorization or spiritualization in
2 of my Hermès en Haute-Égypte and in Prescott (1979).
the mystery practices of the Hermetica.
Studies
A history of the research on Hermetism and a discussion of the
A.-J. Festugière’s La révélation d’Hermès Trismégiste, 4 vols. (Paris,
studies on the subject are outlined in my Hermès en Haute-
1950–1954), remains the fundamental work. However, fo-
Égypte, vol. 2, pp. 3–43, in which I also attempt to study the
cused above all on Hellenism, it underestimates Egyptian
range of problems posed by this literature.
and Judaic influences. Its excessively rationalistic approach
New Sources
does not penetrate far enough into the mythological inten-
Betz, Hans Dieter. “Schöpfung und Erlösung in hermetischen
tions of the texts. One can make the same evaluation of the
Fragment Kore Kosmou.” Zeitschrift für Theologie und Kirche
collection of articles in Hermétisme et mystique païenne (Paris,
63 (1966): 160–187 (reprinted in Gesammelte Aufsätze, I:
1967) by the same author.
Hellenismus und Urchristentum, pp. 22–51. Tübingen,
Jean Doresse’s “L’hermétisme égyptianisant,” in Histoire des reli-
1990).
gions, edited by Henri-Charles Puech, vol. 2 (Paris, 1972),
Blanco, A. González. “Hermetism. A Bibliographical Approach.”
pp. 430–497, briefly surveys the principal monuments of
In ANRW 2.17.4, pp. 2240–2281. Berlin and New York,
Hermetism (writings in the occult sciences and philosophy,
1984.
archaeological materials, and iconography). Its main interest
Büchli, Jacob. Der Poimandres. Ein paganisiertes Evangelium.
lies in the connections to Egyptian civilization and with the
Sprachliche und begriffliche Untersuchungen zum 1. Traktat
respective positions of philosophical Hermetism and gnosti-
des Corpus Hermeticum. Tübingen, 1987.
cism. He points out the landmarks for the spread of Herme-
Camplani, Alberto, ed. Scritti ermetici in copto. Brescia, 2000.
tism in antiquity to Rome and India and in the Middle Ages
Colpe, Carsten, and Jens Holzhausen. Das Corpus Hermeticum
throughout the Muslim world and the West. The bibliogra-
Deutsch. Übersetzung, Darstellung und Kommentierung in drei
phy is very useful.
Teilen. Stuttgart and Bad Cannstatt, 1997.
On the Egyptian inspiration, Richard Reitzenstein’s Poimandres
Copenhaver, Brian P. Hermetica. The Greek Corpus Hermeticum
(1904; Stuttgart, 1966) is always suggestive but ought to be
and the Latin Asclepius in a New English Translation, with
used with prudence. One might rather follow the lines given
Notes and Introduction. Cambridge, U.K., 1992.
by Ph. Derchain in “Sur l’authenticité de l’inspiration égyp-
Daumas, François. “Le fonds égyptien de l’hermétisme.” In Gnos-
tienne dans le Corpus Hermeticum,” Revue de l’histoire des reli-
ticisme et monde hellénistique. Actes du Colloque de Louvain-
gions 161 (January–March 1962): 174–198, and F. Dau-
la-Neuve, 11–14 mars 1980, edited by Julien Ries, Yvonne
mas’s “Le fonds egyptien de l’hermétisme,” in Gnosticisme et
Janssens, and Jean-Marie Sevrin, pp. 3–25. Louvain, 1982.
monde hellénistique, edited by Julien Ries (Louvain, 1982),
Edwards, Mark J. “The Vessel of Zosimus the Alchemist.”
pp. 3–25.
Zeitschrift für Papyrologie und Epigraphik 90 (1992): 55–64.
On Jewish influences, C. H. Dodd’s The Bible and the Greeks
Faivre, Antoine. The Eternal Hermes: From Greek God to Alchemi-
(1935; London, 1964) is still fundamental for the influence
cal Magus. Grand Rapids, Mich., 1995.
of the Greek Bible. It can be completed with Birger A. Pear-
Fóti, Làszló. “Hermès Trismegiste et la mytologie égyptienne.” In
son’s “Jewish Elements in Corpus Hermeticum I” in Studies
Studia in honorem Làszló Fóti, pp. 9–27. Budapest, 1989.
in Gnosticism and Hellenistic Religions, edited by Roelof van
den Broek and Maarten J. Vermaseren (Leiden, 1981),
Fowden, Garth. The Egyptian Hermes: A Historical Approach to the
pp. 336–348; and four essays by Marc Philonenko: “Le Poi-
Late Pagan Mind. Princeton, 1986.
mandrès et la liturgie juive,” in Les syncrétismes dans les reli-
Gasparro, Giulia Sfameni. Gnostica et Hermetica. Saggi sullo gnosti-
gions de l’antiquité, edited by Françoise Dunand and Pierre
cismo e sull’ermetismo. Rome, 1982.
Lévêque (Leiden, 1975), pp. 204–211; “Une allusion de
Iversen, Erik. Egyptian and Hermetic Doctrine. Copenhagen, 1986.
l’Asclépius au livre d’Henoch,” in Christianity, Judaism and
Jackson, Howard. “Kore kosmou: Isis, Pupil of the Eye of the
Other Greco-Roman Cults, edited by Jacob Neusner, vol. 2,
World.” Chronique d’Égypte 61 (1986): 116–135.
Early Christianity (Leiden, 1975), pp. 161–163; “La plainte
Kahn, Didier. La Table d’émeraude et sa tradition alchimique.
des âmes dans la Kore Kosmou,” in Proceedings of the Interna-
Paris, 1994.
tional Colloquium on Gnosticism (Stockholm, 1977),
pp. 153–156; and “Une utilisation du Shema dans le Poi-
Löhr, Gebhard. Verherrlichung Gottes durch Philosophie. Tübing-
mandrès,” Revue d’histoire et de philosophie religieuses (1979):
en, 1997.
369–372.
Löw, Andreas. Hermes Trismegistos als Zeuge der Warheit. Berlin
and Vienna, 2002.
On the connections of Hermetism with gnosis and mystery reli-
gions, Hans Jonas’s Gnosis und spätantiker Geist, vol. 1, Die
Lucentini, Paolo, Ilaria Parri, and Vittoria Perrone Compagni,
mythologische Gnosis, 3d ed. (Göttingen, 1964), and Gilles
eds. Hermetism from Late Antiquity to Humanism. Turnhout,
Quispel’s Gnosis als Weltreligion (Zurich, 1951) make pene-
2003.
trating analyses of the Poimandres. Karl-Wolfgang Tröger’s
Mahé, Jean-Pierre. “Preliminary Remarks on the Demotic Book
Mysterienglaube und Gnosis in Corpus Hermeticum XIII (Ber-
of Thoth and the Greek Hermetica.” Vigiliae Christianae 50
lin, 1971) perceives a dualist treatise in Corpus Hermeticum
(1996): 353–363.
13 but places it at the edge of Gnosticism. Tröger considers
Merkel, Ingrid, and Allen G. Debus, eds. Hermeticism and the Re-
Nag Hammadi codex 6.6 as a “mysterium” but admits to the
naissance: Intellectual History and the Occult in Early Modern
existence of Hermetic communities. Gerard van Moorsel’s
Europe. Washington and London, 1988.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3944
HERMETISM
Moreschini, Claudio. Storia dell’Ermetismo cristiano. Brescia,
with the creation of the world, whereas the rest are devoted
2000.
to the soul’s ascension through the celestial spheres and its
Muslow, Martin, ed. Das Ende des Hermetismus. Tübingen, 2002.
divine sojourns, a process supposed to bring about the regen-
Paramelle, Joseph, and Jean-Pierre Mahé. “Nouveaux parallèles
eration of the human being. Hermetism is characterized by
grecs aux definitions hermétiques arméniennes.” Revue des
an eclectic mentality, a philosophical attitude that favors the
Études Arméniennes 22 (1990–91): 115–134.
concrete and eschews ontological dualism. Philosophically,
Paramelle, Joseph, and Jean-Pierre Mahé. “Extraits hermétiques
it stresses the positive, symbolic value of the universe. This
inédits dans un manuscrit d’Oxford.” Revue des Études Grec-
can be seen, for example, in the treatise in which Nous
ques 104 (1991): 109–139.
(Mind) addresses Hermes, who is taught how to reflect the
Quispel, Gilles. Asclepius. De volkomen openbaring van Hermes
universe in his own spirit, seizing the divine essence of nature
Trismegistus. Amsterdam, 1995.
and impressing it on the interior of his soul. This process is
Van den Broek, Roloef, and Cis van Heertum, eds. From Poiman-
made possible by the fact that the human being possesses a
dres to Jacob Böhme: Gnosis, Hermetism and the Christian Tra-
divine intellect. The predominate theme is the world as a
dition. Amsterdam, 2001.
mirror of the divine and object of contemplation (God is
Van den Broek, Roelof, and Gilles Quispel. Corpus Hermeticum,
known through the contemplation of the world). Hence the
ingeleid, vertaald en toegelicht door. Amsterdam, 1996.
focus of the C.H. (and of many of the Hermetica, for that
matter) on the particular, the mirabilia, often to the detri-
JEAN-PIERRE MAHÉ (1987)
ment of the abstract and the general. The C.H. invites the
Translated from French by Paul C. Duggan
Revised Bibliography
reader to undertake the work of regeneration through a reas-
cent, which can be accomplished either by means of the in-
tellect via a connection with intermediary spiritual intelli-
gences (such as intermediate spirits) that are used as spiritual
HERMETISM designates the pagan corpus (written for
ladders, or by theurgical means, or by both. Explicit in Her-
the most part in the region of Alexandria) of the so-called
metism is a belief in an astrological cosmos, often viewed as
Hermetica, which contains the pagan writings called Corpus
the scene of an initiatory journey.
Hermeticum (second and third centuries CE) attributed to the
legendary figure Hermes Trismegistos (also Trismegistus),
The long trail of the Christian interpretation of philo-
otherwise called Mercurius. Neo-Alexandrian Hermetism
sophical Hermetism originates in the fourth and fifth centu-
(henceforth often referred to as Hermetism also) designates
ries, namely with the works of Lactantius and Quodvultdeus
the various philosophically and/or esoterically oriented adap-
on the one hand, and Augustine on the other. These men
tations and commentaries which that corpus has given rise
represent two opposing paradigms of response to the Asclepi-
to, particularly in the modern period (i.e., from the Renais-
us. In his Divinae institutiones (304–313), Lactantius cited
sance up to the present time). Neo-Alexandrian Hermetism
numerous fragments from the Asclepius. He devoted several
constitutes one of the modern esoteric currents and is the
laudatory lines to Hermes Trismegistos and detected in him
subject of most of this article. The term Hermeticism, which
a herald of Christ’s coming. Lactantius interpreted the creat-
is more vague, frequently has been used as a synonym for es-
ed world (the second god of the Hermetic hierarchy) as the
otericism and alchemy.
Word made flesh. Augustine, although in agreement with
Lactantius about the antiquity of Hermes Trismegistos (he
The Corpus Hermeticum had a strange destiny. In the
lived “a long time before the wise men and philosophers of
Middle Ages, besides the Asclepius, only a few rare extracts
Greece”), in his De civitate Dei (415–417 CE, City of God,
were known, and yet their supposed author Hermes
VIII, 13–26) he condemned the Asclepius because of passages
Trismegistos, clouded by an aura of mystery, never ceased
that discuss magical processes intended to animate the stat-
to be a subject of great interest. Not until the dawn of the
ues of gods by making spirits descend into them. Augustine
Renaissance did the writings come back to light, a rediscov-
denied that daimones (demons) could be regarded as neces-
ery that gave rise to a considerable amount of interest.
sary mediators between gods and mortals, and he strongly
LATE ANTIQUITY AND THE MIDDLE AGES. The Corpus Her-
distinguished Hermetic teachings from “true religion.” De-
meticum (henceforth referred to as C.H.) was written in the
spite the unquestioned authority of Augustine, Lactantius’s
second and third centuries CE. It is a collection of eighteen
views generally prevailed in the Middle Ages, because the
treatises (I–XVIII). Annexed to it is the Asclepius (originally
Tractatus adversus quinque haereses (c. 430) by Quodvult-
known in Greek as Logos Teleios and translated into Latin in
deus, bishop of Carthage, who stood in Lactantius’s wake,
the fourth century), which in early periods was falsely attri-
was included in a collection of works written by Augustine
buted to Apuleius of Madaura. Unlike the C.H. proper, the
and therefore falsely attributed to the latter. Clement of Alex-
Asclepius has survived in an ancient Latin translation only
andria also mentioned (Stromateis 6.4) Augustine, to whom
(the original Greek version has never been found; a large part
he attributed a great number of philosophical works.
of it in Coptic translation surfaced only as late as the twenti-
eth century, in the Nag Hammadi Library). The first (num-
Hermetism seems to have all but disappeared from the
bered I) of these eighteen treatises is the most famous. It deals
scene of Latin culture in the centuries between the dissolu-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HERMETISM
3945
tion of the Roman Empire and the twelfth century. But from
available texts. His first reference to Mercurius appears in his
the twelfth century on it resurfaced thanks to the few texts
Sermo I (1430), in which, drawing on Lactantius, he credits
that had survived. Alan of Lille (c. 1128–1203) made fre-
Hermes with the real knowledge of the divine Word. More-
quent use of cosmological Hermetic elements. In his Summa
over, his Christian interpretation of Hermetism is confirmed
Quoniam homines and Contra haereticos, he extols the Egyp-
by numerous autographic glosses placed in the margins of his
tian sage Hermes’s knowledge about the unity of God. The
copy of the Asclepius (MS Bruxelles, Bibliothèque Royale
Glosae super Trismegistum may be attributed, if not to Alan
10054–10056). On several occasions in his De docta ignoran-
himself, then to someone who stood close to him. In this
tia (1440) he extols the Hermetic doctrine of God as “one
work, the author proposes that Mercurius, more than other
and everything.”
philosophers, reflected upon the mysteries of the heavenly re-
alities. Two texts in the thirteenth century were the subjects
Finally, another famous text has to be mentioned within
of much commentary. First, the Liber viginti quattuor philo-
this short summary. It is the Tabula Smaragdina (The Emer-
sophorum, attributed to Mercurius, contains a summary of
ald Tablet, or The Smaragdine Table of Hermes, henceforth
definitions of God, as formulated by an assembly of twenty-
referred to as T.S.), also attributed to Hermes Trismegistos.
four sages. It is in part the work of a Christian, who endeav-
Originally written in Greek (the original version is lost), its
ors to demonstrate the congruence of Neoplatonic and Her-
earliest extant version (934 CE) is in Arabic, set within a small
metic teachings with those of the Bible and of Catholicism.
alchemical and philosophical treatise entitled The Book of the
Second, the Liber de sex rerum principisi (written sometime
Secrets of Creation. T.S. has lent itself to innumerable discus-
between 1147 and 1175) deals with divine and natural cau-
sions and esoteric commentaries. Hugo Sanctelliensis, bish-
sality and establishes a concord between the Platonic tradi-
op of Tarazona (Spain) translated it into Latin from the Ara-
tion and Arab sources.
bic for the first time in the twelfth century, along with the
Liber de secretis naturae et occultis rerum causis quem transtulit
Toward the end of the twelfth century, Hermetism un-
Apollonius ex libris Hermes Trismegisti.
derwent some changes. First, a number of theological and
cosmogonical pseudo-epigraphs attributed to Mercurius sur-
THE REDISCOVERY OF HERMES TRISMEGISTOS IN THE RE-
faced. Second, translations from the Arabic and the Greek
NAISSANCE. In Florence in 1450, Cosimo de’ Medici the
appeared that heralded a different kind of Hermetic litera-
Elder (the ruler of Florence and a great patron of letters) en-
ture characterized by an impressive number of writings de-
trusted Marsilio Ficino with the creation of a Platonic acade-
voted to forms of operational knowledge—that is, to prac-
my. One of their intentions was to have the available writings
tices like magic, astrology, alchemy, botany, medicine, and
of Plato translated into Latin. Then, around 1460, an event
divination. This new trend developed alongside philosophi-
occurred that assured the sudden, unprecedented influence
cal Hermetism without conflict, except in the works of Wil-
of the Hermetic texts. A monk, Leonardo da Pistoria,
liam of Auvergne. This latter, bishop of Paris (1228–1249),
brought to Florence a Greek manuscript containing fourteen
was one of the most erudite theologians in such matters.
treatises that constituted most of what would later be called
Well-versed in the literature from Greece and Islam, he
the C.H. These treatises had already been gathered together
sharply criticized Hermetism, taking sides with Augustine
in the eleventh century, and it was in that form that the By-
against Lactantius (see, for example, his De Legibus, 1228),
zantine Platonist Psellus had known them. Da Pistoria, who
at least with regard to “magical” knowledge.
had found the document in Macedonia, presented it to Cosi-
In the same period, Michael Scot in his Liber introduc-
mo de’ Medici. The latter, having deemed it more urgent to
torius (1228–1235) and in his commentary on Giovanni
translate the C.H. into Latin than Plato’s works, assigned the
Sacrobosco’s De sphaera attests to the circulation of the Ascle-
task to Ficino. His translation of the fourteen treatises (C.H.
pius. Toward the middle of the thirteenth century, Roger
I–XIV) was finished in 1463 and printed at Treviso in 1471
Bacon (in his Opus maius and Metaphysica, both completed
under the title Mercurii Trismegisti Pimander Liber de pote-
in 1267) displayed strong Hermetic leanings and showed
state et sapientia Dei, or Pimander, together with a prefatory
himself to be an insightful reader of the Asclepius. Similarly,
argument (Argumentum) by Ficino himself. In his Argumen-
Albertus Magnus (Albert the Great) tried to harmonize the
tum, Ficino also called attention to the Asclepius, which he
philosophical elements of the Asclepius and the image of Her-
considered as “the most divine” of this kind of literature (an
mes, in whom he saw the magus who has unveiled the secrets
edition had just been printed in Rome in 1469 as an insert
of nature and discovered the correspondence between heaven
in Apuleius’s Opera). By 1505 the C.H. and the Asclepius had
and earth (see for example his Liber de intellectu et intelligi-
been combined in a great number of editions. Later, a series
bili, 1260; De animalibus, c. 1260; De causis et processu un-
of other Hermetic texts, the so-called Stobaei Anthologium
iversitatis, 1263–1267). In the fourteenth century Thomas
(compiled c. 500 CE by Johannes Stobaeus of Macedonia)
Bradwardine, the famous mathematician and theologian at
was added to that corpus (part of the Anthologium was pub-
Merton College (Oxford), in his De causa Dei (1335–1344)
lished in Venice in 1536, another part in Zurich in 1543,
cites Hermes as the first authority among the philosophers.
and the rest in Antwerp in 1575).
Among the authors of the fifteenth century, Nicholas
The C.H. (often published under the title of the first
Cusanus demonstrates a good knowledge of many of the
treatise, Poimandres, rendered as Pimander since Ficino’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
3946
HERMETISM
1471 translation) and the Asclepius enjoyed considerable suc-
edited it in 1505) is a fictitious conversation (very much in
cess. Up to 1641, no fewer than twenty-four editions ap-
the form of the dialogues contained in C.H.) between Lazza-
peared, not counting partial ones or translations into other
relli, who plays the role of the initiator, and Ferdinand I of
European languages. They became a central element in Re-
Aragon and his prime minister Giovanni Pontano, who are
naissance culture and were most popular among the learned
cast in the role of pupils. Crater Hermetis may be among the
and prominent members of society. Anthony Woodville’s
most interesting examples of Hermetic-Christian syncretism
English translation of a few of these texts in the anthology
written during the Renaissance. It is certainly one of the im-
The dyctes or sayengis of the philosophers (Westminster 1477,
portant Hermetic texts of its time, if not for its direct influ-
the first dated book in the history of English printing), pub-
ence, then at least with regard to the depth and originality
lished by William Caxton, bears witness to the early, albeit
of its contents.
discreet, presence of the C.H. in England. Woodville’s an-
In 1482, Lazzarelli, convinced of the equality of the
thology was later incorporated into other anthologies.
Bible and the Hermetic writings, dedicated to Correggio a
As had been the case prior to that period, the Hermetic
manuscript he had just completed. The manuscript consisted
treatises were considered the expression of a philosophy that
of three parts, each one opening with a dedicatory preface.
had been transmitted over the sweep of centuries. Ficino
The first part contained Marsilio Ficino’s translation of the
called the philosophy prisca philosophia. Later it would be
Pimander (1471, i.e., C.H. I–XIV). The second contained
called, albeit in a slightly different sense, philosophia perennis.
the Asclepius. The third contained the first Latin translation,
This term was introduced by an Italian Augustinian and Vat-
by Ficino, of C.H. XVI–XVIII—that is, three extra treatises
ican librarian, Agostino Steuco (De perenni philosophia, Lyon
which he had apparently discovered in a separate manuscript
1540, new ed. 1590). Although staunchly attached to the
(unfortunately not preserved). He titled these treatises Dif-
Church’s magisterium, he too tried to reconstruct the an-
finitiones Asclepii ad regem Ammonem. Lazzarelli appears to
cient philosophy as a foundation for restoring Christian
be a pure example of a Christian Hermetist in the Renais-
unity. The C.H., the Asclepius, and Hermes Trismegistos
sance (in addition to being one of the first noteworthy au-
were thus thought to belong to a far distant past, namely to
thors instrumental in the early development of a Christian
the age of Moses or even earlier. Although pagan in charac-
Qabbalah). Strangely enough, Frances A. Yates almost passed
ter, they were considered to foreshadow Christian truths and
over him in her ground-breaking books published in 1964,
so to give new depth to the Christian revelation. In his Argu-
and not until recently have scholars (in particular, Claudio
mentum, Ficino describes a “genealogy of wisdom”—
Moreschini and Wouter J. Hanegraaff) done him justice.
explicitly referred to as prisca theologia—consisting of six
Jacques Lefèvre d’Étaples’s first edition of his Pimander
main figures: Mercurius (Hermes) Trismegistos, Orpheus,
(Paris, 1494) contains, besides Ficino’s translation, a series
Aglaophemus (an Orphic teacher of Pythagoras), Pythagoras,
of commentaries (Argumenta) of his own (long attributed to
Philolaus, and Plato. That list was later to undergo various
Ficino). The second edition (Paris, 1505) was augmented
changes depending on the author who presented it. Giovanni
with both the Asclepius and Lazzarelli’s Crater Hermetis (in
Pico della Mirandola’s Oratio de hominis dignitate (1486) be-
an abridged version). Interestingly, it was the first time that
gins with a reference to the “Magnum, O Asclepi,
the Asclepius had been published with the C.H. Also at this
miraculum” passage of the Asclepius (Ascl. 6). Pico combined
time, Symphorien Champier, an admirer of Ficino and disci-
the Hermetic philosophy with the Qabbalah, which he be-
ple of Lefèvre d’Étaples, did not hesitate to derive all of
lieved had been entrusted to Moses on Mount Sinai.
Greek philosophy from Hermes. He considered the famous
passage from the Asclepius on magic and animated statues to
On Palm Sunday of 1484, Giovanni da Correggio, in
be an interpolation by Apuleius and thus not to be attributed
bizarre dress and in strange company, appeared in Rome. On
to Hermes. He goes as far as to include into the tradition of
the banks of the Manara he put on a crown bearing the in-
prisca theologia the doctrines of the Druids and elements
scription “This is my son Poimandres, whom I have chosen”
drawn from the Qabbalah. His Liber de quadruplici vita:
and made a speech in which he called himself the “angel of
Theologia Asclepii Hermetis Trismegisti discipuli cum commen-
Wisdom, Poimandres, in the most sublime manifestation of
tariis . . . (Lyon, 1507) contains Lazzarelli’s translation of
the Lord Jesus Christ.” Then, making his way to the Vatican,
Diffinitiones Asclepii, among other texts, but Champier sub-
he deposited diverse objects on the throne of Saint Peter. In
stituted a commentary of his own for Lazzarelli’s prefaces.
1496 he turned up again in Florence and then in Lyons. Lo-
dovico Lazzarelli, who saw in Giovanni a new and divine
As exemplified by Lefèvre and Champier, the French
prophet whom he considered as his mentor, has left a vivid
were generally much more cautious than their Italian or Ger-
description of this event in a manifesto titled Epistola Enoch,
man counterparts regarding the “magical” elements of the
published probably in Milan c. 1490. Another text by Lazza-
C.H. and the Asclepius. This tendency to downplay the magi-
relli, Crater Hermetis (complete title: A Dialogue on the Su-
cal in favor of a more noble, essentially philosophical inter-
preme Dignity of Man, Entitled the Way of Christ and the Mix-
pretation can be seen also in Pontus de Tyard, bishop of
ing-Bowl of Hermes which he wrote probably between 1492
Châlons (Deux discours, 1578). Indeed, almost all French ad-
and 1494 (it remained unpublished until Lefèvre d’Etaples
herents of the prisca theologia dealt with Hermetism 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
HERMETISM
3947
perspective of Christian apologetics. This is reflected, for in-
Cantica tria (Venice, 1525; Paris, 1545, 1546; French trans-
stance, in Gabriel du Préau’s Mercure Trismégiste ancient
lation by Guy Lefèvre de la Boderie, Paris, 1578) and In
Thelogien & excellent Philosophe, de la puissance & sapience de
Sacram Scripturam Problemata (Venice, 1536; Paris, 1622).
Dieu . . . Auecq’ un Dialogue de Loys Lazarel poëte chrestien
These two works represent an original construction aimed
intitulé le Bassin d’Hermès (Paris, 1549; new ed., 1557), the
at making Ficino’s Hermetic prisca theologia coincide with
first edition in French of C.H. I–XIV, of the Asclepius, and
Neoplatonism, Qabbalah, astrology, and even alchemy. De
(as the title indicates) of Lazzarelli’s Crater Hermetis. Du
Harmonia Mundi would enjoy a lasting success in several mi-
Préau’s book also contains abundant commentaries of his
lieus, in particular among the representatives of most esoteric
own, some of which were designed to establish parallels be-
currents. Heinrich Cornelius Agrippa and Guillaume Postel
tween the narrative of creation according to Moses and that
would be among his enthusiastic followers.
of C.H. I (Pimander).
Giordano Bruno recommended a “new” philosophy
The French Catholic scholar Adrien Turnèbe published
founded on Hermetism. In his works he makes frequent use
the first edition of the C.H. (Paris, 1554) in the original
of the Hermetic texts (notably in Spaccio della bestia triom-
Greek, based on the manuscript used by Ficino and accom-
phante, 1584). In contrast to that of Ficino and the French,
panied by the latter’s Latin translation, as well as by Lazarel-
his Hermetism represented an aggressive return to Hermetic
li’s translation of the additional treatise. A preface by Angelos
magic. Unlike most other Hermeticists of his time, Bruno
Vergerius emphasizes the resemblances of Hermetism to
was not a Christian and did not identify the intellectus and
Christianity. In the wake of such scholarly publications,
Filius Dei of the C.H. with the second person of the Trinity,
François Foix-Candale, bishop of Aire, near Bordeaux, au-
and thus he did not share the hope nursed by others that gen-
thored another edition in 1574 (C.H. I–XIV, accompanied
eral acceptance of Hermetism might effect a religious recon-
by some other hermetic texts). Five years later he produced
ciliation. In fact, Bruno did not desire a reformed Christen-
very extensive commentaries of his own in French in his Le
dom, but rather a return to the cults or beliefs of ancient
Pimandre de Mercure Trismégiste: de la Philosophie Chrestien-
Egypt as described in the C.H. and particularly in the Asclepi-
ne, Cognoissance du Verbe Divin . . . (Bordeaux, 1579, new
us. In 1591 he tried to win over to his views Clement VIII
ed., Paris, 1587), in which the Hermetic texts serve as topics
in Rome, but his radical interpretations led him to the stake
for meditation on a variety of questions, such as the Soul of
in 1600.
the World, the spirits of the elements, and the celestial bo-
In Germany, some of Sebastian Frank’s works attest to
dies. Among various sources, Foix drew on the philosophia
an interest in Hermetism. His Die Güldin Arch (Augsburg,
occulta of the Renaissance, and his book foreshadows some
1538) presents itself as a collection of biblical sayings and
of the themes that Christian Theosophy would develop from
paraphrases, together with extracts from “illuminated pagans
the seventeenth century onward.
and philosophers” such as Hermes Trismegistos. In Basel
Ficino’s Opera omnia also appeared in this decade
(1542), Frank translated into German both the Asclepius and
(1576). Six years later at Anvers the Huguenot Protestant
C.H. I–XIV and included long commentaries dealing mostly
Philippe du Plessis-Mornay (called the Pope of the Hugue-
with commonalities between the Bible and Nature. It re-
nots) published his famous book De la vérité de la religion
mains unpublished; the manuscript is preserved in the Stadt-
chrestienne . . . (Antwerp, 1581), written at a time when
bibliothek Augsburg. In the second half of the sixteenth cen-
William of Orange was trying to establish religious tolerance
tury, Valentin Weigel, the father of Germanic Theosophy (of
at Anvers. Du Plessis-Mornay employed Hermetism in fash-
which Jakob Boehme was to be the greatest exponent at the
ioning a religious position that stood above all religious con-
beginning of the seventeenth century), cites the name of
flicts, and which was close to that of Erasmus—but with an
Hermes Trismegistos more than that of any other author of
additional esoteric dimension. He compared the C.H. with
his time—more than Dionysius the Areopagite, Plato, or Au-
the Zohar and made mention of Orpheus, Zarathushtra, and
gustine. Like Agrippa, however, Weigel invokes this presti-
the sibyls, but especially of Hermes, “the source of them all.”
gious name more often than he utilizes the Hermetic texts
As is common among the French, his Hermetism is mystical
themselves. Traces of Hermetic influence are also noticeable
and theological. This work was published several times in a
in Copernicus, who cites Hermes in reference to the sun con-
Latin translation and proved to be influential in the develop-
sidered as the visible God. Another German, Henricus Cor-
ment of Protestantism in France. Translated into English by
nelius Agrippa focused on the esoteric side of Hermes
Sir Philip Sidney and Arthur Golding in 1587, it is among
Trismegistos. Besides quite a few passages in his famous De
the main expositions of Hermetism in the tradition of
Occulta Philosophia (1533), several writings of his are devot-
Ficino.
ed to a hermeneutics of the C.H., particularly its third trea-
tise: Oratio in praelectionem Hermetis Trismegisti de Potestate
Along with Foix, some other important sixteenth-
et Sapientia Dei (Cologne, 1535; an “oratio” given at the
century authors, such as Giorgio, Bruno, and Agrippa, must
University of Pavia in 1515); Liber de triplici ratione congnos-
be counted as influential in later Hermetism and esoteric lit-
cendi Dei (1516); and Dehortatio gentiles theologiae (c. 1526,
erature. Francesco Giorgio (or Zorzi), who belonged to the
a text that, unlike his other two, distances him from Herme-
Order of Friars Minor, authored De Harmonia Mundi totius
tism).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3948
HERMETISM
Despite the presence of a famous name like Agrippa, the
VI, the English Protestants had already begun to break with
Germanic countries in general had little part in the golden
the past, going so far as to destroy books and libraries. Under
age of European Hermetism, which lasted approximately
the reign of Mary, a Hispano-Catholic intolerance went even
from Ficino to Kircher. Agrippa wrote his main works before
further in that direction. Puritan Anglicanism under Eliza-
the Reformation, and Kircher composed his main ones in
beth lost all trace of Erasmian tolerance, and Hermetism suf-
Rome. This may be due in part to the fact that during this
fered accordingly, at least in the official milieus of the Angli-
period humanism made only slight progress in those coun-
can Church and the universities. It continued to develop
tries, hampered as it was by the barrier that Lutheranism had
within private circles, however, such as those that formed
erected against it. Therefore, neo-Alexandrian Hermetism,
around Sir Philip Sidney and Queen Elizabeth’s astrologer,
by its very nature a legacy of ancient Greek literature, re-
John Dee. In addition to Sidney and Dee, who were enthusi-
mained mostly a subject of study for the humanists, even
asts of Hermeticism and esoteric literature, is Richard Hook-
after the C.H. had been translated into Latin by the Italian
er, who often cited the C.H. in his work The Laws of Ecclesi-
Ficino. As a consequence, over that period almost all the
astical Polity, which began to appear in 1593. Hooker,
noteworthy commentators of the C.H. were French and
however, did not identify himself with the Hermetic tradi-
Italian.
tion as such.
Not until the last two decades of the sixteenth century
Any overview of neo-Alexandrian Hermetism must also
did two other authors of importance emerge. First, the Ital-
give attention to the T.S., a short text that circulated in a
ian Capuchin Hannibal Rossel, whose Pymander Mercurii
Latin translation as early as the twelfth century. Its first print-
Trismegisti at six volumes (Cracovia 1585–1590) is not so
ed edition, also in Latin and titled Tabula Smaragdina, ap-
much a commentary on the C.H. as an encyclopedic roll-call
peared in a compilation of alchemical texts, De Alchemia
of a variety of philosophical themes, along with a presenta-
(Nurnberg, 1541). Its brevity permits us to quote it here in
tion of C.H. I–VII and the Asclepius. This work was popular
full:
enough to require a second issue, this time in one volume
(Cologne, 1630). Second, Francesco Patrizi’s Nova de univer-
True it is, without falsehood, certain and most true.
sis philosophia (Ferrara, 1591) contains C.H. I–XIV (as estab-
That which is above is like to that which is below, and
lished by Turnèbe and Foix de Candale), the Asclepius, C.H.
that which is below is like to that which is above, to ac-
XVI–XVIII (Diffinitiones Asclepii), the medieval so-called
complish the miracles of one thing. And as all things
were by contemplation of one, so all things arose from
Theologia Aristotelis, and a new Latin translation of these
this one thing by a single act of adaptation. The father
texts. In the dedicatory preface, Patrizi asked Pope Gregory
thereof is the Sun, the mother the Moon, the Wind car-
XIV to place the C.H. on the academic curriculum as an al-
ried it in its womb, the earth is the nurse thereof. It is
ternative philosophy. Indeed, he sharply criticized Aristote-
he father of all works of wonder throughout the whole
lian philosophy and wanted it to be ousted from Jesuit-run
world. The power thereof is perfect. If it be cast on to
colleges. Patrizi portrayed the true magus as one who is de-
the earth, it will separate the element of earth from that
voted to God, and true prisca magia as the true religion. He
of fire, the subtle from the gross. With great sagacity it
claimed that a single treatise from the C.H. contained more
doth ascend gently from earth to heaven. Again it doth
philosophy than all of Aristotle, thereby advocating the study
descent to earth, and uniteth in itself the force from
of Plotinus, Proclus, and the early Fathers while discouraging
things superior and things inferior. Thus thou wilt pos-
the study of the Scholastics. In the spirit of the Counter-
sess the glory of the brightness of the whole word, and
Reformation, he took up the question of a new catechism
all obscurity will fly far from thee. This thing is the
strong fortitude of all strength, for it overcometh every
and recommended the study of the C.H. to the Jesuits. He
subtle thing and doth penetrate every solid substance.
went so far as to suggest to the pope that Hermetic Platonism
Thus was this world created. Hence will there be mar-
be assigned in all Christian schools as an aid to converting
vellous adaptations achieved, of which the manner is
the Lutherans. In 1592, Clement VIII, won over to some of
this. For this reason I am called Hermes Trismegistos,
his ideas, called him to Rome to hold the chair of Platonic
because I hold three parts of the wisdom of the whole
philosophy at the University La Sapienza, but once there,
world. This is which I had to say about the operation
Patrizi incurred the displeasure of the Inquisition and his
of Sol is completed. (Linden, 2003, pp. 27–28)
book was placed on the Index. Other reform-minded books
followed, such as Mutius Pansa’s De Osculo, seu consensus eth-
In the sixteenth century, this rather enigmatic prose poem
nicae et Christianae philosophiae tractatus (Marburg, 1605)—
caused torrents of Hermetic, alchemical, and theosophical
the “kiss” mentioned in the title being that which Herme-
ink to flow (Faivre, Annuaire. . ., 1985–1997). To mention
tism and Christianity are supposed to exchange.
only a few remarkable commentaries in the esoteric literature
of that time, the “T.S. tradition” was illustrated and enriched
Religious Hermetism is Gnostic and irenic by nature.
by such authors as Johann Trithemius (see his correspon-
This partly accounts for the fact that in the 1590s, the Puri-
dence with Germain de Ganay in 1505) and Gérard Dorn
tanism then flourishing in England weakened the theological
(Artificii chymistici, 1569; often re-edited as Physica Trismeg-
syncretism that had favored such tendencies. With Edward
ist; foreshadows the advent of the Theosophical 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
HERMETISM
3949
HERMETIC DEVELOPMENTS AND REAPPRAISALS (1614–
1688, which contains a detailed history of alchemical litera-
1706). Isaac Casaubon, a Protestant minister in Geneva, set
ture). Hermetis Aegyptiorum was meant as a counter-attack
out to prove (in a chapter of his De rebus sacris ecclesiasticis
against the German Hermann Conring, in whose De Herme-
exercitations XVI, London, 1614) that the C.H. had not been
tica Aegyptiorum vetere et paracelsicorum nova medicina
written prior to the second or third centuries CE and was
(Helmstedt, 1648; new ed., 1699) Hermetism and Paracel-
therefore a forgery of the early Christian era. Although Ca-
sianism had come in for their share of harsh criticism. Along
saubon’s name has long been attached to that new dating,
these lines, Johann Heinrich Ursinus (in De Zoroastre bactri-
recent research (see especially Purnell, 1976; Mulsow, 2002)
ano, Hermete Trismegisto, Sanchoniatone Phoenicio, eorumque
has shown that similar “discoveries” had already been made
scriptis, et aliis, contra Mosaicae scipturae antiquitatem, Nürn-
by other philologists as early as the 1560s. Nonetheless, the
berg, 1661) also tried to demonstrate that the C.H. was
claim that the C.H. had been erroneously dated could only
merely a collection of texts plagiarized from Christian
deal a heavy blow to its authority, since the authority of a
sources. Both Conring’s and Borrichius’s works are of a par-
text, even at that time, was highly dependent upon its age.
ticular interest because they depend not only on Paracelsian-
But the Hermetic current did not disappear for all that; in-
ism and Hermetism, but also on alchemical literature. Nev-
deed, from then until now, many esoterically oriented au-
ertheless, the C.H. was rarely the object of commentaries in
thors and readers have preferred to ignore or to downplay
the alchemical discourses of the seventeenth century, al-
the significance of the new dating of the Hermetic writings.
though Hermes Trismegistos often appeared as the tutelary
One of the first highly sympathetic exegetes of the C.H.
figure of that science, for instance in Michael Maier’s Sym-
in early seventeenth-century Germany was Heinrich Noll
bola Aureae Mensae Duodecim Nationum (Frankfurt, 1617).
(Theoria Philosophiae Hermeticae, septem tractatibus, Hano-
In contrast, the T.S. continued to trigger a lot of al-
ver, 1617; Theoria Philosophiae Hermeticae, Copenhagen,
chemical commentaries. See, for example, Jacques Nuyse-
1617; and Panergii Philosophici Speculum, 1623, an initiatic
ment (Traictez . . . du Vray Sel, 1621) and Athanasius Kir-
novel). In Italy, Livius Galante, who authored Christianae
cher (in volume 2 of his Oedipus Aegyptiacus, Rome, 1653;
theologiae cum platonica comparatio (Bologna, 1627) is note-
and Mundus Subterraneus, Rome, 1664–1665). The German
worthy. Furthermore, a number of translations of the C.H.
translation (by Johan Schaubert) of the T.S. appeared in
into European languages appeared. A few extracts were pres-
1600. Isaac Newton’s commentaries on that text are highly
ented in German in “Verba Hermetis in Pimandro” (a sec-
developed and appear in the great quantity of alchemical
tion of the anonymous Occulta Philosophia, vol. II, Frank-
manuscripts he left to posterity (King’s College, Cam-
furt, 1613). More importantly, under the title Sestien boecken
bridge),and they have recently been the object of a number
. . . (Amsterdam, 1643; new ed., 1652), Abraham Willemsz
of scholarly studies. Wilhelm Christoph Kriegsmann pro-
van Beyerland published a Dutch version of sixteen treatises
duced another most original, albeit fantastic, “philological”
of the C.H., based on Patrizi’s text. Beyerland, a theosopher
commentary (Hermetis Trismegisti . . . Tabula Smaragdina,
who was also a translator of Jakob Boehme, added long,
1657).
theosophically oriented commentaries of his own. His trans-
lation was used by the first translator into German (1706).
Throughout the period and ever since, the tendency in
Hermetic literature has been to blend Hermetism not only
John Everard did the first translation of the C.H. in En-
with alchemy, but also with Jewish or Christian Qabbalah,
glish (The Divine Pymander of Hermes Mercurius Trismegis-
Rosicrucianism, and the philosophia occulta inherited from
tus, in XVII Books. Translated formerly out of the Arabick into
the Renaissance. Stellatus’s (that is, Christoph Hirsch’s) Peg-
Greek . . . , London, 1650; new ed., 1657). This Anglican
asus Firmamenti, sive introductio brevis in Veterum Sapientiam
minister, a preacher at Kensington, had already produced in
. . . (n.p., 1618) associates Rosicrucianism with Herme-
1640 a detailed commentary (preserved at the Bodleian Li-
tism, Paracelsianism, pansophy, and alchemy. Opponents of
brary in Oxford) on the T.S. He also authored short transla-
Hermetism also often grouped these currents together. Two
tions from similar texts and some works of his own (see his
examples may serve to illustrate this. First, one year after the
Some Golden Treasures, London, 1653). The title, and the
new edition of Zorzi’s (Giorgio’s) Problemata (1622), the fa-
preface signed J.F., attest to the ignorance of the editor, not
mous Catholic priest Marin Mersenne, bent on orthodoxy
least because he claimed that these books were originally in
and a famous opponent of such orientations, published his
Arabic. The preface deals mostly with the legendary figure
Observationes et emendationes ad Francisci Giorgii Veneti Pro-
of Hermes Trismegistos. Everard’s book was very influential
blemata (Paris, 1623) in opposition to Giorgio’s work, as
in the development of Hermetism in England.
well as Hermetism, Rosicrucianism, and the works of Robert
Along with Paracelsianism, Hermetism became part of
Fludd. The second example is Lutheran minister Ehregott
a medical debate principally represented by one of its propo-
Daniel Colberg’s Das Platonisch-Hermetisches [sic] Chris-
nents, the Dane Olaus Borrichius (Olaf Borch), who com-
tenthum . . . (2 vols., Leipzig, 1690 and 1691; new ed.,
posed a vibrant apology for Hermetism and alchemy (Her-
1710), which settles scores with the C.H. as well as with Ro-
metis Aegyptiorum, et chemicorum sapientia, Copenhagen,
sicrucianism, theosophy, and mysticism, reproaching them
1674; see also his De Ortu et progressio chemiae, Copenhagen,
for encouraging self-divinization of the human being.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3950
HERMETISM
Within esotericism, the Englishman Robert Fludd, par-
that he cited Hermes Trismegistos: “The severe schools shall
ticularly in Utriusque cosmi historia (Oppenheim, 1617–
never laugh me out of the Philosophy of Hermes, that this
1621), was instrumental in propagating the “magical” tradi-
visible world is but a Picture of the invisible” (Works, ed.
tion that had been represented by Paracelsus, Agrippa, John
Keynes, 1928–1931, vol. 1, p. 17). Indeed, “where I cannot
Dee, and the Rosicrucian manifestoes of 1614–1615. Fludd
satisfy my reason, I love to humour my fancy.” One finds
did not seem to know about Casaubon’s philological criti-
similar references in the works of William Gilbert (De mag-
cism, or at least he pretended not to. He gives as much
nete, 1600) and Henry Reynolds (Mythomystes, 1632).
weight to the C.H. and the Asclepius as to Genesis or the Gos-
The C.H. became part of many discourses marked by
pel of John (on almost every page of his works one can find
Egyptomania. Typical of that trend are works of the Jesuit
a quotation from Ficino’s Latin translation) in, for example,
Athanasius Kircher, notably Oedipus Aegyptiacus (Rome,
explaining the creation of the world, of which he gives a
1652–1654; see also his Prodromus coptus, Rome, 1636), in
“chemical” description that draws on Pimander (C.H. I). He
which he assigns almost as much importance to Hermes
also frequently associates Hermetism with the Qabbalah, in
Trismegistos and the C.H. as Fludd does. Kircher’s Oedipus
an original synthesis.
Aegyptiacus—one of the first works to stir the Egyptomania
Not surprisingly, the C.H. and its supposed author Her-
that swept Europe over the next three centuries—is replete
mes Trismegistos aroused the interest of the Cambridge
with quotations borrowed from Ficino’s translation, particu-
Neoplatonists. They generally accepted Ficino’s idea of an
larly from the Asclepius. Kircher readily associates Qabbalah
uninterrupted transmission of ancient wisdom from Moses
and Hermetism and, like Ficino, sees Hermes as the inventor
to Hermes and passing through Zarathushtra, Pythagoras,
of the hieroglyphs. Following the example of Renaissance
Plato, and Orpheus. Among the main representatives of that
Hermetism, he interprets hieroglyphs as truths about God
philosophical school, Ralph Cudworth dealt most extensive-
and the world, especially since Hermes Trismegistos was sup-
ly with the C.H. (at least more so than did Henry More).
posed to have originally written in hieroglyphs. Not surpris-
His The True Intellectual System of the Universe (London,
ingly, most of the hieroglyphs that Kircher referred to were
1678) contains a lengthy commentary on its treatises, with
demystified when Jacques-Joseph Champollion deciphered
a particular emphasis on cosmogony. In contrast to Casau-
them in 1824 (this was perhaps the second blow, after Casau-
bon, Cudworth stressed the presence of Egyptian elements,
bon’s, delivered to the Egyptian myth). Kircher, however,
believing that the C.H. could well have preserved certain au-
was not a great admirer of the Hermetic literature and re-
thentic Egyptian teachings. He also considered that in treat-
garded Paracelsus, the Rosicrucians, and Robert Fludd with
ing the C.H. as one single text (whereas it is actually a collec-
great suspicion. He used the C.H. to make Catholicism pal-
tion) arguments that discredit the great age of some treatises
atable, mostly with a view to deterring his readers from Prot-
do not need to discredit the rest of them (least of all the
estantism.
Asclepius).
Interestingly, the French Jesuits and theologians in-
With Woodville and others (Shumaker, 1972,
volved in missionary activities in the Far East, particularly
pp. 236–247; Shumaker, 1988), Hermetism had already
in China, shared a project similar to Kircher’s, though not
made its way into English culture in general. For example,
from an Egyptophile perspective (Walker, 1972,
John Milton cites Hermes Trismegistos three times (Il Pen-
pp. 194–230). Apart from Rapine, these Catholic priests
seroso, lines 87ff.; Ad Joannem Rousum, line 77; De Idea Pla-
were not interested in Hermetism itself but used it as a tool
tonica, lines 33ff.), and one finds many relevant passages in
for converting people to Catholicism. It was a matter of dem-
Edmund Spenser’s The Faerie Queene (London, 1590–
onstrating that Confucius’s teachings, for example, as well
1596). This process continued well into seventeenth-century
as those of Western pagan philosophers—primarily Plato
England, as documented by works of celebrated authors such
and Hermes Trismegistos—were compatible with monothe-
as Robert Burton (The Anatomy of Melancholy, Oxford,
ism. This missionary program is exemplified by Paschal Rap-
ine’s Le Christianisme naissant dans la gentilité (Paris, 1655–
1621), Sir Thomas Browne (Religio Medici, 1643), and Sir
1659), Paul Beurrier’s Perpetuitas fidei, ab origine mundi . . .
Walter Raleigh (History of the Word, 1614) who were not
(Paris, 1666; French ed., 1680); Daniel Huet’s Demonstratio
Hermetists but who gave its ideas a voice, albeit a modest
evangelica (Paris, 1678; several re-editions); Philippe Cou-
one. Robert Burton mentions Hermes no fewer than thirty
plet’s Confucius Sinarum philosophus (1687), and several
times, along with Ficino, Pico, Paracelsus, and Campanella,
writings by Joachim Bouvet around 1700, notably his corre-
but he leaves the impression that mention of these names is
spondence with Leibniz.
merely a show of erudition in the context of an enlarged hu-
manism. Sir Thomas Browne, a skeptical scholar as well as
THE PERIOD OF THE ENLIGHTENMENT AND OF ROMANTI-
contemplator of the infinite, often evokes the famous Her-
CISM. Like Everard’s English version, the first complete Ger-
metic image of the sphere whose center is everywhere and cir-
man translation of the seventeen treatises of the C.H. was to
cumference nowhere. But he is in no way convinced that the
prove influential on later esoteric literature. Its author, who
ancient wisdom was superior to the modern. It was merely
had had at his disposal the editions of Patrizi and Beyerland,
in his capacity as a collector of information and propagandist
signed himself Aletophilus (perhaps a pen name for Wolf
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HERMETISM
3951
Metternich) and titled his work Hermetis Trismegisti Erkän-
Hermes Trismegistos, keys capable of unlocking a number
ntnüsz der Natur und des darin sich offenbahrenden Grossen
of mysteries and retrieving a long-lost knowledge. Second,
Gottes . . . (Hamburg, 1706; new edition, 1855). His long
“Hermes und Pymander” (in the journal Adrastea, 1801) is
introduction to the book, in which he shows himself to be
a dialogue (inspired by C.H. I) between Poimandres and his
a Paracelsian, is noteworthy. He endorses the main legends
disciple discussing new scientific discoveries (including those
surrounding the C.H. and tries to marry Hermetism with al-
by Isaac Newton) as well as spiritual and material light and
chemy, extolling the Egyptian elements of the text over the
the Soul of the World.
Greek ones.
In Italy, although Hermetism had all but ceased to exert
The T.S. exerts a strong influence on Aletophilus’s book
its presence as an esoteric current, it was still occasionally the
and, not surprisingly, on numerous other alchemical treatises
object of publications (see for instance an 1820 reprint in
of the period. Three other German works with long com-
Bologna of an edition of the C.H. that Carlo Lenzoni pub-
mentaries on the T.S. stand out: Ehrd de Naxagoras’s
lished in 1584). In the United States, Ralph Waldo Emer-
Aureum Vellus (2 vols, Frankfurt, 1731–1733); the anony-
son’s The Dial (in particular the issues published from 1842
mous Vernünftige Erklärung der Smaragdenen Tafel . . . (s.l.,
to 1844), a journal expressing the views of the Transcenden-
1760); and above all Hermann Fictuld’s Turba Philoso-
talist movement in the United States, published (in vol. IV)
phorum (s.l., 1763) This latter work, which blends alchemy
a number of “ethnic scriptures,” as it called them, including
and theosophical outlooks, is one of the most important eso-
extracts from Everard’s translation of the C.H. Hermetism
teric exegeses in the history of the T.S. tradition.
seems to have left its imprint, albeit a mostly indirect one,
The Enlightenment also saw new German translations
on a number of authors of pre-Romantic and Romantic liter-
of the C.H. First came Dietrich Tiedemann’s (C.H. I–
ature in England and the United States (Tuveson, 1982).
XVIII), titled Poemander, oder von der göttlichen Macht und
Frans von Baader, the main German theosopher in the Ro-
Weisheit (Berlin and Stettin, 1781). It was published three
mantic period, although not strongly interested in Hermeti-
years after the first German translation of the Asclepius, at the
cism or alchemy, nonetheless made frequent use (notably
press of Friedrich Nicolai, one of the most celebrated repre-
from 1809 to 1839) of some verses from the T.S., comment-
sentatives of the German Enlightenment. Tiedemann’s com-
ing on them and merging them with his theosophical ap-
mentaries reflect the intellectual tenor of the Enlightenment
proach. The middle of the nineteenth century saw new
and are replete with comparisons between the C.H. and
scholarly studies such as B. J. Hilgers’s De Hermetis
Plato, Gnosticism, and Jewish Qabbalah.
Trismegisti Poimandro commentario (Bonn, 1855) and
Gustav Parthey’s study of the Greek text of T.S., Hermetis
Alongside these translations appeared more erudite
Trismegisti Poemander (Berlin, 1854).
studies. Some were Hermetic in character, like Hermann van
der Hardt’s “Poemander” (inserted in his book Antiquitatis
HERMETISM IN THE OCCULTIST CONTEXT. The occultist
Gloria, Helmstedt, 1737), a long paraphrase of C.H. I in
current flourished from around 1850 to around 1920 and
which, for example, Jacob’s dream (Gen. 28) is compared to
drew upon the esoteric literature of earlier centuries. Herme-
Hermes’s vision in C.H. I, 1. Other studies were more schol-
tism is part of the referential corpus of the occultists. Marie
arly. The two that stand out are Johann Albrecht Fabricius’s
Ragon de Bettignies’s widely disseminated Maçonnerie oc-
Bibliotheca Graeca (Hamburg, 1705–1728, see vol. I, 1708,
culte, suivie de l’Initiation hermétique (1853) blends Masonic
lib 1, chapters VII–XII; new enlarged ed., 1790) and Jacob
symbolism, alchemy, mythology, and Hermetism. But the
Brucker’s Kurze Fragen aus der hermetischen Historie (Ulm,
presence of Hermetism within the occultist current appears
1730–1736) and Historia critica philosophiae (Leipzig, 1743;
to be rather limited, except in England. In France, for in-
see vol. I, chapters I–IV). Brucker’s works provide a wealth
stance, such important representatives of occultism as Stanis-
of information on theosophical, alchemical, and Rosicrucian
las de Guaïta or Papus rarely referred to Hermetism. They
literature, including the C.H. and all that Brucker knew
did, however, devote many pages to their understanding of
about the Hermetica in general (see notably Historia critica
the T.S., which they, like so many other representatives of
philosophiae, vol. I, lib 3. Brucker deals with works appearing
the current, took to be one of the most essential referential
as late as the beginning of the eighteenth century. He was
documents in Western esotericism and Hermetism (see Stan-
not a proponent of any of these currents, but his very de-
islas de Guaita’s Le Serpent de la Genèse, Book II, Paris,
tailed—albeit not always unprejudiced—presentation en-
1897). In Italy, the occultist Giuliano Kremmerz authored
sured their continued influence, all the more so since the
a long series of commentaries titled “Commento alla Tavola
book of 1743 quickly became essential to most good libraries
di Smeraldo” (in Commentarium per le Academia
all over Europe.
Ermetice. . ., Bari, 1910).
Toward the end of the eighteenth century, Hermetism
In Germany, the new edition of Aletophilus’s transla-
started at the top rung of the literary ladder in Germany with
tion of the C.H. (1706), along with a new introduction, ap-
two texts by Johann Gottfried Herder. First, in Über die äl-
peared as Hermetis Trismegisti Einleitung ins höchste Wissen
teste Urkunde des Menschengeschlechts (Riga, 1774) he
(Stuttgart, 1855) in the semi-popular series Das Kloster di-
claimed he had found in ancient traditions, particularly in
rected by J. Scheible, which from 1849 to 1860 offered new
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3952
HERMETISM
German editions of texts by Agrippa, Trithemius, Nostrada-
(1850). The appendix was introduced by the famous John
mus, Paracelsus, J. B. Van Helmont, Eliphas Lévi, Catherine
Yarker, author of many works in such domains, particularly
Crowe, and many others. Louis Ménard’s Hermès Trismég-
in esoteric Freemasonry.
iste: Traduction complète précedée d’une étude sur l’origine des
Given the number of such books, it is hardly surprising
livres hermétiques (Paris, 1866, several new editions) influ-
that Hermetism found expression in several esoteric periodi-
ence should not be underestimated. It is a new French trans-
cals. For example, we find Kore Kosmou (presented anony-
lation of C.H. I–XIV (relying on Parthey’s Greek edition),
mously and in a different translation) in The Occult Maga-
Asclepius, Kore Kosmou (“The Virgin of the World,” part of
zine (Glasgow, see issues of 1885–1886). In 1894, William
Stobaeus’s Anthologium), and Patrizi’s version of the Diffini-
Wynn Westcott, who along with MacGregor Mathers had
tiones Asclepii (C.H. XVI–XVIII). The book also contains a
created the fringe-Masonic Hermetic Order of the Golden
long but sober introduction of 112 pages in which Ménard
Dawn in 1887, inserted into the second volume of his series
places these texts in the perspective of a comparative ap-
Collectanea Hermetica (London, 1893–1896) the Everard
proach to religions. Triggered in part by Ménard’s book, a
version of the C.H., here titled The Pymander of Hermes, with
flurry of new English editions of Hermetic treatises appeared,
a Preface by the Editor. Westcott’s preface, more enthusiastic
mostly in England and the United States, accompanied by
than critical, emphasizes the commonalities between Herme-
esoterically oriented presentations and/or commentaries.
tism, Freemasonry, and Christianity.
Most of them have little scholarly value, but they are repre-
sentative of the occultist current, and many were produced
On the scholarly side, The Theological and Philological
by people with a reputation in that field.
Work of Hermes Trismegistus, Christian Neoplatonist, Divine
Pymander and Other Writings of Hermes Trismegistus (Edin-
The first on this list is a reprinting of Everard’s transla-
burgh, 1882), edited by John D. Chambers, reflects a new
tion by the Rosicrucian Publishing Company in Boston
scientific approach. But it was mostly George R. S. Mead’s
(Hermes Trismegistus: His Divine Pymander. Also, the Asiatic
enterprise that paved the way for deeper and more extensive
Mystery, The Smaragdine Tablet, and the Song of Brahm, repr.
scholarly research. Three years before breaking with the
Toledo, Oh., 1889). Its editor was the famous Rosicrucian
Theosophical Society, of which he was a prominent member,
Paschal Beverly Randolph. The strongly Rosicrucian-
the society published in three volumes his Thrice Greatest
oriented “Prefatory Note” is signed by Alfred E. Giles and
Hermes: Studies in Hellenistic Theosophy and Gnosis (London
Flora Russell (who also give there a reprinted version of the
and Benares, 1906; German trans., Leipzig, 1909). Never be-
Asiatic Mystery; one of Randolph’s Rosicrucian manifestoes).
fore had such a complete ensemble of the C.H. been gathered
The “Song of Brahm” is a poem by Ralph Waldo Emerson.
together, accompanied by copious notes, excerpts from testi-
There followed a new reprinting of Everard’s translation
monia of the Fathers of the Theosophical Society, and serious
by the Rosicrucian Hargrave Jennings (Madras, 1884, in the
historical studies. Mead distanced himself markedly from the
Secret Doctrine Reference series), who devoted most of his
English-speaking occultists by displaying a great deal of ob-
own prefatory text to Hermes Trismegistos and alchemical
jectivity in dealing with his material. That said, he did not
literature. This book contains the first public mention of the
disguise the fact that he was an esotericist (“To translate
esoteric society the Hermetic Brotherhood of Luxor. Almost
‘Hermes’ in Greek,” he writes in the introduction, “requires
at the same time there appeared in the same series one of the
not only a good knowledge of Greek, but also a Knowledge
of . . . gnosis.”). Like his contemporary Arthur E. Waite,
most influential books of that publishing enterprise, namely
Mead was both a scholar and a full-fledged esotericist. His
The Virgin of the World of Hermes Mercurius Trismegistus
work, even more than Chambers’s, heralds the development
(London and Madras, 1885), edited by Anna Bonus Kings-
of twentieth-century critical research.
ford and Edward Maitland, which contains an English ver-
sion of Kore Kosmou, here titled “A Treatise on Initiations”
The last decades of occultism saw more Hermetically
(in fact, a new translation of the Asclepius), “The Definitions
oriented publications, of which a few examples follow. The
of Asclepios” (i.e., C.H. XVI–XVIII), plus further extracts
Shepherd of Men: An Official Commentary on the Sermon of
from Stobaeus’s Anthologium. In their translation and long
Hermes Trismegistos (San Francisco, 1916) is by A. D. Ra-
introductions, Kingsford and Maitland drew heavily on Mé-
leigh, who called himself Hierophant of the Mysteries of Isis.
nard’s book. They saw in the Hermetic texts a survival of an-
Although the title of his book implicitly refers to the famous
cient Egypt and believed in a connection between them and
text of Late Antiquity, The Shepherd of Hermas, Raleigh’s dis-
Christianity, it being understood that Christianity itself rep-
course is pervaded by the idea of a perennial philosophy and
resents, as they say, “a development from or reformulation
is blended with a fantastic history of human races, echoing
of a doctrine long pre-existent.” Along these lines, they con-
some of the Theosophical Society’s teachings. More situated
sidered their edition to be part of “the revival of Occult Sci-
within “classical” Hermetism is the thin volume The Divine
ence and Mystical, or Esoteric, philosophy.” A new edition
Pymander of Hermes Trismegistus (n.l., 1923), which presents
of Kingsford and Maitland’s anthology soon followed (Bath,
a short selection drawn from the Everard, Chambers, and
1886), with an appendix on alchemy taken from Mary Anne
Mead editions, along with some commentaries. It is in fact
Atwood’s A Suggestive Inquiry into the Hermetic Mystery
one of the “manuals” published by the Shrine of Wisdom,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HERMETISM
3953
which was a ritual Order that ran a publishing house and a
current. Other representatives of the perennialists, (such as
journal. The Shrine of Wisdom was largely inspired by the
René Guénon and Frithjof Schuon) do not show much inter-
works of the Platonist Thomas Taylor.
est in Hermetism (or other Western esoteric currents, for
that matter).
In closing, a final volume must be mentioned: Manly
Palmer Hall’s oversized folio An Encyclopaedic Outline of Ma-
Hermetism, considered over the sweep of a little over
sonic, Hermetic, Qabbalistic and Rosicrucian Philosophy (Los
five centuries, is of great interest to the historian of ideas (and
Angeles, 1928) is another product of late occultism and one
of literature), not least because it reflects the various contexts
of the most popular summae of Western esoteric tradi-
within which it has taken on ever-changing aspects. It is im-
tions. Hermetism is almost ubiquitous in that strange ency-
possible to define it as a set of fixed, unchanging beliefs.
clopedia.
Rather, its manifold manifestations evince a spiritual attitude
that contains within itself a principle of constant readjust-
SURVIVAL AND DEBATES IN THE SECOND HALF OF THE
ment. Not surprisingly, it has flourished in times and coun-
TWENTIETH CENTURY. Most of the editions of and com-
tries hospitable to religious tolerance. Although its represen-
mentaries on the Hermetic texts published during the height
tatives have been people desiring to reform religious systems,
of occultism were reprinted in the second half of the twenti-
the reforms they had in mind were not dogmatic in character
eth century, which did not lacked for original publications,
and very rarely were designed to overthrow established
although they were fewer in number. Among them are The
churches. They rather tended to enrich the churches by
Gospel of Hermes, edited and translated from the Greek and
prompting them to return ad fontes, that is, both to ancient
Latin Hermetica, introduced by Duncan Greenless and pub-
foundational texts and to specific forms of meditation. Far
lished in 1949 by the Theosophical Publishing Company.
from stressing a war between Good and Evil or Light and
More famous is Jan van Rijckenborgh’s De Egyptische oer-
Darkness, as is often the case in Christian thought, their dis-
gnosis en haar roep in het Euwige Nú . . . (Haarlem, 1960–
courses have expressed a generally optimistic conception of
1965), an interpretation of the C.H. in the light of the teach-
the inborn powers of humankind, which are able to liberate
ings of an initiatory order (the Lectorium Rosicrucianum, of
and expand individual consciousness.
which he was the founder). In his book, ancient Gnosticism,
neo-Catharism, Paracelsianism, and Boehmism are blended
Hermetism continues to thrive. One of the prominent
in an original way. Since its first publication, van Rijcken-
members of the Lectorium Rosicrucianum in the Nether-
borgh’s book has gone through countless reprints and trans-
lands, Joost R. Ritman, has founded a library in Amsterdam,
lations, sponsored worldwide by the Lectorium Rosicru-
the Bibliotheca Philosophica Hermetica (open to the public
cianum. Noteworthy is the space he devotes to the T.S. He
since 1984), which is by far the richest in the world in terms
uses the text to support the tenets of his own teachings and
of esoteric literature, including manuscripts from the early
does not hesitate to claim that it was written ten thousand
Renaissance to the present, not to mention a wealth of more
years ago.
ancient materials. This institution is especially noteworthy
because Hermetic literature in the proper sense represents its
Thus, neo-Alexandrian Hermetism, as one of the several
fundamental core, as demonstrated not only by its holdings,
esoteric currents in modernity (i.e., from the Renaissance
but also by its exhibitions and publications. Its editorial
until the present), has naturally found itself historically inter-
board includes such reputable scholars as Frans A. Janssen
twined with alchemy, Christian Qabbalah, Rosicrucianism,
and Carlos Gilly.
occultism, and other esoteric movements. In this respect, it
is interesting to see how far and in which directions these re-
Furthemore, Hermetism is occasionally revived by phi-
lationships have developed. For example, despite their com-
losophers who see in the C.H. the paradigm of an alternative
monalities, Hermetism and Christian theosophy (which ap-
philosophy able to enrich mainstream philosophy with new
peared later, at the beginning of the seventeenth century)
insights, or to replace it. For example, Ralph Liedtke’s book
have had few contacts and little influence on each other. One
Die Hermetik. Traditionelle Philosophie der Differenz (Pader-
reason is that Hermetism, originally a branch of humanism,
born, 1996) calls for a return to older modes of thinking.
remained mainly dependent upon ancient sources, notably
The author considers the contents of the C.H. to be one of
Greek ones, whereas the theosophical current is rooted in
the best possible introductions to a desirable and drastic re-
Paracelsus and Jakob Boehme, who represent a German,
appraisal of mainstream contemporary trends in philosophy.
“barbaric” trend all but devoid of erudite leanings. Even long
The philosopher Françoise Bonardel, who brings together
after the Renaissance, the foremost representatives of theoso-
Hermetism and alchemy into one common perspective, sees
phy, such as Louis-Claude de Saint-Martin or Franz von
in a “fertile Hermetism”—and in an attitude of mind that
Baader, practically never drew on the Hermetic writings. Al-
she calls hermésienne (hermesian)—“much more than a sys-
though Titus Burckhardt, who stood within the so-called
tem of representation among others,” for “the amazing conti-
perennialist current (or Traditionalist School) has authored
nuity of Hermetic thought bears witness to the fecundity of
one of the most interesting commentaries of the T.S. (in his
a gnosis which is timeless because it is inherent in an ever
Alchemie—Sinn und Weltbild, Olten/Frieburg, 1960), Her-
reactualized hermeneutics” (Bonardel, 2002, pp. 179–180).
metism cannot be said to have merged with that perennialist
And so, just as Renaissance Hermetism brought about re-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3954
HERMETISM
forms within the Catholic Church, it has become a means
Böhme: Gnosis, Hermetism and the Christian Tradition, edited
of “reforming” philosophy. Also, efforts are made to use it
by Roelof van den Broek and Cis van Heertum,
as a method for the fruitful completion or enrichment of psy-
pp. 115–144. Amsterdam, 2000.
chology. For example, Lietaert Pierbolte (Poimandres . . .
Broek, Roelof van den. “Hermetic Literature” and “Hermes
vertaald met een transpersonalistische beschouwing, Deventer,
Trismegistus” (Late Antiquity). In Dictionary of Western
1974) presents C.H. I in Dutch and explains why it should
Gnosis and Esotericism, edited by Wouter J. Hanegraaff, et al.
be used as a method for practicing the kind of transpersonal
Leiden, 2005.
psychology that he advocates. Moreover, in a manner remi-
Copenhaver, Brian. Hermetica: The Greek Corpus Hermeticum and
niscent of the New Age movement, the T.S. is occasionally
the Latin Aslcpeius in a New English Translation with Notes
interpreted and commented on as a practical guide to spiritu-
and Introduction. Cambridge, U.K., 1992.
al growth. See, for example, Dennis William Hauck’s The
Festugière, André Jean. La Révélation d’Hermès Trismégiste, 4 vols.
Emerald Tablet: Alchemy for Personal Transformation (Har-
1st ed. 1949–1954; reprint, Paris, 1981.
mondsworth, U.K., 1999).
Fowden, Garth. The Egyptian Hermes: A Historical Approach to the
Late Pagan Mind. Cambridge, U.K., 1986.
The number of scholarly works on Hermetism increased
considerably over the twentieth century and include research
Gilly, Carlos. “Die Überlieferung des Asclepius im Mittelalter.”
by such distinguished historians and philologists as Richard
From Poimandres to Jacob Böhme: Gnosis, Hermetism and the
Christian Tradition, edited by Roelof van den Broek and Cis
Reitzenstein, Walter Scott, A. D. Nock, A. J. Festugière, Gil-
van Heertum, pp. 335–367. Amsterdam, 2000.
les Quispel, Roelof van den Broek, Jean-Pierre Mahé, and
Brian P. Copenhaver. Frances A. Yates’s book Giordano
Lory, Pierre. “Hermetic Literature.” In Dictionary of Western Gno-
sis and Esotericism, edited by Wouter J. Hanegraaff et al. Lei-
Bruno and the Hermetic Tradition (1964) has been highly in-
den, 2005.
strumental in calling attention to the importance and signifi-
cance of Hermetism in the history of the Renaissance. Al-
Lucentini, Paolo. “L’edizione critica dei testi ermetici latini.” In
I moderni ausili all’Ecdotica, edited by Placella, Vincenzo,
though not without precedent, many scholars whose research
and Martelli. Naples, 1994.
is dedicated to Renaissance Hermetism stand in its wake.
Even when they do not endorse Yates’s views, they are direct-
Lucentini, Paolo, and Vittoria Perrone Compagni. I testi e i
manoscritti di Ermete (Appendice I: Antonella Sannino, Le
ly or indirectly indebted to her writings. Yates’s book has
stampe ermetiche. Appendice II: Pinella Travaglia, I
paved the way for an ongoing academic recognition, even in-
manoscritti arabi). Naples, 2001. A summary presentation of
stitutionalization, of modern Western esotericism as a spe-
the texts and manuscripts.
cialty in its own right. In addition, it has caused a flurry of
Lucentini, Paolo. “Hermetic Literature” and “Hermes Trismegis-
debates, first over what Robert S. Westman (1977) called the
tus” (Middle Ages). In Dictionary of Western Gnosis and Es-
“Yates Thesis” (concerning the relation between Hermetism
otericism, edited by Wouter J. Hanegraaff et al. Leiden, 2004.
and the scientific revolution), and more recently over what
Mahé, Jean-Pierre. Hermès en Haute-Egypte, 2 vols. Laval, Québec,
Wouter J. Hanegraaff (2001) has referred to as “the Yates
1978–1982.
paradigm.” As Hanegraaff pointed out, Yates’s book contains
Nock, Arthur D., and André-Jean Festugière, eds. Poimandres.
a “grand narrative” based on two main assumptions: First,
Traités I–XVIII. Asclepius. Fragments extraits de Stobée. Paris,
the existence of what she calls “the Hermetic Tradition,” un-
1954–1960; reprint, 1981. Greek original and French trans-
derstood as a more or less autonomous tradition based upon
lation with commentaries and notes.
a covert reaction against both Christianity and the rise of sci-
Quispel, Gilles, ed. Asclepius. De volkomen openbaring van Hermes
entific worldviews. Second, however paradoxical it may
Trismegists. Amsterdam, 1996. Dutch translation of the As-
seem, the extent to which the tradition of “magic”—which
clepius with introduction and notes by the editor.
she sees as essentially non-progressive—has been an impor-
Scott, Walter, ed. Hermetic: The Ancient Greek and Latin Writings
tant factor in the development of the scientific revolution.
which Contain Religious or Philosophic Teachings Ascribed to
Now, even if neither of these two tenets has proved resistant
Hermes Trismegistus, 4 vols. Oxford, 1924; reprint, Boston,
to close scrutiny, the opinions that gave rise to the “Yates par-
1983–1985. An English translation with notes by the editor
adigm” will probably cause more ink to flow.
(and a long study devoted to the ancient testimonia).
The Early Modern Period
SEE ALSO Astrology; Esotericism; Hermes Trismegistos; Oc-
Assmann, Jan. Moses the Egyptian: The Memory of Egypt in Western
cultism; Theurgy.
Monotheism. Cambridge, Mass., 1997.
Blanco, Antonio Gonzàlez. “Hermetism: A Bibliographical Ap-
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Carlyle’s most vitriolic contemporary critic was the pio-
neering English sociologist Herbert Spencer (1820–1903),
Westman, Robert S., and James E. McGuire. Hermeticism and the
for whom the attribution of decisive events to the talents of
Scientific Revolution. Los Angeles, 1977.
individuals rather than to the fundamental laws of physical
Yates, Frances A. Giordano Bruno and the Hermetic Tradition.
and social evolution is a hopelessly primitive, childish, ro-
London, 1964 (several reprints).
mantic, and unscientific viewpoint. In Spencer’s famous
Yates, Frances A. “The Hermetic Tradition in Renaissance Sci-
summary phrase in The Study of Society, “Before he [the great
ence.” In Art, Science and History in the Renaissance, edited
man] can re-make his society, his society must make him”
by C. S. Singleton, pp. 255–274. Baltimore, 1967.
(Spencer, 1874, p. 35).
ANTOINE FAIVRE (1987 AND 2005)
Spencer’s metaphysical counterpart in the rejection of
the influence of great men on history was the German philos-
opher G. W. F. Hegel (1770–1831). In the introduction to
HERMITS SEE EREMITISM
his The Philosophy of History, Hegel, unlike Spencer, does
praise the hero, but for embodying the World Spirit in its
predestined course of development. Whereas Hegel, writing
HEROES. It is commonly said that whereas in the twenti-
before Carlyle, would have commended Carlyle for empha-
eth century impersonal forces were believed to make history,
sizing the hero’s “insight,” he would have belittled Carlyle
in the nineteenth century heroic individuals were believed to
for making the hero the cause rather than the manifestation
make history.
of change.
THE “GREAT MAN” VIEW OF HISTORY. The epitome of this
The twentieth century spawned still stronger skepticism
nineteenth-century outlook was the English writer Thomas
toward the impact of heroes, even in the face of the seeming-
Carlyle (1795–1881). His On Heroes, Hero-Worship, and the
ly all too real impact of dictators like Adolf Hitler (1889–
Heroic in History (1841) celebrates eleven disparate figures
1945) and Joseph Stalin (1879–1953). Defenders of heroism
grouped into six categories:
nevertheless remain. Best known is American philosopher
Sidney Hook (1902–1989), author of The Hero in History.
the hero as divinity (Odin)
Hook argues for a sensible middle ground between crediting
the hero as prophet (Mahomet [Mohammed]
heroes with everything, which he assumes Carlyle to be
Muh:ammad)
doing, and crediting them with nothing. Unlike Carlyle, for
the hero as poet (Dante, Shakespeare)
whom heroes can be men of letters as well as of action, Hook
is concerned only with heroes of action. He distinguishes be-
the hero as priest (Martin Luther, John Knox)
tween “eventful men,” whose actions happen to change his-
the hero as man of letters (Samuel Johnson, Jean-
tory, and “event-making men,” whose actions are intended
Jacques Rousseau, Robert Burns)
to change history. Eventful men have no special insight, and
someone else in their place might have done the same. By
the hero as king (Oliver Cromwell, Napoleon).
contrast, Hook’s event-making men, like all of Carlyle’s he-
Carlyle opens his book with a statement that has come to
roes, alone have the insight to make the decisions they do.
epitomize the “Great Man” view of history: “For, as I take
For example, Hook concedes that no one could have pre-
it, Universal History, the history of what man has accom-
vented World War I but he also asserts that it was not inevi-
plished in this world, is at bottom the History of the Great
table that World War I would be fought the way it was. De-
Men who have worked here” (Carlyle, 1897, p. 1). Yet for
spite his use of the term “men,” Hook includes females in
Carlyle heroes are themselves at the mercy of history. He
both groups—for example, Catherine II of Russia (1729–
praises heroes for, above all, their insight into the course of
1796) as an event-making woman. Because only event-
society rather than for the direction they impose on it. He-
making men and women act on the basis of their talents,
roes ultimately subordinate themselves to history, the course
only they deserve the epithet “hero.”
of which is set by God. Furthermore, the period determines
HEROES AND GODS. For Carlyle, heroes are not merely cele-
the category of hero needed and even possible. Still, Carlyle
brated but “worshiped.” Yet he does not mean literal wor-
is crediting heroes with great accomplishments.
ship. His heroes are not gods. Of the eleven discussed in On
Carlyle’s concern with outward accomplishment sharp-
Heroes, the sole exception is Odin, who after death was dei-
ly distinguishes his conception of heroism from that of the
fied by his followers. Carlyle attributes the deification partly
German philosopher Friedrich Nietzsche (1844–1900) in
to the boundlessness of his followers’ reverence but also to
Part 1 of his Thus Spoke Zarathustra (1883–1885). The
the loss of records that would have kept Odin tethered to hu-
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HEROES
3957
manity. For Carlyle, subsequent heroes have remained mere
change shape, and live forever. Or the difference may be of
humans because records have survived. Consequently, the
degree: typically, gods are bigger, stronger, sexier, and
hero as a divinity is gone forever.
smarter than humans. But so great is the difference of degree
that it still puts divinity beyond the reach of most. While
Aptly, Carlyle uses the term “mythic” synonymously
anyone can aspire to become a Hollywood star, the few who
with “divine”: “were there no books, any great man would
make it are not coincidentally called “gods” and, as “stars,”
grow mythic” (Carlyle, 1897, pp. 25–26). For even if most
reside in a heaven far above us. Carlyle himself acknowledges
heroes are not divine, those heroes whose stories constitute
the divine aura of his human heroes and even deems hero
myths are. Hero myths are stories about divine heroes—
worship the source of all religion, including Christianity.
divine in effect, whether or not formally. To be sure, in the
academic study of myth it is conventional to distinguish
MODERN HEROES. Some heroes, or kinds of heroes, fit only
mere heroes, however glorious, from gods. Folklorists in par-
certain periods. For example, it is hard to imagine an aristo-
ticular categorize the stories about most heroes as legends
cratic hero like medieval Spain’s Don Juan surviving into the
rather than myths. Yet contrary to convention, heroism can
twentieth century. Other heroes do survive, either because
blur the line between the human and the divine—not by de-
their appeal continues or because they are protean enough
moting gods to humans but by elevating humans to gods.
to adapt to the times. Herakles, the greatest of ancient he-
More precisely, heroism, when recounted in myth, retains
roes, was by no means confined to the crude image of him
the distinction between the human and the divine but singles
as Rambo-like—the title character in a series of Hollywood
out the hero for making the leap from the one to the other.
films from the 1980s who appeared to be all brawn and no
brains—but on the contrary has been depicted as the embod-
Usually, the gap between the human and the divine is
iment of wisdom, the exemplar of virtue, a tragic hero, a glut-
insurmountable, especially in Western religions. The most
ton, and even a romantic lover (see Galinsky, 1972).
egregious sin in the West is the attempt by humans to be-
come gods, epitomized by the vain efforts of Adam and Eve
In the twentieth century, as in prior centuries, not only
and of the builders of the Tower of Babel. The hiatus be-
were traditional heroes transformed, but new heroes and new
tween the human and the divine applies as fully to polytheis-
kinds of heroes emerged. If distinctively nineteenth-century
tic religions as to monotheistic ones. For ancient Greeks,
heroes were the romantic hero (Lord Byron’s Childe Harold)
those who dared to seek divinity were killed for their hubris.
and the bourgeois hero (Gustave Flaubert’s Emma Bovary),
Those who directly challenged the gods were often consigned
distinctively twentieth-century heroes include the ordinary
to eternal punishment in Tartarus.
person as hero (Arthur Miller’s Willy Loman), the comic
hero (Philip Roth’s Alexander Portnoy), the schlemiel as
Still, the West permits exceptions. In the ancient world
hero (Isaac Bashevis Singer’s Gimpel the Fool), and the ab-
the grandest exception was Herakles (Hercules), who, while
surd hero (Samuel Beckett’s Vladimir and Estragon). Far
born to Zeus, was still mortal. Herakles nevertheless accom-
from divine, the contemporary hero is hopelessly human—
plished superhuman feats of strength, outmaneuvered death
mortal, powerless, amoral. The present-day hero is often
in his last three great feats, and was rewarded with immortali-
lowly even within the human community—more the outsid-
ty by Zeus for his industry. Yet to some ancient writers such
er than the insider, more the loser than the winner, more the
as Herodotos (c. 484–between 430 and 420 BCE) Herakles’
villain than the savior. The contemporary hero is not a once-
very stature meant that he had been born a god. Greeks did
great figure who has fallen but a figure who never rises. Sisy-
establish cults to worship human heroes, but only after their
phus, not Oedipus, let alone Herakles, epitomizes contem-
deaths, when heroes had transcended ordinary constraints
porary heroism. Yet Sisyphus is still to be commended for
(see Farnell, 1921). The grandest exception to the division
never giving up. Persistence replaces success, survival replaces
in the West between humanity and divinity is, of course,
achievement. Today’s hero, for example, is heroic in persist-
Jesus. Yet even his capacity to be at once fully human and
ing without success. Because contemporary heroes scarcely
fully divine is taken to be a paradox, and a paradox difficult
reach the stature of gods, their stories scarcely constitute
to maintain in practice. Throughout its history, Christianity
myths.
has often veered between making Jesus merely an ideal
human being, as in the Victorian period, and making him
Yet it would surely be extreme to argue that traditional
a sheer god, as in ancient Gnosticism.
heroism has died out. Present-day heroes in sports, entertain-
Rather than trying to dissolve the gap between the
ment, business, and politics are admired for their success, not
human and the divine, hero myths transform humans into
for their mere persistence, and the acclaim conferred on
virtual gods by conferring on them divine qualities. The
them often reaches the same divine plateau as in times past.
qualities can range from physical attributes—strength, size,
They are “idolized” and “worshiped.” At most, the notion
looks—to intangible ones such as intelligence, drive, and in-
of heroism as persistence has arisen alongside the traditional
tegrity. One measure of the humanity of Carlyle’s heroes is
notion of heroism as success.
the limit of their power: to the extent that they cannot alter
THEORIES OF HERO MYTHS. The distinctiveness among the-
history, they are merely human. The difference between hu-
ories of hero myths is that they profess to know the nature
mans and gods may be of kind: often, gods can fly, can
of all hero myths. Like theories of myth generally, theories
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HEROES
of hero myths claim to answer the main questions about the
the one hand, and is acknowledged, on the other. Final-
myths: what is their origin, what is their function, and what
ly he achieves rank and honors (Rank, 2004, p. 61).
is their subject matter?
Literally, or consciously, the hero, who is always male, is a
The study of hero myths goes back at least to 1871,
historical or legendary figure like Oedipus of Greek mytholo-
when, in Primitive Culture, the pioneering English anthro-
gy. The hero is heroic because he rises from obscurity to the
pologist E. B. Tylor argued that many of them follow a uni-
throne. Literally, he is an innocent victim of either his par-
form plot, or pattern: the hero is exposed at birth, is saved
ents or, ultimately, fate. While his parents have yearned for
by other humans or animals, and grows up to become a na-
a child and abandon him only to save the father, they never-
tional hero (vol. I, 1871, pp. 254–255). In 1928 the Russian
theless do abandon him. The hero’s revenge, if the parricide
folklorist Vladimir Propp, in Morphology of the Folktale,
is even committed knowingly, is, then, understandable: who
sought to demonstrate that Russian fairy tales follow a com-
would not consider killing one’s would-be killer?
mon biographical plot, in which the hero goes off on a suc-
Symbolically, or unconsciously, the hero is heroic not
cessful adventure and upon his return marries and gains the
because he dares to win a throne but because he dares to kill
throne. Propp’s pattern skirts both the birth and the death
his father. The killing is definitely intentional, and the cause
of the hero.
is not revenge but sexual frustration. The father has refused
Of attempts not merely to delineate patterns but also
to surrender his wife—the real object of the son’s efforts.
to determine the origin, function, and subject matter of hero
Too horrendous to face, the true meaning of the hero myth
myths, the most important have been by the Viennese psy-
becomes shielded by the concocted story. Rather than the
choanalyst Otto Rank (1884–1939), the American mythog-
culprit, the hero becomes an innocent victim or at worst a
rapher Joseph Campbell (1904–1987), and the English folk-
justified avenger. What the hero seeks is masked as power,
lorist Lord Raglan (1885–1964). Rank later broke
not displayed as incest. Most of all, who the hero is becomes
irreparably with Sigmund Freud (1956–1939), but when he
some third party, a historical or legendary figure, rather than
wrote The Myth of the Birth of the Hero (1909), he was a
either the creator of the myth or anyone stirred by it. Identi-
Freudian apostle. While Campbell was never a full-fledged
fying himself with the literal hero, the myth maker or reader
Jungian, he wrote The Hero with a Thousand Faces (1949)
vicariously revels in the hero’s triumph, which in fact is his
as a kindred soul of C. G. Jung (1875–1961). Raglan wrote
own. He is the real hero of the myth.
The Hero (1936) as a theoretical ally of J. G. Frazer.
Literally, the myth culminates in the hero’s attainment
Otto Rank. For Rank, following Freud, heroism deals
of a throne. Symbolically, the hero gains a mate as well. One
with what Jungians call the first half of life. The first half—
might then conclude that the myth fittingly expresses the
birth, childhood, adolescence, and young adulthood—
Freudian goal of the first half of life. In actuality, it expresses
involves the establishment of oneself as an independent per-
the opposite. The wish it fulfills is not for detachment from
son in the external world. The attainment of independence
one’s parents and from one’s antisocial instincts but, on the
expresses itself concretely in the securing of a job and a mate.
contrary, for the most intense possible relationship to one’s
The securing of either requires both separation from one’s
parents and the most antisocial of urges: parricide and incest,
parents and mastery of one’s instincts. Freudian problems in-
even rape. Taking one’s father’s job and one’s mother’s hand
volve a lingering attachment to either parents or instincts. To
does not quite spell independence of them.
depend on one’s parents for the satisfaction of instincts or
The myth maker or reader is an adult, but the wish vent-
to satisfy instincts in antisocial ways is to be stuck, or fixated,
ed by the myth is that of a child of three to five. The fantasy
at a childish level of psychological development.
is the fulfillment of the Oedipal wish to kill one’s father in
Rank’s pattern, which he applies to thirty hero myths,
order to gain access to one’s mother. The myth fulfills a wish
is limited to the first half of life. It goes from the hero’s birth
never outgrown by the adult who either invents or uses it.
to his attainment of a “career”:
That adult is psychologically an eternal child. Having never
developed an ego strong enough to master his instincts, he
The hero is the child of most distinguished parents,
is neurotic. Since no mere child can overpower his father, the
usually the son of a king. His origin is preceded by diffi-
myth maker imagines being old enough to do so. In short,
culties, such as continence, or prolonged barrenness, or
secret intercourse of the parents due to external prohibi-
the myth expresses not the Freudian goal of the first half of
tion or obstacles. During or before the pregnancy, there
life but the fixated childhood goal that keeps one from ac-
is a prophecy, in the form of a dream or oracle, caution-
complishing it.
ing against his birth, and usually threatening danger to
Joseph Campbell. Whereas for Freud and Rank hero-
the father (or his representative). As a rule, he is surren-
dered to the water, in a box. He is then saved by ani-
ism is limited to the first half of life, for Jung it involves the
mals, or by lowly people (shepherds), and is suckled by
second half—adulthood—even more. For Freud and Rank,
a female animal or by an humble woman. After he has
heroism involves relations with parents and instincts. For
grown up, he finds his distinguished parents, in a highly
Jung, heroism in even the first half involves in addition rela-
versatile fashion. He takes his revenge on his father, on
tions with the unconscious. Heroism here means separation
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3959
not only from parents and antisocial instincts but even more
gods he becomes mystically one and thereby becomes divine
from the unconscious: every child’s managing to forge con-
himself.
sciousness is for Jung a supremely heroic feat.
Whereas Rank’s hero returns home to encounter his fa-
The goal of the uniquely Jungian second half of life is
ther and mother, Campbell’s hero leaves home to encounter
likewise consciousness, but now consciousness of the Jungian
a male and a female god, who are neither his parents nor nec-
unconscious rather than, as in the first half, of the external
essarily even a couple. Yet the two heroes’ encounters are
world. One must return to the unconscious, from which one
seemingly akin. But in fact they are not. Because the goddess
has invariably become severed, but the ultimate aim is to re-
is not the hero’s mother, sex with her does not constitute in-
turn in turn to the external world. The ideal is a balance be-
cest. And the conflict with the male god is resolved.
tween consciousness of the external world and consciousness
When Campbell writes that myths “reveal the benign
of the unconscious. The aim of the second half of life is to
self-giving aspect of the archetypal father,” he is using the
supplement, not abandon, the achievements of the first half.
term in its Jungian sense (Campbell, 1972, pp. 139–140).
Just as classical Freudian problems involve the failure to
For Freudians, gods symbolize parents. For Jungians, parents
establish oneself in the outer world in the form of working
symbolize gods, who in turn symbolize father and mother ar-
and loving, so the distinctively Jungian problems involve the
chetypes, which are components of the hero’s personality. A
failure to reestablish oneself in the inner world in relation to
male hero’s relationship to these gods symbolizes not, as for
the unconscious. Freudian problems stem from excessive at-
Freud and Rank, a son’s relationship to other persons (his
tachment to the world of childhood; Jungian problems are
parents) but the relationship of one side of a male’s personali-
the result of excessive attachment to the world one enters
ty (his ego) to another side (his unconscious). The father and
upon breaking free of childhood: the external world.
the mother are but two of the archetypes of which the Jun-
gian, or collective, unconscious is composed. Archetypes are
Just as Rank confines heroism to the first half of life, so
unconscious not because they have been repressed but be-
Campbell restricts it to the second half. Rank’s scheme be-
cause they have never been conscious. For Jung and Camp-
gins with the hero’s birth; Campbell’s, with his adventure.
bell, myth originates and functions not, as for Freud and
Where Rank’s scheme ends, Campbell’s begins: with the
Rank, to satisfy neurotic urges that cannot be manifested
adult hero ensconced at home. Rank’s hero must be young
openly but to express normal sides of the personality that
enough for his father and in some cases even his grandfather
have just not had a chance at realization.
still to be reigning. Campbell does not specify the age of his
By identifying himself with the hero of a myth, Rank’s
hero, but the hero must be no younger than the age at which
myth maker or reader vicariously lives out in his mind an ad-
Rank’s hero myth therefore ends: young adulthood. While
venture that, if ever directly fulfilled, would be acted out on
some of Campbell’s own examples are of child heroes, they
his parents themselves. While also identifying himself—or
violate his scheme, according to which heroes must be will-
herself—with the hero of a myth, Campbell’s myth maker
ing to leave behind all that they have accomplished at home,
or reader vicariously lives out in the mind an adventure that
and violate even more his Jungian meaning, according to
even when directly fulfilled would still be taking place in the
which heroes must be fully developed egos ready to encoun-
mind. For parts of the mind are what the myth maker or
ter the unconscious from which they have largely become
reader is really encountering.
separated. Campbell’s heroes should, then, be adults.
Lord Raglan. As a Frazerian, Lord Raglan focuses on
Rank’s hero must be the son of royal or at least distin-
the relationship between myth and ritual. Myth provides the
guished parents. The hero of the egalitarian Campbell need
script for the ritual, which is the killing and replacement of
not be, though often is. Whereas Rank’s heroes must be
the king, in whom the soul of the god of vegetation resides
male, Campbell’s can be female as well, though Campbell in-
and whose soul is thereby transferred to his successor. The
consistently describes the hero’s initiation from an exclusive-
soul is then transferred to the body of the next king. The in-
ly male point of view. Finally, Campbell’s scheme dictates
cumbent is killed either at the first sign of weakness or at the
human heroes, even though many of his examples are of di-
end of a fixed term so short as to minimize the chance of ill-
vine heroes. Rank’s pattern, by contrast, readily allows for di-
ness or death in office. The king is killed to preserve or re-
vine as well as human heroes.
store the state of health of the god and thereby of vegetation:
Whereas Rank’s hero returns to his birthplace, Camp-
as the king goes, so goes the god, and so goes vegetation.
bell’s marches forth to a strange new world, which the hero
Venturing beyond Frazer, Raglan equates the king with
has never visited or even known existed. This extraordinary
the hero. Raglan turns Frazer’s theory of myth in general into
world is the world of the gods, and the hero must hail from
a theory of hero myths in particular. Moreover, Raglan intro-
the human world precisely to be able to experience the dis-
duces his own detailed hero pattern, which he applies to
tinctiveness of the divine one. The hero enjoys physical rela-
twenty-one hero myths. That pattern extends all the way
tions with the goddess and marries her—the reason the hero
from the hero’s conception to his death. In contrast to
must here be male. He clashes with the male god and defeats
Rank’s and Campbell’s patterns, it therefore covers both
him—the reason the hero must here be male. Yet with both
halves of life:
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HEROES
1. The hero’s mother is a royal virgin;
René Girard. In Violence and the Sacred (1972) and
2. His father is a king, and
many subsequent works, the contemporary French literary
critic René Girard (1923–) offers an ironic twist to the theo-
3. Often a near relative of his mother, but
ry of Raglan. Whereas Raglan’s hero is heroic because he is
4. The circumstances of his conception are unusual, and
willing to die for the sake of the community, Girard’s hero
5. He is also reputed to be the son of a god.
is killed or exiled by the community for having caused the
6. At birth an attempt is made, usually by his father or his
present ills of the community. Indeed, the “hero” is initially
maternal grandfather, to kill him, but
considered a criminal who deserves to die. Only subsequent-
7. He is spirited away, and
ly is the villain turned into a hero, who, as for Raglan, dies
selflessly on behalf of the community. The transformation
8. Reared by foster-parents in a far country.
of Oedipus from reviled exile in Sophocles’ Oedipus the King
9. We are told nothing of his childhood, but
to revered benefactor in Sophocles’ Oedipus at Colonus
10. On reaching manhood he returns or goes to his future
evinces the transformation of outcast into saint. Even though
kingdom.
Girard, and also Raglan, are vehemently anti-Freudian, both
11. After a victory over the king and/or a giant, dragon, or
use Oedipus as their fullest example.
wild beast,
The change from criminal to hero is for Girard only the
12. He marries a princess, often the daughter of his pre-
second half of the process. Originally, violence erupts in the
decessor, and
community. The cause is the inclination, innate in human
nature, to imitate others and thereby to desire the same ob-
13. Becomes king.
jects as those of the imitated. Imitation leads to rivalry,
14. For a time he reigns uneventfully, and
which leads to violence. Desperate to end the violence, the
15. Prescribes laws, but
community selects an innocent member to blame for the tur-
16. Later he loses favor with the gods and/or his subjects,
moil and usually kills the victim. The scapegoat can range
and
from the most helpless member of society to the most elevat-
ed, including the king or queen. Whereas for Raglan myth
17. Is driven from the throne and city, after which
directs or inspires the killing of the hero, for Girard myth
18. He meets with a mysterious death,
is created after the killing to hide it. The myth first turns the
19. Often at the top of a hill.
scapegoat into a criminal who deserved to die but then turns
20. His children, if any, do not succeed him.
the criminal into a hero, who has died willingly for the good
of the community. The scapegoat can even become a crimi-
21. His body is not buried, but nevertheless
nal and a hero simultaneously. For the figure blamed for the
22. He has one or more holy sepulchres (Raglan, 1990,
turmoil is also credited with ending it, albeit by death or
p. 138).
exile. But the criminal can also become even more of a hero
Clearly, parts one to thirteen correspond roughly to Rank’s
thereafter.
entire scheme, though Raglan himself never read Rank. The
victory that gives the hero the throne is not, however, Oedi-
SEE ALSO Myth, overview article.
pal, for the vanquished is not necessarily his father. Parts
fourteen to twenty-two do not correspond at all to Camp-
BIBLIOGRAPHY
Bentley, Eric. A Century of Hero-Worship. 1944. 2d ed. Boston,
bell’s scheme. The hero’s exile is loosely akin to the hero’s
1957. Classic attack on heroism for its linkage to fascism.
journey, but for Raglan there is no return. For Rank, the
heart of the hero pattern is gaining kingship—or other title.
Campbell, Joseph. The Hero with a Thousand Faces. 1st ed. New
York, 1949. 2d ed. Princeton, N.J., 1972.
For Raglan, the heart is losing kingship. Wherever Camp-
bell’s heroes are kings, the heart is their journey while king.
Carlyle, Thomas. On Heroes, Hero-Worship, and the Heroic in His-
tory. 1841.
Campbell’s hero can be any adult. Raglan’s hero must
Centenary Edition of the Works of Thomas Carlyle. Edited by
be not only a male but also a king. Campbell’s hero must—
Henry Duff Traill. Vol. 5. London, 1897.
or should—be human. Raglan’s hero can be either divine or
Covington, Coline. “In Search of the Heroine.” Journal of Analyti-
human.
cal Psychology 34 (1989): 243–254. On female heroes from
For Rank, heroes are heroic because they dare to serve
a Jungian point of view.
themselves. For both Campbell and Raglan, heroes are heroic
Dundes, Alan. The Hero Pattern and the Life of Jesus. Berkeley,
because they willingly or unwillingly serve their communi-
Calif., 1977. Reprinted in Otto Rank et al., In Quest of the
ties. Heroes serve their communities by their sacrificial
Hero, pp. 179–223. Princeton, N.J., 1990. A superb over-
deaths. Myths describe the lives—and deaths—of ideal
view of the history of theories of hero myths and the applica-
kings. For Campbell, heroes in myth serve their communities
tion of leading ones to the case of Jesus.
by their return home with knowledge of the divine world.
Farnell, Lewis Richard. Greek Hero Cults and Ideas of Immortality.
Without Raglan’s hero, the community would die; without
Oxford, 1921.
Campbell’s, it would remain benighted.
Frazer, J. G. The Golden Bough. Abridged ed. London, 1922.
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HESCHEL, ABRAHAM JOSHUA
3961
Galinsky, Gotthard Karl. The Herakles Theme. Oxford, 1972.
of his mature works in the United States. Heschel was born
Galloway, David D. The Absurd Hero in American Fiction. 1966.
into an intensely traditional Hasidic milieu: He was descend-
Rev. ed. Austin, Tex., 1970. On absurd heroes.
ed on his father’s side from Dov Ber of Mezhirich, successor
Girard, René. Violence and the Sacred. Translated by Patrick Greg-
of the BeSHT (acronym of the BaEal Shem T:ov, YisraDel ben
ory. Baltimore, Md., 1977.
EliEezer), founder of the Hasidic movement that flourished
among eastern European Jews in the eighteenth century;
Giraud, Raymond. The Unheroic Hero in the Novels of Stendhal,
Balzac and Flaubert. 1957. New York, 1979. On bourgeois
Avraham YehoshuEa Heschel, known as “the Apter rebe”; and
heroes.
YisraDel of Rizhyn. On his mother’s side, he was descended
from Levi Yitsh:aq of Berdichev and Pinh:as of Korets.
Hegel, G. W. F. Introduction to Hegel, The Philosophy of History.
1837. Reprinted as Reason in History. Translated by Robert
As a youth, Heschel received traditional training in Tal-
S. Hartman. Indianapolis, Ind., 1953.
mud and rabbinic lore, in which he excelled, and immersed
Hook, Sidney. The Hero in History. 1943. Boston, 1955.
himself in the world of Jewish mysticism, the literature of
Levin, Harry. “From Priam to Birotteau.” Yale French Studies 6
Qabbalah. Having decided to acquire a modern Western ed-
(1950): 75–82. On the difficulty of heroism in the modern
ucation, he enrolled in a secular Yiddish Realgymnasium in
world.
Vilna (now Vilnius), and in 1927 he moved to Berlin, where
Miller, Arthur. “Tragedy and the Common Man.” New York
he attended the Hochschule für die Wissenschaft des Juden-
Times (February 27, 1949), II, 1, 3. On ordinary persons as
tums and the University of Berlin. His doctoral dissertation
heroes.
(1933), dealing with the phenomenon of prophetic con-
Nietzsche, Friedrich. Thus Spoke Zarathustra. 1954. Translated by
sciousness, was published in 1936 (Die Prophetie). After
Walter Kaufmann. New York, 1966.
teaching Talmud at the Hochschule, he was appointed Mar-
Pearson, Carol, and Katherine Pope. The Female Hero. New York,
tin Buber’s successor at the Central Organization for Jewish
1981. Proposes a female variation on Campbell’s pattern,
Adult Education in Germany and the Jüdische Lehrhaus in
which is assumed to apply to male heroes only.
Frankfurt in 1937. After his deportation in October 1938
with the rest of the Polish Jews then resident in Germany,
Pearson, Carol. The Hero Within. 1986. Expanded ed. San Fran-
cisco, 1989. A further female variation on Campbell’s
Heschel taught for eight months at the Institute for Jewish
pattern.
Studies in Warsaw. He was enabled to leave Poland before
the Nazi invasion only by a call to join the faculty of the He-
Propp, Vladimir. Morphology of the Folktale. 1958. Translated by
Laurence Scott. 2nd ed. revised and edited by Louis A. Wag-
brew Union College in Cincinnati, Ohio.
ner. Austin, Tex., 1968.
Heschel reached the United States, via England, in
Raglan, Lord. The Hero. London, 1936. Section II reprinted in
1940, and after five years on the faculty of the Hebrew
Otto Rank et al., In Quest of the Hero, pp. 89–175. Prince-
Union College, he taught at the Jewish Theological Semi-
ton, N.J., 1990.
nary of America in New York as professor of ethics and mys-
Rank, Otto. The Myth of the Birth of the Hero. Translated by F.
ticism, until his death. In the last decade of his life, he be-
Robbins and Smith Ely Jelliffe. New York, 1914. Reprinted
came actively involved in a number of public issues. He
in Otto Rank et al., In Quest of the Hero, pp. 3–86. Prince-
participated in negotiations with Cardinal Bea concerning
ton, N.J., 1990. Second ed. Translated by Gregory R. Rich-
the formulation of a declaration on the Jews, which emerged
ter and E. James Lieberman. Baltimore, 2004.
from Vatican Council II, and he also took part in the civil
Reed, Walter L. Meditations on the Hero. New Haven, Conn.,
rights movement, opposition to the Vietnam War, and the
1974. On romantic heroes.
campaign to enable Russian Jews to emigrate from the Soviet
Segal, Robert A., ed. Hero Myths: A Reader. Oxford, 2000.
Union.
A selection of myths of twenty-two male and female heroes cate-
Heschel’s philosophy of religion developed under the
gorized into types that include national hero, class hero, defi-
influences of his traditional Jewish upbringing and the chal-
ant hero, tragic hero, and absurd hero.
lenges of modern secular philosophy, science, and psycholo-
Smith, Stan. A Sadly Contracted Hero. South Shields, U.K., 1981.
gy. He was impressed by the works of the neo-Kantian phi-
On comic heroes.
losophers, such as his teacher Heinrich Maier (Philosophie der
Spencer, Herbert. The Study of Sociology. 1873. New York, 1874.
Wirklichkeit, Tübingen, 1926), and by the phenomenolo-
Tylor, Edward Burnett Primitive Culture. 2 vols. London, 1871.
gists Edmund Husserl and Max Scheler. But against the neo-
Kantians he defended the claim of traditional Judaism that
ROBERT A. SEGAL (2005)
God is more than a postulate of reason. From the phenome-
nologists he learned to analyze the constitutive traits and
structures of experienced reality, without reducing them to
HESCHEL, ABRAHAM JOSHUA (1907–1972),
alien categories that can distort their unique character. Al-
was a Jewish scholar and philosopher of religion. Born and
ready in his early work on prophecy, later expanded into his
raised in Warsaw, Heschel received his training in the meth-
English book The Prophets (1962), he asserted that the phe-
ods of modern scientific research in Berlin, and wrote most
nomena of biblical prophecy should not be forced into 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
3962
HESCHEL, ABRAHAM JOSHUA
categories of Aristotelian metaphysics. The “divine concern”
point of science that looks beyond given facts (data) to the
of the living God of the Bible, who takes a passionate interest
laws they exemplify. Wonder as “radical amazement” points
in his creatures, is the key to Heschel’s philosophy of
to the ground and power that stand behind all facts and per-
religion.
ceptions of facts. This “evocative” approach to reality results
in a panentheistic outlook: Through created things one be-
Heschel rejected the construction of a “religion of rea-
comes aware of the God who is within, but who is also be-
son” in the spirit of the neo-Kantian philosopher Hermann
yond all finite existence.
Cohen, because such would substitute philosophy for reli-
gion; he rejected the analysis of “religious experience,” as in
A second approach to awareness of God is reached by
Schleiermacher and Rudolf Otto, because it would replace
delving into the recesses of one’s own being, realizing that
religion with the psychology of religion; and he criticized the
the self is not a discrete, independent, and self-sufficient enti-
“reconstruction” of traditional Judaism to conform to mod-
ty, but part of something greater and more comprehensive
ern naturalism in the manner of Mordecai M. Kaplan, be-
than the individual. This approach tends toward a quasi-
cause it would transform religion into the sociology of reli-
mystical view, but it stops short of mystical absorption in the
gion. If religion is sui generis, it must be studied on its own
godhead, by emphasizing God as the subject of reality and
terms, and the interpreter must focus on the preconceptual,
humans as the object whose dignity and worth are derived
ineffable reality of lived religion and on the dynamic rela-
from their awareness that they are the goal of divine concern
tionship between God and humankind disclosed in the clas-
and expectation.
sical documents of Judaism and the lives and experiences of
In a third way to God, humankind becomes aware of
pious men.
the voice and word of God. The “holy dimension,” discov-
Heschel consciously adopted a dual approach in his
ered by reacting responsively and responsibly to this address,
work both as a scholar who pursued historical research in the
characterizes the biblical view of revelation. By observing the
sources of classical Jewish thought and as an original and
commandments of the transcendent God, Israel entered this
imaginative contemporary philosopher and theologian. This
holy dimension of challenge and guidance, and by obedient-
approach enabled him to formulate his own thought as an
ly responding to the divine imperative, humanity experiences
authentic interpretation of his Judaic heritage in all its rich-
itself as the object of divine address and concern. The ability
ness. Heschel’s scholarly studies, in addition to his seminal
to respond to the divine challenge is the root of human free-
work on prophecy, included a biography of Moses Maimoni-
dom; the failures and successes of Israel in responding to
des, published in 1935; various articles on medieval philoso-
God’s call constitute the drama of Jewish history as interpret-
phy, Qabbalah, and Hasidism; and a work written in He-
ed by faith. Thus the Bible is not so much human theology
brew on the doctrines of revelation in Talmudic thought, of
as God’s anthropology.
which two volumes were published in 1962–1965 and a
Because of Heschel’s stress on faith as a response to
third still awaits publication. A two-volume work on the life
God’s demands, he opposed both the scholastic attempts to
and thought of Menah:em Mendel of Kotzk, the “Kotzker
identify the biblical God with the Greek notion of “being,”
rebe,” and an English volume about Mendel and Kierkegaard
and the modern process philosophies that describe the deity
(A Passion for Truth) appeared posthumously.
as the power that makes for goodness, the nisus of the uni-
The second strand of Heschel’s work, in which he tried
verse, or the moral dimension of reality. His own concept
to offer his contemporaries a theology based on the applica-
of “divine pathos” makes the idea of concern, or directed at-
tion of the insights of traditional sources to the problems of
tention, the central category of biblical thought. Aristotle’s
modernity, is chiefly developed in Man Is Not Alone (1951)
Unmoved Mover must give way to the biblical idea of the
and its successor volume, God in Search of Man (1955). Here
Most Moved Mover. Humankind responds to divine pathos
religion is defined as an answer to ultimate human questions.
with sympathy, and by this act of identifying with divine
Because modern humanity is often estranged from the reality
aims, overcomes its egocentric predicament without having
that informs genuine faith, Heschel thought it was futile to
to suppress its own needs. A religious person, by acts of em-
present merely traditional answers to these questions. Hence,
pathy with divine goals, converts divine goals and ends into
he tried first and foremost to recover the significant existen-
consciously acquired and deeply felt personal needs. Hu-
tial questions to which Judaism offers answers, confronting
mans, who share “transitive,” outgoing concern with God,
his readers with the living God of the Bible. To the religious-
not only must have needs but must also be needed, in order
ly sensitive person, God is an “ontological presupposition,”
to attain true fulfillment.
the ultimate reality, which is later crystallized by discursive
Heschel’s philosophy is shot through with polarities; the
thought into the concept of a power, a principle, a cause, or
pair he calls “pattern and spontaneity” (qeva E, kavvanah) are
a structure.
basic to life and liturgy and produce a creative tension be-
Heschel described three ways in which humans can
tween, on the one hand, the prescribed and regulated obser-
reach an awareness of God. The experience of wonder leads
vance of the commandments (mitsvot) and, on the other, the
beyond mere facts to an awareness of the grandeur and mys-
novel and individual way in which a Jew ought to respond
tery of reality. Wonder as curiosity becomes the starting
to the unique experiences of existence. Time and space stand
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HESIOD
3963
in a similar dialectical relation where things are frozen pro-
tains a number of important articles. Albino Babolin’s Abra-
cesses; life is a unity frozen in the process of gathering the
ham Joshua Heschel: Filosofo della religione (Perugia, 1978),
past into itself in memory and faithfulness and of reaching
written in Italian by a Catholic professor of the University
into the future in hope, expectation, and anticipatory cele-
of Perugia, is an important exposition of Heschel’s thought
bration. The Sabbath, whose celebration is a weekly com-
and its critics.
memoration of creation, the renewal of the divine-human
New Sources
covenant, and a foretaste of future redemption, is an edifice
Braun, Moshe A. The Heschel Tradition: The Life and Teachings
in time.
of Rabbi Abraham Joshua Heschel of Apt. Northvale, N.J.,
1997.
Heschel’s latest work on the Kotzker rebe mirrors his
Dresner, Samuel H. Heschel, Hasidism, and Halakha. New York,
awareness of the tension between mystery and meaning, be-
2002.
tween natural and crisis theology, between sacramentalism
and utopianism—or, in the language of Qabbalah, between
Fierman, Morton C. Leap of Action: Ideas in the Theology of Abra-
ham Joshua Heschel. Lanham, Md., 1990.
the world of unification ( Ealma’ de-yihudaD) and the world
of separation ( EalmaD de-ferudaD). Perhaps Heschel’s most im-
Kaplan, Edward K. Abraham Joshua Heschel: Prophetic Witness.
portant theme is that God is in need of humankind and that
New Haven, Conn., 1998.
humanity’s deepest fulfillment can be found by participating
Perlman, Lawrence. Abraham Heschel’s Idea of Revelation. Brown
in the divine concern.
Judaic Studies, 171. Atlanta, 1989.
FRITZ A. ROTHSCHILD (1987)
B
Revised Bibliography
IBLIOGRAPHY
The fullest exposition of Heschel’s theology is found in his two
major books, Man Is Not Alone: A Philosophy of Religion
(New York, 1951) and God in Search of Man: A Philosophy
HESIOD (Gr., He¯siodos; fl. c. 730–700 BCE) was one of
of Judaism (New York, 1955). His major contribution to bib-
the earliest recorded Greek poets. The earlier of his two sur-
lical theology is The Prophets (New York, 1962). His work
viving poems, Theogony, is of interest to students of Greek
on Talmudic doctrines of revelation in the schools of Yish-
maEeDl and EAqivaD is Torah min ha-shamayim be-aspaqlaryah
religion as an attempt to catalog the gods in the form of a
shel ha-dorot, 2 vols. (New York, 1962–1965). Man’s Quest
genealogy, starting with the beginning of the world and de-
for God (New York, 1954) contains essays and addresses on
scribing the power struggles that led to Zeus’s kingship
prayer and symbolism. Heschel’s views on the nature of time
among the gods. The cosmogony begins with Chaos
can be found in The Sabbath: Its Meaning for Modern Man
(“yawning space”), Earth, and Eros (the principle of sexual
(New York, 1951). The Earth Is the Lord’s (New York, 1950)
love—a precondition of genealogical development). The first
deals with the life and spirituality of eastern European Jewry;
ruler of the world is Ouranos (“heaven”). His persistent in-
Israel: An Echo of Eternity (New York, 1969) treats the mean-
tercourse with Earth hinders the birth of his children, the Ti-
ing of the land and the State of Israel. The Insecurity of Free-
tans, until Kronos, the youngest, castrates him. Kronos later
dom (New York, 1966) is a collection of essays dealing with
tries to suppress his own children by swallowing them, but
contemporary topics. A Passion for Truth (New York, 1973)
Zeus, the youngest, is saved and makes Kronos regurgitate
discusses the life and thought of Menah:em Mendel of Kotzk,
and is largely based on the more scholarly and magisterial
the others. The younger gods defeat the Titans after a ten-
two-volume work written in Yiddish and published as Kotzk:
year war and consign them to Tartaros, below the earth, so
In gerangel far emesdkeit (Tel Aviv, 1973).
that they no longer play a part in the world’s affairs.
The Circle of the Baal Shem Tov: Studies in Hasidism, edited and
This saga of successive rulers is evidently related to
introduced by Samuel H. Dresner (Chicago, 1985), contains
mythical accounts known from older Hittite and Babylonian
a collection of scholarly papers by Heschel, originally pub-
sources. Hesiod’s genealogy names some three hundred gods.
lished in periodicals and festschrifts, and mostly written in
Besides cosmic entities (Night, Sea, Rivers, etc.) and gods of
Hebrew or Yiddish. Between God and Man: An Interpretation
myth and cult, it includes personified abstractions such as
of Judaism from the Writings of Abraham J. Heschel, rev. ed.
Strife, Deceit, Victory, and Death. Several alternative theog-
(New York, 1976), is an anthology of Heschel’s writings that
I have edited, organizing his thought in a systematic form.
onies came into existence in the three centuries after Hesiod,
My introductory essay attempts to present an exposition of
but his remained the most widely read.
Heschel’s life and philosophy, and the volume contains a full
Hesiod’s other poem, Works and Days, is a compendium
bibliography of Heschel’s books and articles and of transla-
of moral and practical advice. Here Zeus is prominent as the
tions of books and articles into other languages. It also gives
all-seeing god of righteousness who rewards honesty and in-
a select list of writings on Heschel until 1975.
dustry and punishes injustice.
John C. Merkle’s The Genesis of Faith: The Depth Theology of Abra-
ham Joshua Heschel (New York, 1985), written by a Roman
Also attributed to Hesiod was a poem that actually
Catholic theologian, is the most detailed and thorough book-
dated only from the sixth century BCE, the Catalog of Women,
length study of Heschel’s theology in English. The Fall 1973
which dealt with heroic genealogies issuing from unions be-
issue (vol. 28) of the quarterly journal Conservative Judaism
tween gods and mortal women. It enjoyed a status similar
is exclusively devoted to Heschel’s life and thought and con-
to that of the Theogony, but it survives only in fragments.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3964
HESTIA
BIBLIOGRAPHY
Sauzeau, Pierre, and André Sauzeau. “Le symbolisme des métaux
Hesiod’s theological thinking is explored in a careful and sensitive
et le mythe des races métalliques.” Revue d’Histoire des Reli-
way by Friedrich Solmsen in Hesiod and Aeschylus (Ithaca,
gions 219 (2002): 259–297.
N.Y., 1949). There is much fresh insight in the chapter on
Solmsen, Friedrich. “The Two Near Eastern Sources of Hesiod.”
Hesiod in Hermann Fränkel’s Early Greek Poetry and Philoso-
Hermes 117 (1989): 413–422.
phy (Oxford, 1975). The divine genealogies and the Oriental
background to the “succession myth” are fully discussed in
Theogony and Works and Days. Translated with an introduction
my book Hesiod: Theogony (Oxford, 1966). For a discussion
by Martin L. West. Oxford, 1988.
of the other poems, see my Hesiod: Works and Days (Oxford,
Wacziarg, Aude. “Le Chaos d’ Hésiode.” Pallas. Revue d’ Études
1978) and The Hesiodic Catalogue of Women: Its Nature,
Antiques 49 (2002): 131–152.
Structure, and Origins (Oxford, 1985).
West, Martin L. The Eastern Side of Helicon. Oxford, 1990.
New Sources
Ballabriga, Alain. “L’invention du mythe des races en Grèce ar-
Zeitlin, Froma I. “The Economics of Hesiod’s Pandora.” In Pan-
chaïque.” Revue d’Histoire des Religions 215 (1998):
dora: Women in Classical Greece, edited by Ellen D. Reeder,
307–339.
pp. 49–56. Princeton, 1995.
Bianchi, Ugo. “Per la storia della teologia dei Greci. La Teogonia
M. L. WEST (1987)
di Esiodo.” In La coscienza religiosa del letterato pagano,
Revised Bibliography
pp. 9–26, Genoa, 1987.
Bianchi, Ugo. “Razza aurea, mito delle cinque razze ed Elisio.
Un’analisi storico-religiosa.” Studi e Materiali di Storia delle
Religioni 39 (1963): 143–210.
HESTIA, the Greek goddess of the domestic and commu-
nal hearth, is closely allied to the Roman goddess Vesta. Hes-
Blümer, Wilhelm. Interpretation archaischer Dichtung: die
mythologischen Partien der Erga Hesiods. 2 vols. Münster,
tia, the eldest child of Kronos and Rhea, was swallowed by
2001.
her father at birth, and was the last to emerge from the patri-
archal “womb” when Zeus liberated his siblings. The motif
Carrière, Jean Claude. “Les démons, les héros et les rois dans la
cité de fer. Les ambiguïtés de la justice dans le mythe hési-
of first and last recurs frequently in the traditions associated
odique des races et la naissance de la cité.” In Les grandes fig-
with her. She receives the first and last libation offered at
ures religieuses. Fonctionnement pratique et symbolique dans
every feast, no matter what divinity is being honored. Al-
l’Antiquité, Besançon 25–26 avril 1984, pp. 193–261. Paris,
though she was an original member of the Olympian
1986.
Twelve, there is a tradition that at some point she yielded
Detienne, Maurice. Crise agraire et attitude religieuse chez Hésiode
her place to Dionysos—a tradition but, typically, no story.
(Bruxelles, 1963). Le métier du mythe. Lectures d’Hésiode, ed-
Indeed, there are almost no stories about this least anthropo-
ited by Fabienne Blaise, Pierre Judet de LaCombe, and Phi-
morphic of the major Greek divinities.
lippe Rousseau. Lille, 1986.
Hestia’s name also served as a common noun designat-
Friedländer; Paul. Studien zur Antiken Literatur und Kunst. Berlin,
ing the hearth and its fire; most essentially, she was the fire
1969, pp. 68–104.
at the center of Olympus, of the city-state, the family home,
Holmberg, Ingrid Elisabeth. “The Sign of Metis.” Arethusa 30
and the soul. She was worshiped not at specially designated
(1997): 1–33.
temples but at the family hearth; in the Classical period altars
Koenen, Ludwig. “Greece, the Near East, and Egypt.” Transac-
originally dedicated to her were rededicated to Zeus Ephes-
tions of the American Philological Association 124 (1994):
tios (“Zeus of the hearth”). Her tranquillity and apparent
1–34.
passivity were understood to be inherent to her character and
Nelson, Stephanie A. “The Justice of Zeus in Hesiod’s Fable of
not externally imposed; her virginity was deliberately chosen.
the Hawk and the Nightingale.” Classical Journal 92 (1996–
Hestia is represented as shunning all adventure or entangle-
1997): 235–247.
ment. Though she had no children of her own, she bestowed
Pirenne-Delforge, Vinciane. “Prairie d’ Aphrodite et jardin de
her dispassionate and nondiscriminating motherly love on all
Pandore. Le ‘féminin’ dans la Théogonie.” In Kepoi. De la
alike, but especially on motherless orphans. Though Vesta
religion à la philosophie. Mélanges offerts à André Motte, edited
by Édouard Delruelle and Vinciane Pirenne-Delforge,
in Rome was attended by virgins chosen before they were six,
pp. 83–99. Liège, 2001.
the Greek goddess’s attendants were most typically elderly
women who had once been married. Hestia represented the
Pötscher, Walter. “Baum und Felsen.” Ziva Antiqua 45 (1995):
265–270.
stability and continuity of communal and familial existence;
a new colony was established by bringing a log from the
Pötscher, Walter. “Ostea leuka: zur Formation und Struktur des
mother city’s hearth, a new home by lighting a log brought
olympischen Opfers.” Grazer Beiträge 21 (1995): 29–46.
from the daughter’s family hearth.
Rudhardt, Jean. “À propos de l’Hécate hésiodique.” Museum
Helveticum 50 (1993): 204–213.
Hestia was often paired with Hermes: She always self-
Rumpf, Ewald. Das Muttertrauma in der griechischen Mythologie;
same, he a shapeshifter; she homebound, he a wayfarer; she
eine psychologische Interpretation der Theogonia von Hesiod.
ultimately trustworthy, he a trickster. That she was replaced
Frankfurt, 1985.
on Olympus by Dionysos suggests the significance of their
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HEVAJRA
3965
complementation: Life in his realm had meaning at the ex-
ties of renunciants, who constituted what might be termed
treme, whereas life in hers had meaning at the center. Hestia
the “siddha movement” and who from the eighth century on-
embodied the Greek recognition of the sanctity to be found
ward were an important influence on the development Bud-
in the most ordinary and familiar things, those too easily ig-
dhist Tantric traditions.
nored, too readily devalued.
The Hevajra Tantra, while a Buddhist scripture with
identifiably Buddhist elements, was heavily influenced by
BIBLIOGRAPHY
this movement. Composed by the late eighth century, the
The most important classical sources are Hesiod’s Theogony and
the Homeric hymns to Hestia and Aphrodite. The most ex-
Hevajra Tantra exhibits the charnel-ground culture of the
tended modern scholarly discussion is in Lewis R. Farnell’s
siddha movement, with its emphasis on transgressive prac-
The Cults of the Greek States, vol. 2 (1896; New Rochelle,
tices, particularly in the areas of sexuality and food consump-
N.Y., 1977). An interesting psychological exploration by
tion. Classified as a “Yogin¯ı” or “Mother” Tantra, it also
Barbara Kirksey, “Hestia: A Background of Psychological
places great emphasis upon female deities, although it is ar-
Focusing,” can be found in Facing the Gods, edited by James
guable to what extent, if any, this translated into increased
Hillman (Irving, Tex., 1980).
respect for women. Like most Tantras, the majority of the
New Sources
text deals with ritual, with great focus placed upon magical
Comoth, Katharina. Hestia. Heidelberg, 1998.
rites employing mantras, often for worldly purposes such as
Detienne, Marcel. “La cité en son autonomie. Autour d’Hestia.”
affecting the weather. It is also noticeable for its employment
Quaderni di Storia 11 (1985): 59–78.
of songs written in the Apabram:´sa dialect, as well as its pre-
scription of a “coded language” (sandhya¯-bha¯s:a¯) for use by
Merkelbach, Rheinold. “Der Kult der Hestia im Prytaneion der
griechischen Städte.” Zeitschrift f. Papyrologie u. Epigraphik
yogins and yogin¯ıs in their Tantric feasts. This has been a
37 (1980): 77–92. Reprinted in Hestia und Erigone. Vorträge
topic of great interest for scholars, past and present. In tradi-
und Aufsätze. Stuttgart and Leipzig, 1996, pp. 52–66.
tional Indian and Tibetan Buddhist contexts, the Hevajra
North, Helen F. “Hestia and Vesta: Non-identical Twins.” In
Tantra played an important role in the development of Tan-
New Light from Ancient Cosa. Classical Mediterranean Studies
tric hermeneutics, and it thus made an important contribu-
in Honor of Cleo Rickman Fitch, edited by Norma Wynick
tion to Buddhist scholarship from the ninth century onward.
Goldman, pp. 179–188. New York, 2001.
This “coded language,” which has been previously translated
Pötscher, Walter. “Hestia und Vesta; Eine Strukturanalyse.” In
as “twilight language,” has also been a serious object of study
Satura grammatica in honorem Franscisci Rodríguez Adrados,
since the mid-twentieth century, and its interpretation has
vol. 2, pp. 743–762. Madrid, 1987.
inspired some controversy.
CHRISTINE DOWNING (1987)
The Hevajra Tantra and its ritual and meditative tradi-
Revised Bibliography
tions focus upon a man:d:ala as its central iconographic fea-
ture. The man:d:ala also functions as the premier site for its
ritual practices, such as consecration (abhis:eka) ceremonies,
HESYCHASM S
and its meditative practice, since many meditations in the
EE EASTERN CHRISTIANITY;
MONASTICISM, ARTICLE ON CHRISTIAN
tradition require that the adept either visualize himself or
MONASTICISM
herself within the man:d:ala, or view the man:d:ala as existing
within his or her body. While there are many different types
of Hevajra man:d:alas, probably the best-known version is the
relatively simple “skull cup–bearing” (kapa¯ladharin)
HETERODOXY SEE ORTHODOXY AND
man:d:ala, so called because it centers upon Kapa¯ladhar¯ı
HETERODOXY
Hevajra, who in this form has sixteen arms, each of which
holds a skull cup. He is depicted as being in sexual union
with his consort, Naira¯tmya¯. They are in turn surrounded
by a circle of eight yogin¯ıs: Gaur¯ı, S´avar¯ı, Caur¯ı, Can:d:al¯ı,
HEVAJRA. The term Hevajra is a name of the central
Veta¯l¯ı, D:ombin¯ı, Ghasmar¯ı, and Pukkas¯ı. Because the cen-
male deity of the man:d:ala described in the text of that name,
tral deity couple are said to be “nondual,” it is described as
the Hevajra Tantra. The image of Hevajra, which was rela-
being a nine-deity man:d:ala.
tively common in Indian Buddhist art from the tenth centu-
ry onward, is that of a yogin. Dark blue in color, he is depict-
The Hevajra tradition is particularly noted for its theory
ed naked yet covered with numerous ornaments, most
of the four joys (catura¯nanda) achieved via sexual union in
noticeably a skull garland, skull staff (khat:va¯n:ga), ritual scep-
the context of Perfection Stage meditation practices that in-
ter (vajra), and bell, and with his dreadlocks tied up in the
volve focused attention upon the subtle body, and the ma-
impressive crest preferred by Indian renunciant yogins. An
nipulation of “winds” of vital energy and “drops” of subtle
idealized image of a yogin, it is naturally the case that the tra-
sexual fluids within this body’s channels. Of greatest impor-
dition that gave rise to these images, and also the associated
tance is the fourth of these, the “natural joy” (sahaja¯nanda).
textual and ritual practices, originated among the communi-
The concept of the “natural” sahaja state became an impor-
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3966
HIERODOULEIA
tant element in the discourse of the siddha movement in
by Snellgrove’s refusal to translate the most explicitly sexual
India, and it has retained its significance to this day among
portions of the text. It also includes Sanskrit and Tibetan edi-
communities of Tantric Buddhists, particularly in Nepal,
tions of the text, as well as a Sanskrit edition of Ka¯n:ha’s
Tibet, Mongolia, and elsewhere in the diaspora.
Yogaratnama¯la¯ commentary.
The Hevajra Tantra was translated into Chinese by
Willemen, Charles, trans. and ed. The Chinese Hevajratantra: The
Scriptural Text of the Ritual of the Great King of the Teaching,
Dharmapa¯la (963–1058) in 1055 CE, but like other Bud-
the Adamantine One with Great Compassion and Knowledge
dhist Tantras that were translated into Chinese at this time,
of the Void. Leuven, Belgium, 1983. A translation and study
its practice does not appear to have taken root in China. It
of the Chinese translation of the Hevajra Tantra.
was, however, successfully transmitted to Tibet. It was one
of the central teachings that the Tibetan scholar Mar pa
DAVID B. GRAY (2005)
(Marpa, 1002/12–1096) received from the Indian saint
Na¯ropa (c. 966–1040), and Mar pa in turn passed it on to
his famous disciple Mi la ras pa (Milarepa, 1028/40–1111/
HIERODOULEIA. Contemporary scholarship uses
23), whose disciples would found the Bka’ brgyud (Kagyu)
the questionable expression “sacred prostitution” to refer to
orders of Tibetan Buddhism, which continue to transmit the
a sexual rite practiced in the ancient Near East. In the tem-
Hevajra tradition as one of their central teachings. It was also
ples of Ishtar, Astarte, Mâ, Anahita, and Aphrodite, for ex-
transmitted to Tibet by one of Mar pa’s contemporaries, the
ample, women, often virgins, offered themselves sexually to
translator-scholar ’Brog mi (Dok-mi, 992–1072), who stud-
strangers. Sometimes the temples were staffed by such “sa-
ied at Vikrama´sila in Northeast India with Ratna¯kara´sa¯nti
cred prostitutes.” Their actions were ritual components of
(c. eleventh century). He in turn instructed Dkon mchog
the cult of the goddess in question. In ancient Greece, the
rgyal po (Könchog Gyalpo, 1034–1102), one of the founders
word for such women was hierodoul¯e, or “sacred servant.”
of the Sa skya (Sakya) school of Tibetan Buddhism. The
The term used here, hierodouleia (“sacred service”), refers to
Hevajra Tantra would become one of the central teachings
the ritual.
of the Sa skya school, and it provides the basis for its “Path
and Fruit” (lam ’bras) system of Perfection Stage yoga.
This survey will exclude practices associated with such
terms as bacchanalia, saturnalia, and orgy, which refer to the
The Sa skya school also played an essential role in the
temporary loosening of sexual restraints that occurs frequent-
dissemination of Buddhism to the Mongols. During the
ly in many societies all over the world during certain festivals,
Yuan dynasty, the Mongols achieved hegemony over Tibet
rites of passage, and other types of religious observances. In
and appointed the Tibetan Sa skya Pan:d:ita (Sakya Pan:d:ita,
the current state of scholarship on the topic of cultic sexual
1182–1251) to be their governor of Tibet in 1249. His
activity, it would be premature to try to establish any correla-
nephew, the Sa skya lama ’Phags pa (Pakpa, 1235–1280), be-
tions between such practices and the more institutionalized
came a friend and advisor of Kublai Khan (1216–1294). Ti-
forms of cultic sexual activity.
betan interactions with the Mongols continued for centuries
following the collapse of the Yuan dynasty in 1368
The present discussion is limited to the institution of
CE, and
the Hevajra Tantra was among the many texts and traditions
hierodoule¯s, as distinct from profane or exclusively commer-
successfully transmitted to the Mongols.
cial prostitution. The distinction between the two imposes
itself on the basis of both historical and ethnographic evi-
SEE ALSO Tantrism.
dence. One of the earliest existing legal written documents
for the ancient Near East is the Babylonian Code of Ham-
BIBLIOGRAPHY
murabi, which specifies a severe punishment for a female
Broido, Michael. “Does Tibetan Hermeneutics Throw Any Light
hierodoule¯ who goes to a tavern (the word tavern is consid-
on Sandha¯bha¯s:a.” Journal of the Tibet Society 2 (1982): 5–39.
ered by scholars to be synonymous with the word brothel).
A study of the Hevajra Tantra’s “coded language” and Tibet-
More than three thousand years later, the female servants-
an scholarship on it.
cum-courtesans (devada¯s¯ıs) of the temple of Jaganna¯tha in
Davidson, Ronald. “Reframing Sahaja: Genre, Representation,
Puri, Orissa (India), are forbidden still even to walk in the
Ritual, and Lineage.” Journal of Indian Philosophy 30 (2002):
streets frequented by common prostitutes.
45–83. An excellent discussion of the concept of sahaja,
highlighting the Hevajra Tantra’s influence on its devel-
The Babylonian evidence indicates that a distinction be-
opment.
tween cultic and profane sexuality is both ancient and persis-
Davidson, Ronald. Indian Esoteric Buddhism: A Social History of
tent. It is very possible that the distinction became blurred
the Tantric Movement. New York, 2002. Provides a useful
or perhaps even totally obliterated in the minds of most
overview of the “coded language” of the Hevajra Tantra.
Westerners because in the Hebrew scriptures the term used
Farrow, G. W., and I. Menon, trans. and eds. The Concealed Es-
for the cultic sexual activity of both male and female temple
sence of the Hevajra Tantra. Delhi, 1992. A translation of the
servants—znh, “to prostitute oneself”—is also used to refer
Tantra, together with Ka¯n:ha’s Yogaratnama¯la¯ commentary.
to apostasy (Hos. 2:7, 4:15; Jer. 2:20, 3:6, 3:8; Ez. 16:15,
Snellgrove, David L. The Hevajra Tantra: A Critical Study. 2 vols.
23:3, 23:19; Is. 57:3). Sexual cultic activity became for the
London, 1959. Overall, a very good translation, marred only
monotheist Yahvists synonymous with abandoning the wor-
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HIERODOULEIA
3967
ship of Yahveh and turning to false gods. Apostasy in the
visible signs of the goddess’s wealth. Their sexual activity as
Bible is considered to be the worst of sins, hence terms refer-
courtesans links them to well-being, since erotic pleasure is
ring to cultic sexual activity—prostitution, harlotry, and
considered one of the foremost expressions of that state.
whoredom—took on extremely negative connotations.
They represent the auspiciousness of the married state and
embody the active sexuality of the non-widowed wife.
This attitude toward cultic sexual activity seems not,
however, to have always existed or to have been established
The textual evidence from Mesopotamia seems to point
easily. Authors of the Hebrew scriptures mention the exis-
toward a similar identification between the hierodoule¯ and
tence and activity of hierodoule¯s, both male (qodesh) and fe-
the married woman. Both wore a veil in imitation of Ishtar,
male (qedushah), even in the Temple at Jerusalem. Scholarly
who is always represented wearing a veil. In India also, both
research has detailed the efforts of the prophets throughout
devada¯s¯ıs and married women cover their heads with the end
the history of the ancient Israelites to oust such a custom
of their sari, a gesture often described as wearing a veil. In
from their midst. It seems to have been finally eradicated
paragraph 127 of the Code of Hammurabi, hierodoule¯s are
only after the fall of Jerusalem (586 BCE) and the Babylonian
said to be protected from molestation in the same way as a
exile. The eventual triumph of a monotheist Yahvistic reli-
married woman. Another parallel between the institution in
gion took place in a polytheistic cultural environment radi-
Mesopotamia and in India is that in both, the consecrated
cally different in its religious orientation. According to the
women live in their own houses. Even though the devada¯s¯ıs
Old Testament scholar Walter Kornfeld, the disappearance
are concubines of the king and the priests, they cannot be
of this institution was of primary importance to the establish-
said to be part of a male establishment. They invite whom
ment of the Yahvistic religion. Cultic sexual activity was an
they please to their own houses. The devada¯s¯ıs, like the ish-
essential aspect of religions that venerated a mysterious life-
taritu, are not supposed to procreate; they adopt girls to suc-
power manifesting itself in a cyclic manner, following the
ceed them. In paragraph 178 and subsequently, the Code of
rhythms of nature, which was most often conceived of as
Hammurabi speaks only of the adopted children of the tem-
feminine. This configuration contrasts markedly with reli-
ple servants. Similarly, the prosperity and abundance for
gions that revere a single masculine god who reveals himself
which the devada¯s¯ıs stand are the general prosperity of the
at specific moments in history. However, this female life
land and the well-being of the realm: they are specifically not
power seems to have survived in altered form in the mystical
meant to be fertile. The devada¯s¯ıs are well versed in the ars
Jewish tradition in the form of the Shekhinah, the female
erotica as well as in music, dance, and literature: a wealth of
presence of God. In medieval cabalistic Jewish circles, sacred
textual evidence in India depicts them as often extremely well
ritual sexual union between husband and wife was performed
educated not only in the arts but in philosophy as well. In
to bring about the reunification of the male aspect of God
Indian epic literature (c. third century BCE–third century CE),
and the Shekhinah.
the courtesans embody the wealth, refinement, and culture
of the prosperous and well-ruled city.
Some form of cultic sexual activity was practiced by
temple servants of both sexes in most of the cultural areas
A similar role is played by a harlot in the Epic of Gil-
of ancient West Asia. In Mesopotamia the earliest evidence
gamesh, one of the oldest and most widely diffused works
(mostly textual) comes from Sumer, where the cult of the
from ancient Mesopotamia (some of its versions date from
goddess Inanna (Ishtar) was prominent and was associated
the beginning of the second millennium BCE). Gilgamesh,
with such activity. In a hymn written about 2300 BCE by the
the ruler of the city of Uruk, abuses his people; a goddess
high priestess of the moon god at Ur and called the Exalta-
named Aruru creates a half-man, half-animal creature named
tion of Inanna, that goddess is referred to as “the hierodule
Enkidu to subdue Gilgamesh. Enkidu lives in innocence
of An” (An was the highest god of Sumer). Other Sumerian
with the animals in the forest. A harlot is sent to humanize
texts show that temples to Inanna had at their service many
him; she makes love to him and teaches him how to behave
temple prostitutes. The goddess Inanna transformed herself
as a human being. He is brought into the city of Uruk and
into the Semitic Ishtar with the Akkadian conquest of Sumer
eventually tames Gilgamesh, who ceases to mistreat his peo-
during the third millennium BCE, and the women who car-
ple. Thus the active sexuality of the prostitute results in well-
ried out the sexual aspect of that goddess’s cult were called
being for the inhabitants of Uruk.
ishtaritu. Given the characterization of Inanna as a
hierodoule¯, it is likely that the women temple servants were
This story has a close parallel in the myth of R:s:y´sr:n˙ga,
considered to be living embodiments of the goddess. Such
in Indian literature. This sage, who had a horn on his fore-
a conjecture is reinforced by ethnographic evidence on the
head, was born of a female doe who drank the seed a sage
devada¯s¯ıs (female servants of a deity) of India.
had spilled in a pond. R:s:y´sr:n˙ga grows up in his father’s forest
hermitage, eating berries and roots and never seeing other
In Puri, the devada¯s¯ıs of the temple of Jaganna¯tha are
human beings. In a neighboring kingdom, a terrible drought
considered to be the living embodiments of Jaganna¯tha’s
plagues the realm because of the misconduct of the king. The
wife Laks:m¯ı. Laks:m¯ı is a goddess of prosperity, abundance,
king is advised that the only way to save the inhabitants from
and well-being, and the devada¯s¯ıs who, laden with precious
starvation is to bring R:s:y´sr:n˙ga into the city. Only the city
ornaments, dance and sing twice daily in the temple are the
courtesans are able to do this. One of them cleverly seduces
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HIERODOULEIA
the horned forest dweller, introducing him not only to erotic
eunuchs who dressed in women’s clothes and engaged in cul-
pleasure but to cooked food, clothes, and other refinements
tic homosexual activity. Dumuzi and his transformations
of city life. When she and R:s:y´sr:n˙ga enter the city, rain pours
into the Phoenician/Canaanite Baal, the Syrian/Greek Ado-
from the sky, to the great joy of the people. The active sexual-
nis, the Phrygian and Lydian Attis, and the Egyptian Osiris
ity of the courtesan is—as in the Mesopotamian example—
were consorts/sons of the goddess. The Mesopotamian Inan-
the instrument that safeguards the well-being of the king and
na similarly transformed herself into the corresponding fig-
the community.
ures of Asherah, Astarte/Aphrodite, Cybele, and Isis.
In both stories, the courtesan represents human culture
Common to the mythology of these deities is the theme
and is able to transform a semi-wild creature into a civilized
of the self-castration of the male god and his subsequent
human being. The similarity between the two stories may be
death and stay in the underworld, from which the goddess
a result of the archaeologically well-established fact of exten-
rescues him, bringing him back to life. The death of the god
sive contacts between ancient Mesopotamia and the Indus
often corresponds in the myth to the barrenness of nature,
Valley civilization of Northwest India (c. fourth to second
whose fertility is restored by the goddess’s reunion with her
millennium BCE). Even though more than a millennium sep-
consort. An early Babylonian hymn likens Tammuz to plants
arates the end of the Indus Valley civilization from the earlier
that quickly fade. This theme is carried down through the
portions of the epics, scholars have traced many features of
millennia and finds expression in the Greek ritual celebrating
later Hindu civilization to the earlier, pre-Aryan, agrarian
the death of Adonis, called the Adonia, during which female
Indus Valley civilization. The hypothesis that temple prosti-
courtesans sowed certain seeds in baskets that they placed on
tution may be one such historical continuity from the earlier
the rooftops. There the plants quickly germinated and grew
period must be entertained, especially in view of the striking
in the summer heat but just as quickly faded, since their roots
similarities between the ancient Mesopotamian practices and
had no time to grow strong. These “gardens of Adonis” met-
the Indian institution.
aphorically represent the young god’s sterility, since the
Another complex of ideas embodied in cultic sexual ac-
plants wilt before they can bear fruit, thus echoing in con-
tivity is that of the transference to the king of the fertile
crete ritual action the mythical theme of the god’s self-
power of the goddess. The king, both in ancient Mesopota-
castration. Certain Roman authors (Servius, Ovid) report
mia and in Hindu India, was regarded as the guarantor of
that in the Phrygian and Lydian (Asia Minor) cult of Cybele
the fertility of the land and its people, and in general of the
and Attis, male devotees castrated themselves during certain
prosperity and well-being of the realm. In order to carry out
festivals while in a state of trance brought about by dance and
this function, the king had to receive this power from a
music. They then became temple servants of the goddess,
woman. In ancient Mesopotamia the power was transferred
wore women’s clothes, and engaged in cultic homosexual ac-
through the sacred marriage (hieros gamos) ritual, one of the
tivity.
most widely documented rituals for a period of over two
The cult of Cybele was brought to Rome in 204 BCE by
thousand years. The earliest accounts come from Sumer in
official decree. Following military difficulties with their
the early third millennium BCE. Essentially, the rite consisted
enemy Hannibal, the Romans consulted the sibylline oracles,
of ceremonial and public sexual intercourse between the
who admonished them to bring the image of the West Asian
king, representing the goddess’s consort Dumuzi (the Akka-
goddess (a black stone) to Rome. This was done with great
dian Tammuz), and a representative of Inanna, most likely
ceremony, and the goddess was installed on the Palatine hill.
a high priestess, head of the temple hierodules. The point of
Her eunuch priests, called Galli by the Romans, followed the
the intercourse is not procreation but the assurance of abun-
customs of their cult of origin in Asia Minor. The cult of
dant crops and the goddess’s endorsement of the king’s abili-
Cybele in Rome survived until the fifth century CE.
ty to rule.
The interdiction against transvestism in the Hebrew
In Puri, the king, who before the Muslim and British
scriptures (Dt. 22:5) is understood by most scholars as being
conquests ruled a large empire (until the second half of the
part of the larger movement against fertility cults. The fact
sixteenth century), through the coronation ritual is symboli-
that sterile transvestite eunuchs are symbolically linked to the
cally infused with female generative powers. More literally,
seasonal renewal of the earth’s fertility is attested in several
the devada¯s¯ıs, who are the living embodiments of Laks:m¯ı,
of the myths concerning Ishtar and Tammuz. It is also con-
infuse the king with the fertile powers of the goddess. This
firmed ethnographically by a similar phenomenon in India,
is accomplished in the sexual act when the woman’s sexual
that of the male transvestites generally known as hijras. For
fluids, containing her power of life (´sakti), enter the man’s
these transvestites, found all over North and South India,
body via his sexual organ. In the Hindu case, the sacred mar-
self-castration is a caste duty (dharma). It is carried out in
riage rite is carried out not literally but symbolically during
a ritual context: the neophyte is seated in front of a picture
the king’s coronation and every year afterward.
of the goddess Bahuchara Mata and repeats her name while
Besides cultic sexual activity carried out by females, an-
the operation is being performed. This constitutes the tradi-
cient Mesopotamian texts speak of male hierodoule¯s who
tional initiation into the hijra community. In the myth
represented the goddess’s consort Dumuzi. These men were
about this goddess, she cuts off one of her breasts, offering
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HIERODOULEIA
3969
it in place of her body to bandits who would ravish her. By
only women with covered breasts in the painted frescoes of
castrating themselves and dressing as women, her devotees
the Ajanta caves (c. seventh and eighth centuries CE). The
achieve a special identification with her.
priestesses of the python god Dangbi are distinguished from
those of other deities by having their own organization.
Most hijras are homosexual prostitutes; their most im-
Through a trance possession by the python god, any female
portant religio-cultural function is to sing and dance in hous-
can join this organization. Her person then becomes sacred
es where a male child has been born. The hijras confer fertili-
and inviolate. These women live together in separate houses
ty, prosperity, and health on the child and its family. The
and are accorded great personal freedom.
hijras’ connection to the fertility of the land—and not only
to that of the people—is preserved in one of the stories they
Farther to the east, among the Ibo in what is today Ni-
tell, a story strikingly similar to that of the seduction of the
geria, the earth goddess had an important shrine in the town
ascetic R:s:y´sr:n˙ga by a courtesan. Drought was plaguing a
of Nguru. Amaury Talbot noted (in Some Nigerian Fertility
kingdom, and only the personal visit by the king to two hij-
Cults, Oxford, 1927) that about three hundred women had
ras visiting his city was able to bring about the rains. The par-
been given to the shrine as virgins. They practiced cultic sex-
allelism between the institution of the hijras and the sacred
ual activity, mostly with sterile men who came to the shrine
eunuchs of the ancient eastern Mediterranean is remarkable.
to pray for increased virility. These women were not sup-
As in the case of the parallelism with female cultic sexual ac-
posed to procreate; any child born to them was exposed.
tivity, the existence at some period in history of contact be-
Farther to the west, Ellis reports (in The Tshi-Speaking
tween the two areas cannot be excluded.
Peoples of the Gold Coast of West Africa, London, 1887) the
The institution of the transvestite hijras and that of the
existence of a form of sacred prostitution among the coastal
female temple courtesans exhibit the seemingly paradoxical
tribes of what is today Ghana. The gods are served by both
link between sterility and general fertility. The devadasis and,
priests and priestesses. The priests marry, but the priestesses
according to the available evidence, the ancient West Asian
do not, since they are, as in India, considered to be married
female hierodoule¯s are not supposed to procreate; they adopt
to the deity. These women dance, enter into trance, and
children but do not give birth to them. The eunuchs have
prophesy. They have sexual relations with men of their own
sacrificed to the goddess their reproductive capacity. Their
choice, who are reported to live with the priestesses for the
sexual activity is sterile. A study of the rituals and myths of
duration of the relationship. The ethnographic record is
the courtesans of the temple of Jagannatha in Puri leaves no
spotty on the subject, and these African examples are proba-
doubt that it is their sexual activity that ensures general well-
bly not the only instances of institutionalized cultic sexual
being and prosperity. The evidence concerning the hijras and
activity on that continent.
the ancient West Asian sacred eunuchs points to a similar
The presence of both transvestite males engaging in ho-
conclusion. The sacrifice of one’s reproductive capacity is
mosexual activity and of women who were sexually free has
symbolically akin to death; the link is particularly clear in the
been reported for pre-Conquest Mesoamerica and for Bor-
myths of the self-castration of Tammuz, Adonis, and Attis,
neo. In the capital of Teocolhuacán, on the Gulf of Califor-
which is soon followed by death. The paradox of general fer-
nia in northwestern Mexico, founded by descendants of the
tility brought about by the sexual activity of persons who
Toltec, temples had attached to them male transvestites and
have sacrificed their own fecundity may have to be under-
women who engaged in some form of cultic sexual activity.
stood as one symbolic expression of the widespread sacrificial
In Borneo, several groups have initiated priests and priestess-
theme of renewed life through death.
es into some form of prostitution. Among the Posso-Todjo
Toraja, the Olo Nyadju, the Olo Dusun, and the Kayan,
The ancient eastern Mediterranean/West Asian region
most of the initiated priesthood are women. The members
and the Indian subcontinent are not the only areas of the
of the priesthood receive their ritual knowledge from spirits
world where sexual cultic activity is practiced. Unfortunate-
of the sky world. Both priests and priestesses have specialized
ly, the reports by ethnographers on the subject are rather
knowledge of garden magic and of healing. Priestesses con-
spotty, and not enough information is available to attain a
duct the ghosts of the dead, especially those of chiefs, to the
satisfactory understanding of these practices. Some form of
land of the dead. They also perform ceremonies concerned
sacred prostitution has been reported for various groups in
with house building. The priests dress as women and act as
West Africa. A. B. Ellis, in The Ewe-Speaking Peoples of the
homosexual prostitutes, and the priestesses act as public pros-
Slave Coast of West Africa (London, 1890), reports that in
titutes.
Dahomey the female priestesses who have been dedicated to
a deity are considered to be his wives; they do not marry, and
In addition to forms of cultic sexual activity that are
they engage in prostitution. They are known as kosi, a term
practiced regularly by certain men and women, there are
derived from kono, meaning “unfruitful,” since a person so
cases in which sexual activity is engaged in only during a cer-
dedicated and any child born to her are lost to their natal lin-
tain period. The North African Awlad Na¯Dil tribe descends
eage and belong to the deity. These women wear a special
from a famous sixteenth-century saint. The women of the
type of dress and cover their breasts, unlike other women,
tribe are priestesses of saints’ shrines. At puberty they go into
a peculiarity they share with ancient Indian courtesans, the
towns and practice prostitution until they have accumulated
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3970
HIEROPHANY
a satisfactory dowry. They then return to their villages and
to this topic; in particular, Judith Ochshorn’s “Ishtar and
marry; no opprobrium whatsoever is attached to their meth-
Her Cult” (pp. 16–28) deals specifically with the hierodules;
od of accumulating wealth. Edmond Doutté reports (in
Renée Salzman’s “Magna Mater: Great Mother of the
Magie et religion dans l’Afrique du Nord, Algiers, 1908) that
Roman Empire” (pp. 60–67) has excellent information on
when the French colonial administration tried to interfere
Cybele’s Roman cult and her eunuch priests; and Steve Da-
with such practices, the whole population protested vigor-
vies’s “The Canaanite-Hebrew Goddess” is a good introduc-
tion to the topic of goddess worship by the ancient Israelites.
ously, insisting that to eradicate or curtail the custom would
A general reassessment of the terms usually translated as
be detrimental to the production of abundant harvests. This
“prostitute” (mostly “secular prostitute”) in the ancient Near
example could represent a historical continuity, since Augus-
East is provided in Julia Assante’s “The Kar.Kid/Harimtu:
tine (City of God 2.4) reports that the Semitic mother god-
Prostitute or Single Woman? A Reconsideration of the Evi-
dess was worshiped in North Africa under the names of As-
dence,” Ugarit-Forschungen 30 (1998): 5–96; and Gonzalo
tarte and Tanit. During their festival days, female devotees
Rubio’s “¿Vírgenes o meretrices? La prostitución sagrada en
engaged in sacred prostitution. Similarly, Herodotus notes
el Oriente antiguo,” Gerión 17 (1999): 129–148 deals more
(1.199) that in Paphos (on Cyprus) women used to prosti-
specifically with cultic prostitution in the ancient Near East.
tute themselves in the service of Adonis/Tammuz before
On the Greek rituals of the Adonia carried out by the courte-
marrying, and Justin writes that they did this to accumulate
sans of Aphrodite’s temple, Marcel Détienne has written an
innovative and fascinating work entitled The Gardens of Ado-
money for a dowry.
nis (Atlantic Highlands, N.J., 1977).
The North African premarital exchange of sexual ser-
On the Shekhinah as the female life force, see Gershom Sholem’s
vices for wealth is similar to a custom observed in the Palauan
chapter “Shekhinah: The Feminine Element in Divinity” in
archipelago in the western Pacific (part of the Trust Territory
On the Mystical Shape of the Godhead: Basic Concepts in the
of the Pacific Islands). After attaining puberty, young girls
Kabbalah (New York, 1991). On the sexual ritual itself see
are sent by their mothers to serve as concubines in the men’s
Seymour J. Cohen, ed. and trans., The Holy Letter: A Study
clubhouse of another village for three months to a year. In
in Jewish Sexual Morality (Northvale, N.J., 1994).
payment for their services, the men send money to the girls’
As for ethnographic studies of contemporary practices, for Eastern
families. This system of temporary prostitution generates an
India see Frédérique Apffel-Marglin, Wives of the God-King:
important network of economic exchanges between villages.
The Rituals of the Devadasis of Puri (Oxford, 1985). For
The institution is also viewed as a form of magical protection
South India, consult Saskia Kersemboom—Story Nityasu-
mangali: Devada¯s¯ı Tradition in South India (Delhi, 1987).
for the village in which the women take up temporary resi-
For a historical look at women’s role in South Indian temples
dence. This is conveyed in Palau by placing on the gable of
see Leslie Orr’s Donors, Devotees, and Daughters of God: Tem-
the men’s house a statue of a nude female prominently dis-
ple Women in Medieval Tamilnadu (New York and Oxford,
playing her genitalia. The myth explaining the origin of such
2000). On the reform movement in India that led to the
a figure states that the woman was a concubine in the men’s
eradication of this institution, see Kay K. Jordan, From Sa-
house and therefore from another village. The men from her
cred Servant to Profane Prostitute: A History of the Changing
natal village are classified as her brothers, and for them to
Legal Status of the Devada¯s¯ıs in India (Delhi, 2003). For a
gaze on her nakedness would be a grave sin. The men’s club-
comprehensive study of courtesans in Indian literature
house on which such an image is displayed is therefore pro-
through the ages, one must consult Moti Chandra’s The
tected from raids by the men from the villages of its resident
World of Courtesans (Delhi, 1973). Johann Jakob Meyer’s
female visitors.
work on women and sexuality in the epics, Sexual Life in An-
cient India, 2 vols. (London, 1930), is a classic. A reliable eth-
A comparative study of institutions involving cultic sex-
nographic study of male transvestites (hijras) in India is Sere-
ual activity by males and females, on either a permanent or
na Nanda’s Neither Man nor Woman: The Hijras of India
semi-permanent basis, has not been undertaken. The subject
(Belmont, Calif., 1990, 1999).
is not free from a negative bias, in all likelihood rooted in
FRÉDÉRIQUE APFFEL-MARGLIN (1987 AND 2005)
the ancient association between apostasy and cultic sexual ac-
tivity.
HIEROPHANY (from Greek hiero-, “sacred,” and
SEE ALSO Gender Roles; Hieros Gamos; Homosexuality;
phainein, “to show”) is a term designating the manifestation
Sexuality.
of the sacred. The term involves no further specification.
Herein lies its advantage: It refers to any manifestation of the
BIBLIOGRAPHY
sacred in whatever object throughout history. Whether the
A useful summary statement of research on the topic of hiero-
sacred appear in a stone, a tree, or an incarnate human being,
douleia is an article by Walter Kornfeld in volume 8 of the
a hierophany denotes the same act: A reality of an entirely
Supplément to the Dictionnaire de la Bible, entitled “Prostitu-
different order than those of this world becomes manifest in
tion sacrée” (Paris, 1972); the article covers only the ancient
an object that is part of the natural or profane sphere.
eastern Mediterranean/West Asian area. In a book edited by
Carl Olson entitled The Book of the Goddess Past and Present
The sacred manifests itself as a power or force that is
(New York, 1983), there are some excellent articles relevant
quite different from the forces of nature. A sacred tree, 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
HIEROPHANY
3971
instance, is not worshiped for being a tree. Neither is a sacred
the mythic history of various societies (e.g., among the Maa-
stone adored, in and of itself, for its natural properties as a
sai of Africa, the Turco-Mongols, and Indo-Europeans)
stone. These objects become the focus of religious veneration
often have essential ties to the sun’s powers.
because they are hierophanies, revealing something that is no
In many cultures, the fertility of animals and plants is
longer botanical or geological, but “wholly other.”
presided over by the sacredness of the moon. Above all oth-
FORMS OF HIEROPHANY. The forms of hierophanies vary
ers, the hierophanies of the moon convey the sacredness of
from one culture to another. The matter is complicated for,
life’s rhythms: rainy seasons, ocean tides, sowing times, the
throughout the course of history, cultures have recognized
menstrual cycle. Among Pygmy groups of central Africa, for
hierophanies everywhere in psychological, economic, spiritu-
instance, the moon, called Pe, is the fecund source of new
al, and social life. There is hardly any object, action, psycho-
life. Women celebrate her sacredness with drinking and
logical function, species of being, or even entertainment that
dancing feasts held at the time of the new moon. Through
has not become a hierophany at some time. Whatever hu-
the metamorphosis it undergoes each month, the moon dis-
mans come in contact with can be transformed into a hiero-
plays its powers of immortality and its ability to regenerate
phany. Musical instruments, architectural forms, beasts of
a form of life that even includes the experience of death.
burden, and vehicles of transportation have all been sacred
Women and snakes become epiphanies of the moon’s sacred
objects. In the right circumstances, any material object what-
power through their periodic loss of life in the form of blood
ever can become a hierophany.
and skin. Menstruation sometimes is perceived not only as
a shedding of blood but as a shedding of the “skin” that lines
The appearance of the sacred in a hierophany, however,
the uterus each month or of the “skin” that envelops the
does not eliminate its profane existence. In every religious
body of a new child if conception occurs that month. Snakes
context some objects in the class of things that convey the
are sometimes thought to shed not only skin but also
sacred (e.g., stone, trees, human beings) always remain pro-
“blood”: Snake venom is viewed as a species of blood that
fane. No single culture contains within its history all the pos-
is “shed” (that is, transmitted from fang to victim) when a
sible hierophanies. In other words, a hierophany always im-
snake bites its prey or when venom is consumed in festival
plies a singling-out. Not all stones are held to be sacred in
brew.
a culture; only some are venerated, or one, because their
properties make them fitting vehicles of the sacred. A hiero-
Human physiology itself can become a manifestation of
phany separates the thing that manifests the sacred from ev-
the sacred. Divine kings and the mystical bodies of shamans,
erything else around it, from all that remains profane.
transformed by their contact with sacred realities, can them-
selves become transparent vehicles of sacred powers. Even the
The sacred appears in cosmic form as well as in the
breath, soul, blood, pulse, semen, and body warmth of ordi-
imaginative life of human beings. Cosmic hierophanies cover
nary human beings can be seen as signs of the presence of
the spectrum of cosmic structures. Supreme gods of the sky,
supernatural forces. In certain yogic traditions, for example,
such as Num, the sky divinity of the Samoyeds, or Anu, the
a woman embodies prakr:ti, the eternal source and limitless
Babylonian shar shame (“sky king”), reflect or share the sa-
creative power of nature. The ritual nakedness of this yogin¯ı
credness attributed to the sky. So do the sovereign gods of
makes possible the revelation of a cosmic mystery.
the sky who display their power through storm, thunder, and
Ordinary items such as roots, herbs, and foods may also
lightning, such as the Greek god Zeus, his Roman counter-
manifest the sacred in one tradition or another, as may man-
part Jupiter, and Yahveh, the Hebrew supreme being.
ufactured items, such as swords, ropes, and puppets. Tech-
The sacredness of the earth is an important source of
niques and skills themselves, the processes of manufacture,
hierophany. Worship of Pachamama, mother goddess of the
reveal sacred powers. Ironworking, spinning, and weaving
earth, is an ancient and widespread phenomenon in the
are frequently sacred activities, carried on by consecrated per-
South American Andes. Local soil is a sacred presence in
sons in holy places and periods.
countless cultures around the globe. The earth is often an im-
The cosmogonic myths of tribal peoples, the Brahmanic
portant character in myths about the earliest times of cre-
tradition of South Asia, the mystical writings of Nichiren
ation. Such is the role of Papa (“earth”) in Maori creation
and Teresa of Ávila, the enthronement ceremonies of the
accounts and of Gaia in the Greek myths presented by Hesi-
king in ancient Babylon, the agricultural festivals of Japan,
od. Frequently the earth, as a hierophany of sacred being, ap-
the ritual costumes of dancing shamans in Siberia, the sym-
pears as the creative partner of a heavenly being. Such a di-
bolic fixtures of the Borobudur stupa, and initiation rites in
vine couple, deified sky and earth, figured prominently in
various traditions are all hierophanies. They express some
the mythologies of Oceania, Micronesia, Africa, and the
modality of the sacred and some moment in its history. Each
Americas.
one of these hierophanies reveals an aspect of the sacred as
The sun became a powerful manifestation of the sacred
well as a historical attitude that humans have taken toward
in central Mexico (among the Mixtec), in the Peruvian
the sacred.
Andes (among the Inca), in ancient Egypt, and elsewhere.
STRUCTURE AND DIALECTIC OF THE SACRED. At the most
Furthermore, important cultural heroes who figure largely in
general level of analysis, there exists a structure common 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
3972
HIEROPHANY
all hierophanies. Whenever the sacred is manifest, it limits
sickness, and pollution. The precautions that surround
itself. Its appearance forms part of a dialectic that occults
saints, sacrificers, and healers stem from fear of confronting
other possibilities. By appearing in the concrete form of a
the sacred. Kratophanies emphasize the extent to which the
rock, plant, or incarnate being, the sacred ceases to be abso-
manifestation of the sacred intrudes on the order of things.
lute, for the object in which it appears remains a part of the
Kratophanies also bring out the contradictory attitude dis-
worldly environment. In some respect, each hierophany ex-
played by human beings in regard to all that is sacred. On
presses an incomprehensible paradox arising from the great
the one hand, contact with hierophanies secures, renews, and
mystery upon which every hierophany is centered: the very
strengthens one’s own reality. On the other hand, total im-
fact that the sacred is made manifest at all.
mersion in the sacred (or an improper encounter with it) an-
nihilates one’s profane existence, an essential dimension of
This characteristic structure of manifestation and limi-
life.
tation is common to all hierophanies. The dialectic of ap-
pearance and occultation of the sacred becomes a key to un-
In any case, a hierophany (whether in the form of a the-
derstanding religious experience. Once all hierophanies are
ophany or kratophany) reveals the power, the force, and the
understood as equivalent in this fundamental respect, two
holiness of the sacred. Even the forces of nature are revered
helpful starting points can be found for the study of religious
for their power to sanctify life; that is, to make fertility holy.
experience. In the first place, all appearances of the sacred,
The forces of nature that appear in divine forms or in certain
whether sublime or simple, can be seen in terms of the same
objects make reproductive life partake of the unbounded
dialectic of the sacred. In the second place, the entire reli-
power and plenty of the sacred.
gious life of humankind is placed on a common footing.
Rich and diverse as it is, the religious history of human life
IMPACT ON SPACE AND TIME. Hierophanies directly affect
evidences no essential discontinuity. The same paradox un-
the situation of human existence, the condition by which hu-
derlies every hierophany: In making itself manifest, the sa-
mans understand their own nature and grasp their destiny.
cred limits itself.
For example, hierophanies alter the fundamental structures
of space and time. Every hierophany transforms the place in
THEOPHANY AND KRATOPHANY. Although hierophany is an
which it appears, so that a profane place becomes a sacred
inclusive term, one can distinguish different types of hiero-
precinct. For Aboriginal peoples of Australia, for example,
phany. They depend on the form in which the sacred ap-
the landscape of their native lands is alive. Its smallest details
pears, and the meaning with which the sacred imbues the
are charged with the meanings revealed in myth. Because the
form. In some instances, a hierophany reveals the presence
sacred first appeared in those places (to guarantee a food sup-
of a divinity. That is, the hierophany is a theophany, the ap-
ply and to teach humans how to feed themselves), they be-
pearance of a god. Theophanies differ widely from one an-
come an inexhaustible source of power and sacrality. Hu-
other in form and meaning, depending upon the nature of
mans can return to these places in each generation, to
the divine form appearing in them. A glance at the gods in
commune with the power that has revealed itself there. In
the pantheon of South Asian mythology or in Aztec mythol-
fact, the Aboriginal peoples express a religious need to re-
ogy shows that divinities can differ markedly in revealing var-
main in direct contact with those sites that are hierophanic.
ious divine forms of the sacred, even within the same culture.
One may say that the hierophany, connected with the trans-
Needless to say, theophanies from different cultures (e.g.,
formed place of its appearance, is capable of repeating itself.
Baal, the storm god of the ancient Semites; Viracocha, the
The conviction is widespread that hierophanies recur in a
creator god of the Inca; and Amaterasu, the Japanese deity
place where the sacred has once appeared. This explains why
of the sun and ancestress of the imperial line) manifest quite
human habitations and cities are constructed near sanctu-
different modalities of the sacred. In the form of divine per-
aries. Ceremonies of consecration, ground-breaking, or
sons, theophanies reveal the distinct religious values of or-
foundation-laying for temples, shrines, sacred cities, capitals,
ganic life, cosmic order, or the elementary forces of blood
and even bridges and houses, frequently repeat or echo acts
and fertility, as well as of purer and more sublime aspects.
of fundamental hierophanies, such as the creation of the
A second type of hierophany may be termed a krato-
world. At times they even provoke a sign indicating the loca-
phany, a manifestation of power. Kratophanies preserve the
tion of a hierophany (e.g., the release of an animal and the
sacred in all its ambivalence, both attracting and repelling
sacrifice of it on the spot where it is later found; or geoman-
with its brute power. The unusual, the new, and the strange
cy). These rituals of foundation and construction ensure that
frequently function as kratophanies. These things, persons,
the site will prepetuate the presence of a hierophany that first
or places can be dangerous and defiling as well as sacred.
appeared within the bounds of a similarly structured location
Corpses, criminals, and the sick often function as kratopha-
and event. The precincts for festival and ceremony are fre-
nies. Human beings in powerful or ambivalent circum-
quently consecrated for the occasion in this way. Thus, for
stances (such as women in menses, soldiers, hunters, kings
example, the Yuin, the Wiradjuri, and the Kamilaroi, Ab-
with absolute power, or executioners) are hedged around
original groups of Australia, prepare a sacred ground for their
with taboos and restrictions. People approach sacred foods
initiation ceremonies. The ground represents the camp of
with etiquette and manners designed to ward off defilement,
Baiame, the supreme being.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HIEROPHANY
3973
Hierophanies also transform time. A hierophany marks
effected by the transformation of concrete forms into a nexus
a breakthrough from profane to magico-religious time. Just
of cosmological principles and powers.
as spaces sacralized by a hierophany may be resconstructed
through acts of consecration, so the acts of hierophany are
For example, the symbolism that has surrounded the
repeated in the sacred calendar of each year. Rituals that re-
pearl throughout history works to transform it into a “cos-
peat the moment of a hierophany recreate the conditions of
mological center” that draws together key religious meanings
the world in which the sacred originally appeared, and at that
associated with the moon, women, fertility, and birth. The
moment when the sacred manifests itself again in the same
symbolism of the pearl is quite ancient. Pearls appear in pre-
way, extraordinary power overwhelms the profane succession
historic graves and have a long history of use in magic and
of time. New Year ceremonies are among the most striking
medicine. Careful inspection of myths of pearls in many cul-
examples of the periodic recreation of the world in a state as
tures reveals that water imbues pearls with its germinative
fresh, powerful, and promising as it was in the beginning.
force. Pearls were included in ritual offerings to river gods.
Any fragment of time (e.g., the phases of the moon, the tran-
Some pearls have magical power because they were born of
sitions of the human life cycle, the solstices, the rainy seasons,
the moon. The pearl is like a fetus, and for this reason
the breeding cycles of animals, the growth cycles of plants)
women wear pearls to come in contact with the fertile powers
may at any moment become hierophanic. If it witnesses the
of hidden creative processes within shells, in amniotic waters,
occurrence of a kratophany or theophany, the moment itself
and in the moon. Pearls have also been used in the cure of
becomes transfigured or consecrated. It will be remembered
illnesses associated with the moon. Placed in tombs, pearls
and repeated. The rhythms of nature are evaluated for their
renewed the life of the dead by putting them in contact with
power as hierophanies; that is, for signs of the power to
the powerful regenerative rhythms of the moon, water, and
renew and recommence cosmic life. Furthermore, hiero-
femininity. Covered in pearls, the dead are plunged once
phanic moments of time are not limited to cosmic rhythms
more into the cycle of birth, life, death, and rebirth—the ca-
of nature or biology. In the Judeo-Christian tradition, for ex-
reer of living forms intimately bound to the moon. In sum,
ample, human history is transfigured into a theophany. The
the pearl becomes a hierophany when humans become aware
manifestation of God in time guarantees the religious value
of the cosmological pattern of water, moon, women, and
of Christian images and symbols such as the cross, the holy
change.
mountain of Calvary, and the cosmic tree.
This kind of sacred symbolism has its origins in theory;
I
specifically, a theory of symbols. What gives the sacred object
MPLICATIONS FOR THE STUDY OF SYMBOLIC LIFE. The
transfiguration of so many objects into symbols of something
in question (e.g., a pearl) its rich and full religious meaning
else, some sacred reality, has repercussions for understanding
is the framework of symbolism surrounding it. This is trig-
the nature of symbols. The study of hierophanies penetrates
gered by an awareness of the wider symbolic universe. This
the meaning of the symbolic life and uncovers the function
conclusion has importance for understanding the role of
of symbolism in general. Humans have an innate sense of the
human reflection in the origin of certain hierophanies. An
symbolic, and all their activities imply symbolism. In partic-
object becomes sacred, becomes the locus of a hierophany,
ular, religious acts have a symbolic character. From the in-
when humankind becomes aware of the cosmological pattern
stant it becomes religious, every act or object is imbued with
of principles (e.g., water, moon, change, the cycle of death
a significance that is symbolic, referring to supernatural val-
and birth) centered in it. The theoretical links make possible
ues and realities.
the experience of the full range of sacrality. The form draws
its full meaning from the symbolism that surrounds it and
Symbols relate to the sacred in several ways. Sometimes
of which it is a part. In fact, symbols extend the range of
symbolic forms become sacred because they embody directly
hierophanies. Objects not directly the locus of a hierophany
the spirit or power of transcendent beings (e.g., stones that
may become sacred because of their envelopment in a web
are the souls of the dead, or represent a god). In these cases
or pattern of symbolism.
the hierophany is effected by a symbolism directly associated
with the actual form (i.e., a form apprehended by religious
Two related statements should now be made separately.
experience, rather than empirical or rational experience) of
The first consideration is that hierophanies can become sym-
stone, water, plant, or sky.
bols. In this respect, symbols are important because they can
sustain or even substitute for hierophanies. However, sym-
At other times the meaning of a religious form may de-
bols play an even more startling and creative role in religious
rive from symbolism that is less clear. Religious objects be-
life: They carry on the process of hierophanization. In fact,
come hierophanies in a less direct way, through the medium
the symbol itself is sometimes a hierophany; that is, it reveals
of symbolic existence itself. They acquire a religious quality
a sacred reality that no other manifestation can uncover. A
because of the symbolism that imbues them with religious
hierophany in its own right, symbolism affords an unbroken
meaning. That is, they become sacred because of their loca-
solidarity between humankind (homo symbolicus) and the sa-
tion within a symbolic system. Their sacrality depends upon
cred. Extending the dialectic of hierophanies, symbolism
a consciousness able to make theoretical connections be-
transforms objects into something other than what they ap-
tween symbolic expressions. In such cases, the hierophany is
pear to be in the natural sphere. Through symbolism 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
3974
HIEROS GAMOS
worldly item may become a sign of transcendent reality and
Mohen, Jean-Pierre. The World of Megaliths. New York, 1990.
an embodiment of the sacredness of an entire symbolic sys-
MIRCEA ELIADE (1987)
tem. Indeed, one may say that symbolism itself reflects the
LAWRENCE E. SULLIVAN (1987)
human need to extend infinitely the process of hierophaniza-
Revised Bibliography
tion. Looking upon the remarkable number of forms that
have manifested the sacred throughout the broad history of
religions, one concludes that symbolic life tends to identify
the universe as a whole with hierophany and thereby opens
HIEROS GAMOS, Greek for “sacred marriage,” “sa-
human existence to a significant world.
cred wedding feast,” or “sacred sexual intercourse,” is the
technical term of a mythical or ritual union between a god
SEE ALSO Pearl; Revelation; Sacred and the Profane, The;
and a goddess, more generally a divine and a human being,
Symbol and Symbolism.
and most especially a king and a goddess. The term has had
its widest use in the study of kingship in the city cultures of
BIBLIOGRAPHY
Mircea Eliade is most responsible for the use of the term hiero-
the ancient Near East. The fundamental symbolism however
phany and for its interpretation as manifestation of the sacred
is that of the union of man and woman, a set of opposites
in religious studies. See Eliade’s Patterns in Comparative Reli-
as general and as readily available as the opposites east and
gion (New York, 1958) for an analysis of the variety of coher-
west, north and south, sky and earth. The latter, sky and
ent symbolic forms of hierophanies and for an argument
earth, are often presented as endowed with sexual character-
concerning the dialectic of the sacred underlying them (espe-
istics and are therefore inseparable from this subject.
cially in the final chapter). His The Sacred and the Profane:
The Nature of Religion (New York, 1959) discusses the im-
It is useful to state in this introductory orientation that
pact of a hierophany on the structures of space and time.
a lingering Victorian prudishness in twentieth-century schol-
Adrian Marino’s L’herméneutique de Mircea Eliade (Paris,
arship, embarrassed and at the same time fascinated by sexual
1980) delineates how this understanding of hierophany fits
symbolism, has occasionally singled out hieros gamos configu-
into a general science of culture. Alejandra Siffredi’s “Hiero-
rations for undue attention. It has done so with euphemisms,
fanias y concepciones mítico-religiosas de los Teheulches me-
adumbrations, and unwarranted explanations, oblivious to
ridionales,” Runa (Buenos Aires) 12 (1969–1970): 247–271,
the fact that in most civilizations other than those of nine-
exemplifies the application of the concept of hierophany to
teenth- and twentieth-century Europe and America, sexual
the ethnography of individual cultures. Michel Meslin’s “Le
merveilleux comme théophanie et expression humaine du
references are not matters for this sort of secretiveness. (Typi-
sacré,” in Le sacré: Études et recherches, 2d ed., edited by Enri-
cally, in learned translations textual passages with descrip-
co Castelli (Paris, 1974), pp. 169–177, makes a widely com-
tions of pudenda, intercourse, harlots, courtesans, and so on,
parative application of the term theophany. Bruce Lincoln’s
were translated into Latin until at least the middle of the
“Revolutionary Exhumations of Spain, July 1936,” Compar-
twentieth century.) It is essential nevertheless to understand
ative Studies in Society and History 27 (April 1985): 241–260,
sacred marriage symbolism in advanced cultures in the first
shows how the logic of the dialectic of the sacred embodied
place as a variation on much older, very general symbolic ex-
in this theory of hierophany can be extended even to include
pressions. The rather mechanistic and blanket explanation of
what Lincoln terms “profanophany.” The use of the term
sacred marriage rites as a stimulus or magic for bringing
hierophany, and the concomitant theory of the sacred, has
about fertility in people, animals, and fields, in the wake of
provoked spirited debate in religious studies. Reactions, both
scholarship by Wilhelm Mannhardt (1831–1880) and James
receptive and critical, can be found by consulting the works
cited in Douglas Allen and Dennis Doeing’s Mircea Eliade:
G. Frazer (1854–1941), cannot do full justice to the poetry,
An Annotated Bibliography (New York, 1980).
profundity, dramatic quality, and complexity of the docu-
ments.
New Sources
Anderson, William. The Green Man. New York, 1990.
ANCIENT ROOTS. The French prehistorian André Leroi-
Concepts of Space, Ancient and Modern. Kapila Vatsyayan, editor.
Gourhan (b. 1911) was led to the conclusion that certain
New Delhi, 1991.
signs and figures in the art of Paleolithic hunter cultures that
Corduan, Winfried. A Tapestry of Faiths: The Common Threads
stretched from Spain and France into Siberia form a coherent
Between Christianity & World Religions. Downers Grove, Ill.,
whole in their expressions, in both signs and representations.
2002.
Among these expressions is the polarity of female and male
Embodiment and Experience. Thomas J. Csordas, editor. New
symbols, for instance, the bison (female) and the horse
York, 1994.
(male). The American prehistorian Marija Gimbutas has col-
Gold, Daniel. Aesthetics and Analysis in Writing on Religion: Mod-
lected a large number of art objects discovered in eastern Eu-
ern Fascinations. Berkeley, 2003.
rope, dated from c. 7000 to 3500 BCE, hence before the rise
Meslin, Michel. Exp˙erience humaine du divin: fondements d’une
of the earliest civilizations in the Near East, and in that large
anthropologie religieuse (Human experience of the divine:
collection the vast majority of objects is conspicuously relat-
foundations of a religious anthropology). Paris, 1988.
ed to female forms, conjunctions of male and female, and
Mirror of the Intellect: Essays on Traditional Science and Sacred Art.
parturition. Details of interpretation are difficult to assess,
William Stoddart, editor and translator. Albany, 1987.
but researchers are aided by the wide distribution of identical
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HIEROS GAMOS
3975
or comparable symbolizations in later cultures, of which the
the physical expression of vegetational power. The goddess’s
meaning is clearer; they allow one to see general patterns.
power is not necessarily linked with a male partner, and even
These very ancient signs and images presuppose articulate
when she is so linked (as is Devi, the great goddess of Hindu-
languages and mythologies. Moreover, with respect to
ism, with S´iva), her uniqueness, or her transcendental char-
the subject under discussion, it may be safely inferred that
acter, is not diminished. She is the one inexhaustible source
“sexual” and “marital” topics were focal points in religious
of all that is. Agricultural production has obviously made its
expression.
marks on religious expression, yet it would be unwarranted
speculation to see even in her a figure completely different
Mention must also be made of the fact that next to a
from the prehistoric female forms of thousands of years earli-
sexual union between heaven and earth, of the type of Ou-
er, such as the so-called Venus of Willendorf or the Venus
ranos and Gaia in Hesiod’s Theogony and Dyaus and Prthivi
of Lespugue, or to deny all continuity with the past.
in the Vedic texts, there exists documentation of supreme be-
ings that are often called “bisexual.” Such a being is both one
The goddess’s power is expressed in her ability to gener-
and two, male and female at the same time. Being two in
ate all by herself; her characteristic function is that of genera-
one, divinities of this type are more properly called “androgy-
trix (Przyluski, 1950), and the participation of a male is sec-
nous” than “bisexual.” The ancient Mexican supreme being
ondary or irrelevant. Comparison to “ordinary” motherhood
is Ometecuhtli-Omecihuatl (“father-mother”). The figure of
is misleading. One is dealing with a religious symbol, and her
Apna-Apha (“our-mother-our-father”) occurs in a place on
giving birth by herself points to what in abstract language
Kisar, an island in the Moluccas. The Konyak Nagas of
would be her essential transcendent reality. Typically, a
Assam know a supreme being Ga-Wang (“earth-sky”). It is
Vedic text (R:gveda 10.125) refers to the goddess Va¯c
noteworthy that in several of these cases the female or earth
(Speech) as the queen of the land and bringer of treasures,
element is mentioned first and seems to be the more impor-
but also as the first to partake of the sacrifice (i.e., before the
tant aspect, and also that in a number of myths earth and
other deities) and as the one who really moves when any of
sky are said to have been one in the beginning, and the act
the principal gods move. In other words, she is the ultimate
of creation consisted in separating the two.
ruler even over the divine world.
All these imageries from prehistory and from a variety
How can such absolute transcendence be grasped? Here
of tribal cultures are essential for an understanding of the hi-
the “classical” marital symbolism of the Neolithic and agri-
eros gamos symbolism as a particularly fertile imagery in sev-
cultural world, with its own prehistoric roots, makes its force
eral cultures, each with its own historical impulses and devel-
felt. The farmer’s work is the outer circle of a series of con-
opments that, like the earlier symbolisms, have their focus
centric circles. In the symbolic expressions sexual and marital
in the fullness of existence. What sets the later hieros gamos
imagery form the center.
apart from its earlier forms is a more highly developed dra-
The economic change brought about by agriculture is
matic expression and a tangible association with (political
the one aspect most immediately visible to a modern specta-
and economic) power.
tor. No doubt it is significant that for the first time staple
AGRICULTURE AND SEXUAL SYMBOLISM. The invention of
food could be stored. (One understands at once that, from
agriculture, the novelty of a community’s life henceforward
an economic standpoint, this is the birth of a true notion of
depending on grain or rice, represents a tremendous change.
capital, for without some degree of permanence, “capital” re-
Scholars have become reluctant to exaggerate the significance
mains a hazy concept.) The ability to store grain creates the
of this change because of the recent work on prehistory; they
conditions necessary for larger communities. These facts are
are now inclined to see more than mere “hunting magic” in
all of significance for the historian, yet they are abstract infer-
prehistoric art forms and to detect in them much more artic-
ences from situations of which archaelogical finds, ancient
ulateness and subtlety. Hence the sudden emergence of agri-
art objects, icons, temples, and myths speak directly and con-
culture may appear less as a break with the past and more
cretely. For example, in the culture of ancient Greece, grain
as a radical transformation. Tilling the soil is an act per-
was stored in vessels that were half buried in the earth, and
formed on the (female) earth. Archaic digging sticks are com-
such vessels were the place where divinities of the earth
monly depicted as phalli. Quite literally, the work of the far-
(chthonic deities) appeared.
mer is a sexual ritual. The process of generation, though
The acts of a great goddess, the divine character of the
certainly not unknown before, now becomes a process in
earth, the significance of women, the ritual nature of work
which all forms of existence and the preserving and safe-
on the land and its bond with sexual involvement all amount
guarding of life itself are at stake. The seasons take on a new
to a new, total experience of the everyday world and its ulti-
significance, and the great goddess is the one who rules over
mate foundation. How novel this entire symbolism was can
the calendar, that is, over time, as well as over the material
be seen from the frequency and the ferocity with which out-
world.
siders have tried to destroy it. The expansion of Indo-
In the protohistorical civilization of the Indus valley
European tribes (c. 3000 to 1500 BCE) religiously pastoral
such a goddess played a role, and the artifacts make clear that
rather than agricultural in orientation, set civilization back
she and others elsewhere were associated or identified with
considerably (Gimbutas, 1982). Various nomadic raids in
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3976
HIEROS GAMOS
Northwest India and also much later conquests by Muslim
sented sometimes by the king’s consort, more often by a
invaders, who, like the Indo-Europeans, were basically pasto-
hierodoul¯e, a female servant of the sanctuary, a “priestess.” (It
ral in their religious orientation, made havoc of temples; the
may be misleadingly derogatory to translate the Sumerian or
invaders were particularly provoked by sensual imagery
Akkadian terms as “sacred prostitute.”) Many bloody sacri-
(which for Muslims included the unveiled faces of goddesses
fices were offered, functioning, as has been suggested, as
and nymphs sculptured in sanctuaries).
wedding gifts, but certainly losing none of their proper sacri-
ficial value, involving humankind in activities brimming
In its turn, agricultural life itself became established and
with the risks of encountering the divine world and ventur-
traditional; sexual rituals persisted. These latter have rightly
ing its existence in the time to come on this encounter. The
drawn the attention of well-known scholars (such as Mann-
entire wedding in the ritual is a replica, a visible counterpart,
hardt, Frazer, J. J. Meyer, and many others) not only to rites
of the celestial union. Not only was the hierodoul¯e the per-
in ancient societies but also in continuing folk customs. The
sonification of a goddess, but also the king might be said to
power of naked women to increase the harvest is attested by
represent a god, if only some qualifications are made.
a number of cultic ceremonies. Images of prehistoric, proto-
historic, and traditional goddesses show the ancient signifi-
An early prototype of the ritual is the Sumerian story
cance of nudity, as do those of fully dressed goddesses alter-
of the goddess Inanna and her relation to Dumuzi. The latter
nating with trees with dense foliage (Przyluski, 1950).
is depicted as a shepherd boy with whom the supreme, all-
Prosperity and abundance are symbolically integrated in the
powerful goddess fell in love. In the drama the goddess de-
dynamic of ritual life. Mannhardt and Frazer have recorded
scends into the netherworld for reasons that are not altogeth-
many instances where the sex act itself was believed to be an
er clear but are certainly related to her ambition to perfect
effective magic. The explanation of “magic” makes sense if
her rule by extending it even over the realm of the dead. She
only one bears in mind that it owes its existence to a coherent
is defeated in her attempt, and her “elder sister,” Ereshkigal
vision of this world and its divine complement.
(the queen of the great below) makes no exception in her
case; she fixes “the look of death” on Inanna. Inanna cannot
Perhaps many older, prehistoric images of goddesses or
escape unless a substitute is found. She vows to find one. In
perhaps many prehistoric artistic designs interweaving male
her absence, Dumuzi, her love, spends his time with all the
and female characteristics anticipated comparable ideas and
paraphernalia of wealth and power, occupying the throne.
hopes. Whatever the likelihood of this suggestion, there is
Although Inanna had no intention of consigning him to the
no doubt that full-fledged agricultural societies, even at a
netherworld in her place, she now fixes “the look of death”
very early date, were in a special position to focus on certain
on him and orders the demons to take him away and torture
aspects of the symbolism.
him. The story ends in a compromise, whereby Dumuzi will
EARLY CITY-STATES AND HIERODOULOI. The hieros gamos
be on earth for half the year, and the other half in the realm
as a royal ritual is the creation of early city-states built on the
of death.
wealth provided by agriculture. Far from putting an end to
the “primitive” village cults, they expanded and stylized them
It is this type of mythological configuration that served
with forms that were derived from, and were variations of,
as a model for the Sumero-Akkadian kings, and it is this type
earlier symbolism. One of these is the sexual union of the
of mythology with its many themes, subthemes, and varia-
king and a “priestess” as an episode in the lengthy ancient
tions that formed the pattern of kingship and religion in the
Babylonian Akitu (New Year) festival. The model for this rite
entire world of the ancient Near East. Ezekiel 8:14 is one of
is already given in Sumerian myths and temple customs. It
the texts in the tradition of Israel strongly opposed to most
is true that existing knowledge of religious practices among
of the religious customs connected with the hieros gamos; it
the common people of the ancient Mesopotamian world is
tells of women who (ritually) bewailed the fate of Tammuz
inadequate, but it is known that in this world the main ritual
(Dumuzi) at the gates of the temple. A considerable number
procedures for the entire populace were carried out through
of details make it not at all unlikely that also the gospel story
the mediation of rulers and religious specialists of various
of Jesus Christ owes some of its features to the myth of the
kinds. Around 2100 BCE King Gudea had a temple built for
dying shepherd-god (Kramer, 1969). Dumuzi (Tammuz) is
the god Ningirsu, who had appeared to him in a dream.
not really presented as a god, and originally he was no god
Among the rites performed in the new temple was the sacred
but rather a (human) king whose marriage to the great god-
wedding ceremony of the god and his consort Baba, lasting
dess (Inanna-Ishtar) was required to confer a sacred certain-
seven days. Apparently such a marriage was an expected part
ty, a future, and wealth on his land.
in the liturgy for each one of the important deities already
It is clear that kingship demanded a sacred foundation
present in Sumerian culture, as it was later in Babylonian
that could be provided only through the omnipotence of the
cults, and still later throughout Assyrian and also West Se-
great goddess. However, the complexity of the story of Inan-
mitic cults.
na and Dumuzi, even in summary, allows one to see more
The hieros gamos rite, attached to the New Year festival
than a utilitarian purpose, or a mere generalization on an ide-
and celebrated in various cultic centers, symbolized the
ology of kingship. The sacred marriage, far from being a
union of the king of the city and the city’s goddess, repre-
mere cerebrally thoughtout, politically effective ceremony, is
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HIEROS GAMOS
3977
a manner of coming to terms with the extreme agonies of
flows grace, and who in her loving relation provides the per-
human existence: defeat vis-à-vis death, the ultimate frustra-
fect bridge. In the devotional experience of Vais:n:avism (the
tion of any attempt to amass power or wealth, in spite of the
religion of the distinctly royal, masculine, yet compassionate
necessity to do so. Both the certainty of death and the uncer-
god Vis:n:u), the devotee calls instinctively on Laks:m¯ı (S´r¯ı),
tainty of power and wealth are not only facts of life; they are
Vis:n:u’s consort, who is depicted in Hindu literature as acces-
experiences in the ultimate drama, to be relived each year.
sible, even more accessible than Vis:n:u himself. Through
The king’s place, and through his mediation, humankind’s
many waves of cultural history and religious change the very
place in the relationship to the goddess and her partner,
early experience of the great goddess’s love is still tangible.
allow for an initiation into the mystery of existence. Obvi-
Perhaps most noteworthy, in Maha¯ya¯na Buddhism,
ously, this is much more than a clarification concerning a
most especially in Tibet, the goddess Ta¯ra¯ has preserved her
destiny after death or an explanation or stimulus for the sow-
popularity, in spite of the traditional prominence of the male
ing and reaping of grain, or a comment on the life and death
element in Buddhism, in which according to an almost gen-
cycle of cereals.
eral consensus only a final birth as a man can open the way
In Babylonian religion, the rule of the supreme god
to nirva¯n:a. Ta¯ra¯ however is ranked on the same level as the
Marduk, just like that of his divine partner Ishtar (the Akka-
bodhisattvas, those who are prepared to enter nirva¯n:a but
dian name of Inanna), is not limited to one area. Although
decide not to do so and decide instead to assist the as yet
the goddess’s myth shows her as not altogether successful in
unsaved world. Again, through the female, bliss is most ac-
her journey to the netherworld, she does return and her rule
cessible.
is emphatically presented as universal. In contrast, in the ear-
liest myths, Dumuzi remains associated with pastoral life,
SEE ALSO Agriculture; Akitu; Androgynes; Goddess Wor-
and the impression is given that rule on earth has its limits;
ship; Hierodouleia; Kingship, article on Kingship in the An-
this same impression is also given in later times. Such rule,
cient Mediterranean World; Marriage; New Year Festivals;
however, must have its basis in the hieros gamos.
Sexuality.
That the certainty of rule over the land and its well-
BIBLIOGRAPHY
being is of the utmost concern is borne out by the king’s de-
For a large collection of pictures that may lead to a reasonable as-
termination of destiny. Just as the god Marduk’s rule was es-
sessment of pre-agricultural religion and of pre-agricultural
tablished when he received the “tablets of fate” (in the
goddesses and symbolisms of male and female, see Marija
Enuma elish, the most famous creation myth), the king
Gimbutas’s The Goddesses and Gods of Old Europe, 6500–
shows himself as king in fixing the rules and regulations that
3500 B. C.: Myths and Cult Images (Berkeley, Calif., 1982).
keep the universe functioning properly. The ritual by which
Information on the spread and the forms of the prehistoric
he does so is complex, but it is related to the Akitu festival,
female statuettes can also be found in La préhistoire by André
and the sacred marriage itself is to be regarded as a “third
Leroi-Gourhan and others (Paris, 1965). For discussion of
form for the determination of destiny” (Pallis, 1926). Clear-
problems and theories on interpretation, see Leroi-
Gourhan’s Les religions de la préhistoire (paléolithique) (Paris,
ly, the union with the goddess is of paramount importance
1964) and Le geste et la parole, vol. 1, Techniques et langage
for rule on earth.
(Paris, 1964), and vol. 2, La mémoire et les rythmes (Paris,
THE POWER AND LOVE OF THE GODDESS. It has been seen
1965).
that the one most striking theme in the mythology and ritu-
The major study on the Sumerian hieros gamos myths and rituals
als of the sacred marriage is the power of the goddess. It is
is Samuel Noah Kramer’s The Sacred Marriage Rite (Bloom-
associated with war and destructive anger but also with irre-
ington, Ind., 1969); to the French translation, Le mariage
sistible life and with love. This mythology is the root of
sacré (Paris, 1983), Jean Bottéro added a valuable appendix,
much love poetry, even in traditions that, with Israel, reject-
“Le hiérogamie après l’époque ‘sumérienne.’ ” For an excel-
ed its symbols and rituals. The words of the Song of Songs
lent general account of Babylonian religion, and the signifi-
8:6, “love is strong as death,” derive their force and meaning
cance of myth and ritual in it, see Jean Nougayrol’s “La reli-
from the same revolutionary reorientation in the history of
gion babylonienne,” in Histoire des religions, edited by Henri-
Charles Puech, vol. 1 (Paris, 1970), pp. 203–249. S. A.
humankind that created the hieros gamos symbolism.
Pallis’s The Babylonian Akïtu Festival (Copenhagen, 1926) is
Although the Mesopotamian imagery of the sacred mar-
the classic study of the New Year ceremonies of which the
riage is the earliest on record, comparable symbolisms have
hieros gamos forms a part. Thorkild Jacobsen’s essay on Tam-
arisen in other religions (e.g., Mexico and India)—always in
muz (Dumuzi) in his Toward the Image of Tammuz and
an agricultural context and in a tropical or temperate region
Other Essays on Mesopotamian History and Culture, edited by
William L. Moran (Cambridge, 1970), is an effort to show
more or less close to the equator. Contrary to ideas that dom-
the religious experience concerning Tammuz in a human en-
inated scholarship for a long time, supreme goddesses are not
vironment, thus making it understandable to moderns. Of
primarily mothers but lovers. When supreme male deities
interest for the continuation of ritual drama into art forms
come to the fore, such as Marduk in Babylon or Vis:n:u and
and entertainment is Theodor H. Gaster’s Thespis: Ritual,
S´iva in Hinduism, the devotee turns generally not to the
Myth, and Drama in the Ancient Near East, 2d ed. (Garden
male but to the female partner of the couple, from whom
City, N.Y., 1961). A collection of essays edited by S. H.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3978
HIGH GODS
Hooke, Myth and Ritual (Oxford, 1933), is only indirectly
Thomas, Gary L. Sacred Marriage. Grand Rapids, Mich., 2002.
of importance for the hieros gamos, but it does call attention
KEES W. BOLLE (1987)
to the New Year festival and other general patterns over the
Revised Bibliography
entire area of the ancient Near East.
Helpful in order to see reflections of Mesopotamian ritual in Israel
is Raphael Patai’s Man and Temple in Ancient Jewish Myth
and Ritual, 2d ed. (New York, 1967). Walter Burkert’s Struc-
HIGH GODS SEE SUPREME BEINGS
ture and History in Greek Mythology and Ritual (Berkeley,
Calif., 1979) discusses, among other things, the relationship
between ancient Near Eastern and Greek images and mythi-
cal themes. Jean Przyluski’s La grande déesse: Introduction à
HIJIRI are Japanese lay ascetics and influential antagonists
l’étude comparative des religions (Paris, 1950), although criti-
of priests and monks. The role of the hijiri in Japanese folk
cized especially on linguistic grounds, is an indispensable
religion is far more important than that of the ministers of
study on the symbolism of great goddesses from the Aegean
to Southeast Asia.
the official religions (priests and monks in Shinto¯ and Bud-
dhism, respectively). The hijiri is in many ways the spokes-
On South Asia, J. J. Meyer’s Sexual Life in Ancient India, 2 vols.
(London, 1930), and Trilogie altindischer Mächte und Feste
man of the common man. Hijiri are the forerunners of the
der Vegetation, 3 vols. in 1 (Zurich, 1937), contain a wealth
lay leaders of modern Japanese sects, who are considered to
of material on literary and folkloristic customs pertaining to
embody the spirit of that traditional role. The concept of hi-
the function of women, goddesses, and marriage. For a de-
jiri dates back to the earliest known period of Japanese histo-
scription of a classical Hindu sacred wedding, see C. J. Ful-
ry, when the hijiri (lit., “he who knows the sun”) determined
ler’s “The Divine Couple’s Relationship in a South Indian
and appointed the years, months, and days, and must have
Temple: M¯ına¯ks¯ı and Sundare´svara at Madurai,” History of
been connected with an unofficial and spontaneous cult of
Religions 19 (May 1980): 321–348, and for the symbolism
the sun goddess Amaterasu. The hijiri gradually came to be
of Ta¯ra¯, see Stephan Beyer’s The Cult of Tara: Magic and Rit-
considered a sage, the one who, like the sun, let the light of
ual in Tibet (Berkeley, Calif., 1973).
his knowledge shine on others. He must have been a charis-
Mircea Eliade’s Patterns in Comparative Religion (New York,
matic leader, endowed, like a shaman, with supernatural
1958) and A History of Religious Ideas, vol. 1, From the Stone
powers and natural skills.
Age to the Eleusinian Mysteries (Chicago, 1978), with exten-
sive bibliographies, respectively present the large context of
The transmission of Daoism and Confucianism to
religious phenomena necessary for an understanding of “The
Japan expanded the meaning of hijiri to include the Chinese
Earth, Woman, and Fertility” (chapter 7 of the former) and
ideas of the xian, the mountain ascetic and hermit, the
the function of the great goddess and the hieros gamos in hu-
shengxian, the virtuous hermit, and the shengren, the holy one
mankind’s historical religious development. Raffaele Pettaz-
or “ultimate man.” As the one who is believed to reconcile
zoni’s The All-Knowing God (London, 1956) provides many
in himself the opposites of mu and wu, of nonbeing and
data and relevant bibliographic references on supreme be-
ings, including valuable information on androgynic and fe-
being, life and death, male and female, the hijiri was consid-
male deities. Geo Widengren’s Religionsphänomenologie (Ber-
ered to live in happiness in the hereafter.
lin, 1969) has helpful references to works on hieros gamos.
The introduction of Buddhism into Japan in 538 added
Finally, Walter M. Spink’s The Axis of Eros (New York, 1973) is
still other meanings to the notion of hijiri. In Buddhism a
an interesting attempt to envisage all of the world’s art—with
hijiri became in the eyes of the laity the sacred and highly
many striking reproductions of erotic expressions from early,
respected antagonist of its official ministers, the monks in
obviously “religious” works to modern, supposedly “secular”
their hierarchical ranks. He was believed to be the ideal uba-
forms—in one coherent view.
soku (Skt., upa¯saka, “layman”). In the Nihonshoki, one of the
New Sources
oldest Japanese chronicles, two prominent Buddhist lay lead-
Austin, Hallie Iglehart. The Heart of the Goddess: Art, Myth and
ers, the Korean king Song (sixth century) and the Japanese
Meditations of the World’s Sacred Feminine. Berkeley, 1990.
prince regent Sho¯toku Taishi (574–622), are depicted as hi-
Blundell, Sue, and Margaret Williamson. The Sacred and the Fem-
jiri. After Sho¯toku Taishi’s death the monk Eji cried, “He
inine in Ancient Greece. London and New York, 1998.
was verily a great hijiri” (Kamstra, 1967, p. 424). As hijiri,
Evans, Arthur. The God of Ecstasy (Sex Roles and the Madness of
these leaders combined the old Japanese idea of the wise man
Dionysos). New York, 1988.
and the Chinese ideas of the virtuous, ascetic, and ultimate
Harman, William. The Sacred Marriage of a Hindu Goddess.
man with that of the holy upa¯saka.
Bloomington, Ind., 1989.
Ifie, Egbe. Marriage with Gods and Goddesses in Classical and Afri-
A few decades later, people who showed special skill also
can Myths. Ibadan, 1993.
came to be called hijiri. One finds go no hijiri, experts in go;
Lefkowitz, Mary R., and Maureen B. Fant. Women’s Life in Greece
waka no hijiri, experts in waka (Japanese poems); and sake
and Rome. Baltimore, 1993.
no hijiri, experts in producing sake (rice wine). From the
Pollard, John. Seers, Shrines and Sirens. London, 1965.
eighth century on, the hijiri gradually became protectors of
Pomeroy, Susan B. Goddesses, Whores, Wives, and Slaves; Women
the common people against the goryo¯shin, the angry spirits
in Classical Antiquity. New York, 1975.
of those who did not die like decent people. In doing so, 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
HILDEGARD OF BINGEN
3979
followed patterns of life different from those of monks and
In her theological writings Hildegard felt able to explore
priests: they did not settle down, but wandered in the moun-
distinctively feminine aspects of the revelation, which is ap-
tains and from village to village and city to city. They fol-
parent in her imaginative and repeated use of feminine imag-
lowed one of three kinds of religious and magical practices:
ery to express the dynamic and creative qualities of God, who
nembutsu (invocation of the name of the Buddha Amida),
is often depicted as a nurturing mother or as Wisdom. Hilde-
Shugendo¯ (mountain asceticism based on Tantrism and
gard had an ability to bring her experience as a woman to
Shinto¯ shamanism), and yin-yang magic. The most promi-
bear on some of the major moral and doctrinal themes of the
nent of these three groups were without any doubt the nem-
day, and she was happy to reinterpret Christian Scripture
butsu-hijiri. They served not only to protect against the
from a female perspective without any hint that she might
threat of angry spirits but also performed memorial rites to
be departing from orthodox readings. The fact that Hilde-
the spirits of the dead consisting of the recitation of the most
gard had the freedom to develop in this way is a reminder
powerful su¯tras. Sometimes they chanted these texts while
of the extent to which she belongs to the twelfth century—
dancing the nembutsu dance. Hijiri who gave up their wan-
before the period of the increased centralization and clerical-
dering life and settled down lost claim to the title. Some fell
ization of the church and the rise of the universities that char-
to the lowest classes and became producers of bamboo wares,
acterized the century that followed.
stage actors, or puppet performers. From the fourteenth cen-
H
tury onward, the name hijiri was also applied to laymen who
ILDEGARD’S LIFE. Little of Hildegard’s background is
known, but her biographer records that from her earliest
performed special tasks in Buddhist temples or monasteries.
years she possessed an unusual visionary gift of being able to
Some of these lay hijiri (zoku hijiri) served as bell ringers, gar-
foretell the color of a calf in its mother’s womb. This may
deners, Buddha hall keepers, pagoda keepers, and grave
have prompted Hildegard’s parents to offer their tenth child
keepers.
to the nearby Benedictine monastery of Disibodenberg as an
SEE ALSO Nianfo; Onmyodo; Shugendo¯.
oblate. The eight-year-old Hildegard was placed in the care
of a noblewoman, Jutta von Spanheim, and together with
BIBLIOGRAPHY
their servants, Jutta and Hildegard formed the nucleus of the
Two works by Hori Ichiro are recommended: “On the Concept
women’s community at Disibodenberg.
of Hijiri (Holy Man),” Numen 5 (April 1958): 128–160,
(September 1958): 199–232; and Folk Religion in Japan, ed-
Hildegard’s visions continued throughout her adoles-
ited and translated by Joseph M. Kitagawa and Alan Miller
cence, but it was not until several years after Jutta’s death in
(Chicago, 1968). Although historical data on the early histo-
1136, when Hildegard was the magista (leader) of the
ry of Japan, on the introduction of Buddhism, and on the
women’s community, that she received what she took to be
role of Sho¯toku Taishi are inaccurate in Hori’s works, they
a divine command to disclose the content of her visions. She
are the best available publications on the hijiri not only in
confided in the provost of the community, a monk named
English, but also in Japanese. Many authors on this subject,
for example Nakamura Hajime, rely on Hori’s writings. See
Volmar, who had responsibility for the nuns’ spiritual wel-
also the discussion of hijiri in my book Encounter or Syncre-
fare. Volmar was to play an important role in Hildegard’s
tism (Leiden, 1967).
life, encouraging and supporting her, often in the face of
sceptical opposition, and acting as her amanuensis. The sense
J. H. KAMSTRA (1987)
that she was guided by God through her visions was a pivotal
feature of Hildegard’s spiritual life. When she resisted the di-
HILDEBRAND
vine command, she became sick and was forced to take up
SEE GREGORY VII
her pen, recording not only her visions but letters of instruc-
tion, admonishment, and encouragement both to ordinary
people and to the secular and religious leaders of her day.
HILDEGARD OF BINGEN. Few medieval figures
enjoy as much popularity in the contemporary Western
By 1150 Hildegard’s community of nuns had outgrown
world as the German Benedictine abbess Hildegard of Bing-
their cramped quarters on Mount Disibodenberg, and they
en (1098–1179). Her influence reflects the combination of
moved to Rupertsberg in the Rhine Valley opposite the town
authentic discovery and creative misreading that so often
of Bingen. Here, free of the overweening authority of the
characterizes modern appropriations of religious figures from
abbot, Kuno, Hildegard flourished and produced many of
history. She appears in some ways to be very much a twelfth-
the splendid liturgical works that illustrate her vision of the
century phenomenon in her rationalistic optimism, her per-
female monastic vocation, with gorgeously dressed virgins
sistent interest in questions of cosmology, and her openness
occupying the place of honor while singing and giving glory
to the use of art in the service of theological truths as well
to God. At the age of sixty, following an illness that preceded
as her exaltation of virginity and assertion that women are
most of Hildegard’s major decisions and after nearly fifty
the weaker sex. Hildegard was a visionary, a theologian, a
years enclosed in a convent, Hildegard embarked on the first
musician, and a correspondent of popes and princes. She
of four preaching tours. In 1165 Hildegard established a sec-
founded two religious houses for women and undertook a
ond community of Benedictine nuns on the opposite bank
number of preaching tours.
of the Rhine at Eibingen, and the successors of this commu-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3980
HILDESHEIMER, ESRIEL
nity continue to publish Hildegard’s works, sing her an-
Spirituality series (New York, 1990), provides an English
thems, and live according to her inspiration. Hildegard’s
translation of Scivias. For an abridged English translation of
feast day is celebrated on September 17, the anniversary of
Liber divinorum operum that also includes some of Hilde-
her death.
gard’s letters and songs, see Matthew Fox, ed., Hildegard of
Bingen’s Book of Divine Works (Santa Fe, N. Mex., 1987). P.
HILDEGARD’S CONTRIBUTIONS. Hildegard’s personality ap-
Dronke’s Poetic Individuality in the Middle Ages (Oxford,
pears at once complex, appealing, and exasperating. She was
1970) includes a critical edition of Hildegard’s “opera,” the
imperious toward kings and popes but not free of self-doubt,
Ordo virtutum [Play of virtues]. B. Newman’s Saint Hilde-
often taking to her bed for long periods when thwarted or
gard of Bingen Symphonia (Ithaca, N.Y., 1987) is a critical
uncertain which way to move. She was deeply touched by
English edition of another of Hildegard’s major musical
God but not free of social snobbery (the communities she
works. For anthologies of Hildegard’s work, see Fiona Bowie
founded admitted only highborn women) and possessed a
and Oliver Davies, Hildegard of Bingen (London, 1990); and
love of finery and dramatic liturgical performance. Her let-
Mark Atherton, Hildegard of Bingen: Selected Writings, Pen-
ters reveal her to be both wise and insecure, demanding loyal-
guin Classics (London, 2001).
ty and devotion, and peevish when she felt betrayed. Al-
Secondary works in English include Charles Burnett and Peter
though essentially a conservative figure, indebted to the spirit
Dronke, eds., Hildegard of Bingen: The Context of Her
of orthodoxy and deeply committed to her work as a theolo-
Thought and Art (London, 1998); Sabina Flanagan, Hilde-
gian with a moral and spiritual message, Hildegard also tran-
gard of Bingen 1098–1179: A Visionary Life (London, 1989);
Barbara Newman, Sister of Wisdom: St. Hildegard’s Theology
scended the parameters of her age. Of particular resonance
of the Feminine (Berkeley, Calif., 1987); and Barbara New-
in the twenty-first century is her emphasis on the fertility and
man, ed., Voice of the Living Light: Hildegard of Bingen and
fecundity of God, expressed in the recurrent image of
Her World (Berkeley, Calif., 1998).
viriditas or “greenness,” a term that encompasses the natural
world as the living body of God, the life of the church, the
FIONA BOWIE (2005)
OLIVER DAVIES (2005)
saints in heaven, and the grace given to individual believers.
Although Hildegard has been espoused as an “ecological
saint” and in her native Germany is followed for her herbal
cures, she is also widely known and appreciated through her
HILDESHEIMER, ESRIEL (1820–1899), was a
musical compositions. For Hildegard, music was not periph-
German rabbi and founder of the Orthodox Rabbinical Sem-
eral to the religious life; rather, it invoked the harmony of
inary in Berlin. Hildesheimer was born in Halberstadt, Ger-
the celestial spheres. In addition to over seventy liturgical
many, and was educated in the first Orthodox school in Ger-
pieces, she wrote an operatic psychodrama composed as part
many to include secular subjects in its curriculum. He
of a healing process for a distressed sister. Two of Hildegard’s
continued his studies with Jacob Ettlinger and Isaac Bernays,
visionary manuscripts were richly illustrated (although prob-
rabbis who combined their traditional observance with a re-
ably not by her hand), and artists have drawn inspiration
ceptivity to contemporary thought. Both men encouraged
from the imagery—verbal and pictorial—expressed in these
Hildesheimer’s interest in secular learning, and under their
works. It has been suggested that Hildegard’s visions are typi-
influence he went on to the universities of Berlin and Halle;
cal of a migraine sufferer, which may also explain her fre-
from the latter he received in 1846 a Ph.D. for a study of
quent illnesses, but Hildegard’s genius is misunderstood if
the Septuagint. Hildesheimer emerged from his early years
the medium of her visions is confused with the profound and
as a staunch opponent of Reform Judaism and a major pro-
inspirational nature of her theology and art. Hildegard is rec-
ponent of the modern Orthodox philosophy of torah Eim de-
ognized as a local saint of the Catholic Church, acclaimed
rekh erets, Samson Raphael Hirsch’s slogan that affirmed the
by the popular devotion of the people of the Rhineland, and
worth of modern Western culture and traditional Jewish
continues to inspire countless people from many nations
study and belief.
who rediscover the breadth, beauty, and majesty of her work.
Hildesheimer’s first opportunity to realize his ambitions
for the creation of a “cultured Orthodoxy” came in 1851,
SEE ALSO Benedictines; Nuns, article on Christian Nuns.
when he became rabbi of the Jewish community in Eisen-
stadt, Hungary (now in Austria). There he established the
BIBLIOGRAPHY
first yeshivah in the modern world to have a secular compo-
Hildegard’s visionary works include, Scivias [Know the ways],
nent in its regular course of study. This innovation earned
Liber vitae meritorum [The book of life’s merits], and Liber
Hildesheimer the wrath of many Orthodox traditionalists in
divinorum operum [The book of divine works]. The modern
Hungary, and as a result he returned to Germany in 1869.
German translations of these texts are published by Otto
In Berlin he became rabbi of the separatist Orthodox congre-
Müller Verlag (Salzburg, 1954, 1972, 1965). Adelgundis
Führkötter and Angela Carlevaris, Hildegardis—Scivias. Cor-
gation Adass Jisroel. In 1873, with the opening of the Ortho-
pus Christianorum: Continuation mediaevalis, vols. 43 and
dox Rabbinical Seminary, Hildesheimer realized his dream
43A (Brepols, Belgium, 1978), provides a modern critical
of a school that would train rabbis committed to both Jewish
edition of Scivias; and Mother Columba Hart and Jane Bish-
Orthodoxy and Wissenschaft des Judentums (the modern
op, trans., Hildegard of Bingen: Scivias, Classics of Western
scholarly study of Judaism). This institution gained
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HILLEL
3981
Hildesheimer a position of leadership among Orthodox
the Jewish Antiquities (15.3, 15.370) of Josephus Flavius
Jews, and his institutional accomplishments mark him as a
(37/8–c.100), but this may be a reference to Avt:alyon.
major architect of modern Jewish Orthodoxy.
Talmudic tradition portrays Hillel as a great spiritual
Hildesheimer himself produced a number of scholarly
leader who embodied the qualities of humility, patience,
works; the most prominent is a critical edition (1890) of
peace, love of Torah, and social concern. Many of the well-
Halakhot gedolot, an important geonic work. In addition, he
known sayings attributed to Hillel in Mishnah Avot (chaps.
founded in 1870 a German-language newspaper, Die jüdis-
1 and 2) emphasize these ideals. For example: “Be of the dis-
che Presse, for the dissemination of his views. His opinions
ciples of Aaron, loving peace and pursuing peace, loving peo-
on contemporary issues are also reflected in his Gesammelte
ple and bringing them near to the Torah.” “A name made
Aufsätze (1923), a collection of his major polemical/
great is a name destroyed.” “If I am not for myself who is
apologetic essays. His Jewish legal rulings, Teshuvot Rabbi
for me? And when I am for myself, what am I? And if not
EEsriDel (1969–1976), have appeared in two volumes.
now when?” “Do not separate yourself from the communi-
ty.” “Do not judge your fellow until you are in his position.”
BIBLIOGRAPHY
A popular tradition (B.T., Shab. 31a) illustrates Hillel’s for-
Eliav, Mordechai. “Rabbi Esriel Hildesheimer and His Influence
bearance and contrasts it with the impatience of Shammai,
on Hungarian Jewry” (in Hebrew). Zion 27 (1962): 59–86.
who often appears as his foil. Shammai is said to have re-
This study focuses on Hildesheimer’s years in Hungary and
buffed a heathen who demanded of him: “Make me a prose-
the tensions he experienced as a spokesman for modern Or-
lyte on condition that you teach me the entire Torah while
thodoxy in a Jewish community divided between extremist
I stand on one foot.” When approached by the same heathen
Orthodox and liberal Jewish elements.
Hillel responded, “What is hateful to you do not do to your
Eliav, Mordechai. “Torah Eim derekh erets be-Hungariyah.” Sinai
fellow man. That is the whole Torah, the rest is commentary.
51 (1962): 127–142. A superb study of Hildesheimer’s yeshi-
Go and learn it.” This negative formulation of what eventu-
vah in Eisenstadt and the educational policies and practices
ally circulated as the Golden Rule, like many of Hillel’s say-
that evolved there.
ings, has parallels in ancient literature (e.g., Tb. 4:15), so the
Eliav, Mordechai, ed. Rabbiner Esriel Hildesheimer: Briefe. Jerusa-
intention is not simply to relate the uniqueness or essence
lem, 1965. This is a collection of 139 of Hildesheimer’s let-
of Judaism. Here Hillel appears as the teacher par excellence;
ters (96 in German and 43 in Hebrew), edited and intro-
in one utterance he conveys that the central ideals of Judaism
duced by Eliav. Eliav’s notes on the letters are clear, concise,
and thorough. This is an indispensable work for understand-
are easily delineated, but the path to their fulfillment can be
ing Hildesheimer.
discerned only through further study and commitment.
New Sources
Several social taqqanot (“enactments”) are associated
Ellenson, David Harry. Rabbi Esriel Hildesheimer and the Creation
with Hillel. The most important of these is the prozbul, a
of a Modern Jewish Orthodoxy. Tuscaloosa, Ala, 1990.
legal instrument that enabled creditors to claim their debts
D
after the sabbatical year though biblical law (Dt. 15.2) pro-
AVID ELLENSON (1987)
Revised Bibliography
hibited it (Shevi!it 10.3). The biblical law was intended to
protect the poor in an agricultural society. In later times,
when the economy depended upon the free flow of credit,
people would refrain from lending as the sabbatical year drew
HILLEL (c. 50 BCE–early first century CE), Jewish sage and
near because they feared the money owed them would not
teacher. Although several modern scholars claim that Hillel,
be collectible. By means of the prozbul, creditors transferred
known as “the Elder,” had Alexandrian roots, there is no rea-
their bonds to the court, thereby retaining the right to collect
son to doubt the Talmudic tradition that he was a native of
after the sabbatical year.
Babylonia. Hillel was a disciple of ShemaEyah and Avt:alyon,
Hillel’s interest in the intention of the biblical text and
who preceded Hillel and his colleague Shammai as the two
its practical application to daily life may be the reason he is
leading teachers, or “pairs” (zugot), in Jerusalem. The Jerusa-
credited (Tosefta San. 7.11) with the promulgation of seven
lem (Palestinian) Talmud reports (Pes. 6.1, 33a, where Hillel
exegetical principles (middot), several of which were known
is called “the Babylonian”) that Hillel was designated nasi D
to have existed earlier. These principles were expanded to
(patriarch, i.e., head of the court) in recognition for having
thirteen by the second century tanna YishmaEeDl ben ElishaE
been able to resolve a difficult question of Jewish law on the
(Sifra D, intro.). While there are very few instances where Hil-
basis of a tradition he heard from ShemaEyah and Avt:alyon.
lel (or for that matter, Beit Hillel, the school of thought
The later patriarchs were regarded as descendants of Hillel,
named after him) is reported to have employed these princi-
who in turn was said to have been a scion of the house of
ples (see B.T., Pes. 66a; J.T., Pes. 6.1, 33a), their importance
David (J.T., Ta Ean. 4.2, 68a). Most scholars do not take the
increased in the later tannaitic and amoraic periods.
latter claim seriously, as Davidic ancestry is also assigned to
the Hasmonaeans, Herodians, Jesus, Yehuda ha-NasiD, and
Hillel’s significance has been assessed in various ways,
the Babylonian exilarchs. It is possible that Hillel is to be
all of which acknowledge that he was a pivotal figure in Juda-
identified with Pollio (Pollion), the Pharisee who appears in
ism during the late first century BCE and the early first centu-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
3982
H:ILL¯I, AL-
ry CE. Joseph Klausner, Alexander Guttmann, and Judah
Al-H:ill¯ı studied first with his father and then with his
Goldin have regarded the sage as responsible for establishing
famous maternal uncle, Najm al-D¯ın Abu¯ al-Qa¯sim JaEfar
the importance of intellect and interpretation along with tra-
ibn SaE¯ıd al-H:ill¯ı, known as “the Foremost Scholar”
dition. David Daube has suggested that Hillel created the
(al-Muh:aqqiq al-Awwal), as well as with a number of other
basis for the development of Jewish law, narrowing the dif-
Sh¯ıE¯ı and Sunn¯ı scholars. His mentor in philosophy and the-
ferences between the Pharisees and Sadducees by showing
ology was the controversial astrologer, theologian, and phi-
how the oral law is inherent in the written. Jacob Neusner
losopher Nas:¯ır al-D¯ın T:u¯s¯ı (d. 1274).
has credited Hillel with the transformation of the Pharisees
Al-H:ill¯ı wrote in all the religious and rational sciences,
from a political party to a society of “pious sectarians” com-
as well as in biography, Arabic grammar, and rhetoric. He
mitted to “table-fellowship,” that is, to the meticulous obser-
was the first to apply the scientific study ( Eilm) of the h:ad¯ıth
vance of tithing laws and the eating of everyday meals in a
(“traditions”) to Sh¯ıE¯ı tradition, and his methodology re-
state of ritual purity.
mains normative in Sh¯ıE¯ı h:ad¯ıth scholarship. The method,
SEE ALSO Beit Hillel and Beit Shammai.
however, earned him the hostility of the Akhba¯r¯ı scholars,
who accepted all the traditions in the four Sh¯ıE¯ı h:ad¯ıth col-
BIBLIOGRAPHY
lections as sound.
Life and Work
The majority of al-H:ill¯ı’s works, numbering over one
Nahum N. Glatzer’s Hillel, the Elder: The Emergence of Classical
hundred, or according to some accounts five hundred, have
Judaism (New York, 1956) is a popular account which sug-
gests that Hillel was influenced by the early h:asidim (pietists).
been lost. Among his ten published works, all of them stan-
All of the traditions pertaining to Hillel (and Shammai) are
dard textbooks in jurisprudence and theology, is Sharh:
critically evaluated in Jacob Neusner’s The Rabbinic Tradi-
Tajr¯ıd al-I Etiqa¯d, a commentary on Tajr¯ıd al-I Etiqa¯d (Di-
tions about the Pharisees before 70, 3 vols. (Leiden, 1971). Sol-
vesting the creed [of all details]), a Sh¯ıE¯ı creed by T:u¯s¯ı. This
omon Zeitlin has written several monographs on Hillel,
commentary has superseded all other works on Sh¯ıE¯ı dog-
which are summarized in volume 2 (pp. 100–118) of his The
matics. Al-H:ill¯ı’s treatise Al-ba¯b al-h:a¯d¯ı Eashar (The elev-
Rise and Fall of the Judean State: A Political, Social, and Reli-
enth chapter) is an important creed and has been translated
gious History of the Second Commonwealth (Philadelphia,
into English. It was appended to another of his important
1967). For an interesting assessment of the “standing on one
works, Minha¯j al-s:ala¯h: f¯ı ikhtis:a¯r al-Mis:ba¯h: (The Proper way
foot (Hebrew: regel)” theme in light of Latin, regula (“rule”),
to abridge The Lamp), an abridgement of Abu¯ JaEfar T:u¯s¯ı’s
see R. Jospe, “Hillel’s Rule,” Jewish Quarterly Review 81
Mis:ba¯h: al-mutahajjid (The lamp of the vigilant [in the night
(1990), 45–57. For recent discussions of the traditions and
sayings of Hillel, see the separate articles by Chana Safrai and
prayers]).
Shmuel Safrai in James H. Charlesworth and Loren L. Johns,
Around 1305 al-H:ill¯ı traveled to Persia, where he en-
eds., Hillel and Jesus, Comparisons of Two Major Religious
gaged in many debates with leading Sunn¯ı scholars. Under
Leaders (Minneapolis, 1997). Also of interest in this volume
his influence the eighth Il-khanid sultan of Persia, Öljeitü
is Philip S. Alexander’s “Jesus and the Golden Rule.”
Khuda¯-Banda, who had been first a Christian, later a Bud-
Exegetical Method
dhist, and then a H:anaf¯ı Sunn¯ı Muslim, was converted to
Hillel’s exegetical principles and their relationship to Hellenistic
Twelver Shiism. Under Öljeitü the names of the twelve Sh¯ıE¯ı
rhetoric are discussed in David Daube’s “Rabbinic Methods
imams were inscribed on mosques, and coins were struck in
of Interpretation and Hellenistic Rhetoric,” reprinted in
their names. Thus for the first time, however briefly, Twelver
Alan Corré’s Understanding the Talmud (New York, 1975),
pp. 275–289. It should be noted that the similarities dis-
Shiism was officially recognized as the state religion of Iran.
cerned by Daube and others do not necessarily prove that
EAlla¯mah al-H:ill¯ı, a contemporary of Ibn Taym¯ıyah and
Hillel derived his principles from the Hellenistic schools.
other noted Sunn¯ı scholars, was both admired for his great
Also noteworthy is Judah Goldin’s “Hillel the Elder,” Journal
learning and attacked and vilified as a leading and influential
of Religion 26 (October 1946): 263–277. For Hillel’s ap-
Sh¯ıE¯ı scholar. He was honored by being buried at Najaf in
proach to the Oral Law and to biblical exegesis, see Daniel
R. Schwartz, “Hillel and Scripture: From Authority to Exe-
the shrine of EAl¯ı, the first Sh¯ıE¯ı imam (and not, as William
gesis” in Hillel and Jesus, Comparisons of Two Major Religious
M. Miller, Dwight M. Donaldson, and S. Husain Jafri mis-
Leaders (Minneapolis, 1997; see above).
takenly assert, in Mashhad, Iran: “al-Mashhad al-Ghuraw¯ı”
is an honorific title for the shrine of EAl¯ı in Najaf). Al-H:ill¯ı’s
STUART S. MILLER (1987 AND 2005)
tomb in Najaf is well known and often visited by pilgrims.
H:ILL¯I, AL-
BIBLIOGRAPHY
(AH 648–726/1250–1326 CE), more fully
The best general works for information on al-H:ill¯ı are Edward G.
Jama¯l al-D¯ın Abu¯ Mans:u¯r al-H:asan ibn Yu¯suf ibn EAl¯ı ibn
Browne’s A Literary History of Persia (London, 1924; reprint,
al-Mut:ahhar, known as EAlla¯mah (“great scholar” or “sage”)
1978), vol. 3, pp. 356 and 406, and vol. 4, p. 54; and
al-H:ill¯ı after Hillah, a great center of Sh¯ıE¯ı learning in south-
Dwight M. Donaldson’s The Shi Eite Religion: A History of
ern Iraq; hence, a number of famous scholars are known as
Islam in Persia and Irak (London, 1933), especially pages
al-H:ill¯ı.
268–269 and 296–297. Al-H:ill¯ı’s Eleventh Chapter has been
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HINDI RELIGIOUS TRADITIONS
3983
translated by William M. Miller as Al-Ba¯bu al-H:a¯di EAshar:
the splendid library he accumulated at Reims—many of
A Treatise on the Principles of Sh¯ı Eite Theology (London,
whose books still survive—and in the scriptural, patristic,
1928).
and other sources quoted in his treatises. His knowledge of
MAHMOUD M. AYOUB (1987)
civil and canon law is noteworthy; it is evident especially in
his treatises on the divorce question and against his nephew,
Hincmar of Laon. Only a fraction (about eighty letters) of
his vast correspondence has survived, and several of his trea-
HINCMAR (c. 805–882) was an archbishop of Reims.
tises are also lost, in particular two treatises on the question
He was born in northern France and sent as a boy to be edu-
of images. Even in his own day he was accused of producing
cated at the Abbey of Saint-Denis near Paris under its famous
forgeries to support the causes he sponsored. His most recent
abbot, Hilduin. Hincmar entered the monastic community
biographer, Jean Devisse, has not succeeded in eliminating
at Saint-Denis and together with Hilduin spent some long
the doubts of scholars on this score. Hincmar is one of the
periods at the court of Louis I (r. 814–840). In 845 he was
first writers to quote the pseudo-Isidorian decretals, forgeries
chosen—no doubt with the approval of Charles II (r. 840–
also dating from his time but almost certainly produced in
877), the son of Louis I—to fill the archepiscopal see of
the camp of his opponents, especially Ebbo and his sup-
Reims, which had been vacant since the deposition of Ebbo
porters.
(835). Claiming to have been unjustly deposed, Ebbo had
reoccupied his see for a time and had performed ordinations
The section of the Annales Bertiniani from 861 to 882,
during this period; he and his supporters introduced strug-
which Hincmar composed, has earned the admiration of
gles and complications into Hincmar’s career that persisted
modern historians. In these pages, Hincmar demonstrates his
even after Ebbo’s death (851), particularly with respect to the
penetrating mind and his ability to comment shrewdly on
clerics Ebbo had ordained.
contemporary personages and events.
A man with a forceful personality and unbounded ener-
BIBLIOGRAPHY
gy, Hincmar seemed to thrive on controversy; one finds him
The works of Hincmar, first published by Jacques Sirmond (Paris,
enmeshed in all the important struggles of his time. The in-
1645), were reprinted in Patrologia Latina, edited by J.-P.
temperate nature of his language and actions gained him
Migne, vols. 125–126 (Paris, 1879). In view of the survival
more enemies than friends. On the political level he sided
of manuscripts of a quasi-autograph nature, exhibiting
with Louis I and Charles II against the emperor Lothair I (r.
changes and erasures, one must regret the lack of modern
840–855) and his son Lothair II, king of Lorraine (r. 855–
critical editions. Hincmar’s poems were edited by Ludwig
869). The emperor, part of whose territory came under
Traube in Monumenta Germaniae Historica, Poetae, vol. 3
Reims’s jurisdiction, supported Ebbo and attempted to de-
(Berlin, 1896), pp. 409–420; and the Annals by Felix Grat
pose Hincmar. With regard to Lothair II, Hincmar strongly
and others in Annales de Saint-Bertin (Paris, 1964); an edi-
opposed the king’s repudiation of his wife Theutberga in
tion of the letters was begun by Ernst Perels in Monumenta
Germaniae Historica, Epistolae, vol. 8 (Berlin, 1939), part 1.
order to marry his concubine, and he wrote the well-known
treatise De devortio Lotharii et Teutbergae to clarify all the
The recent work on Hincmar by Jean Devisse, Hincmar, archevê-
doctrinal and canonical issues involved.
que de Reims, 845–882, 3 vols. (Geneva, 1975–1976), is like-
ly to daunt many readers. Henri Platelle provides a lucid
As archbishop, Hincmar attempted to reorganize his di-
analysis of Devisse’s argument in Mélanges de science religieuse
ocese, to recover ecclesiastical possessions that had been
36 (1979): 113–137. See also Hubert Silvestre’s “Jean De-
alienated, and in particular to bring all his diocesan bishops
visse,” Scriptorium 34 (1980): 112–119; and J. M. Wallace-
into obedient submission to his jurisdiction. This last effort
Hadrill’s “History in the Mind of Archbishop Hincmar,” in
led to a bitter and implacable conflict with his own nephew,
The Writing of History in the Middle Ages, edited by R. H.
also named Hincmar, bishop of Laon, against whom he
C. Davis and J. M. Wallace-Hadrill (Oxford, 1981), and
chapter 5 of Wallace-Hadrill’s The Long-Haired Kings (New
wrote a treatise called the Opusculum LV capitulorum. The
York, 1962).
archbishop likewise interjected himself into the theological
controversies of his day, taking the monk Gottschalk to task
PAUL MEYVAERT (1987)
on the question of predestination in his treatise Ad reclusos
et simplices and challenging the monk Ratramnus on the for-
mula trina deitas in the treatise De una et non trina deitate.
HINDI RELIGIOUS TRADITIONS. Forty per-
On the question of predestination, Hincmar sought an ally
cent of India’s billion-strong population speaks some form
in John Scottus Eriugena (fl. 847–877), who also wrote on
of Hindi as a first language, with the great concentration ex-
this matter. But the replies of several other contemporary
tending across north India from Rajasthan in the west to
theologians, Lupus (of Ferriéres), Prudentius (of Troyes),
Bihar in the east. Urdu, Hindi’s sister tongue, is spoken by
and Florus (of Lyons), show that Hincmar’s theological spec-
tens of millions more, and is distinguished from Hindi chief-
ulations were not viewed as altogether sound.
ly by its preference for expressions derived from Persian and
Hincmar’s vast literary output reflects all aspects of his
Arabic. Urdu is a tongue with Muslim associations, while
activities. That he was a man of great learning is reflected in
Hindi has a Hindu flavor that is intensified by vocabulary
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HINDI RELIGIOUS TRADITIONS
adopted directly from Sanskrit. The membrane between the
ing to where it was spoken. Such language, which sometimes
two languages is by no means impermeable, however, and
comes tolerably close to the khar:¯ı bol¯ı that is the basis of
the religious situation is similar: many of the practices sur-
modern standard Hindi, is difficult to describe, but insofar
rounding Muslim holy men (pirs), for example, closely re-
as it was productive of a religious literature it is often simply
semble those associated with their Hindu counterparts
called sa¯dhukkar:¯ı bha¯s:a¯, “what holy men speak.” In
(gurus, sants, etc.).
sa¯dhukkar:¯ı bha¯s:a¯ the events of daily life and personal experi-
ence play an important role.
Hindi speakers, who see themselves as occupying the
geographic center of Hindu culture—what in earlier times
Anthologies of vernacular religious poetry, extant exam-
was called the Middle Country (Madhyade´sa), where Aryan
ples of which date back to the end of the sixteenth century,
culture in India flourished—often suppose that regional dis-
can be found in each of these three dialects; often an antholo-
tinctiveness is something characterizing other areas of the
gy contains more than one. Collections as different as the
subcontinent more than their own. Local and regional iden-
massive Karta¯pur Poth¯ı compiled at the time of Guru Arjun
tities are indeed strong in India, even within the Hindi-
(1604) and the much smaller anthologies prepared for indi-
speaking area; nonetheless, there is a core of religious litera-
vidual merchants or princes suggest by their linguistically di-
ture and tradition that sets the Hindi region apart from other
verse contents that songs composed as far west as the Punjab
areas of India and makes it possible for people whose person-
and as far east as Bihar could be considered part of a single
al religious emphases vary widely to communicate as mem-
network.
bers of a single, if large and complex, family.
Within this overarching tradition, a more or less distinct
THE BHAKTI CORE. This core is defined by a corpus of devo-
thematic milieu is associated with each of the three major di-
tional (bhakti) poetry generated from the fifteenth to the sev-
alects. Much of the religious poetry in Braj Bha¯s:a¯ is devoted
enteenth centuries and associated with such names as Kab¯ır,
to Kr:s:n:a; Ra¯ma is often addressed and described in Avadhi;
M¯ıra¯ Ba¯¯ı, Su¯rda¯s, Tuls¯ıda¯s, and Na¯nak. In the compositions
and in sa¯dhukkar:¯ı bha¯s:a¯ one finds a mixed agenda appropri-
of these singer-saints and others contemporary with them,
ate to the multiformity of the language: important traces of
various dialects of Hindi came into their own as media suit-
devotion to S´iva and S´akti, for example, sometimes lurk be-
able for religious expression. Doubtless, earlier poetry also
hind a predominantly Vais:n:ava facade. Su¯rda¯s, Nanddas,
served as the focus for popular piety, but it seems to have re-
and a host of other poets native to the Braj region composed
mained largely oral; what survives in writing from the four-
their Kr:s:n:a lyrics naturally enough in Braj Bha¯s:a¯, as did
teenth and earlier centuries is largely in the nature of epic and
Tuls¯ıda¯s when he wrote his S´r¯ıkrs:n:a¯g¯ıtaval¯ı (A series of
romance, touching only obliquely on matters of faith. With
songs to Kr:s:n:a); M¯ıra¯ Ba¯¯ı, traditionally understood to have
but a few exceptions, religious texts apparently remained the
been a princess of Rajasthan, seems often to have done the
province of those versed in Sanskrit and the Jain Prakrits: if
same. Braj Bha¯s:a¯ was also deemed appropriate as a medium
there were vernacular texts, they have now been lost.
for the praise of Ra¯ma, but when Tuls¯ıda¯s began crafting his
epical Ra¯mcaritma¯nas, Avadhi presented itself as a ready tool.
A written tradition of religious literature in the vernacu-
Avadhi had already established itself as a fit vehicle for epic
lar began to build in the fifteenth century with adaptations
or elegiac themes such as those that fill the story of Ra¯ma,
of the great Sanskrit epics, the Maha¯bha¯rata and the
and in a similar way Braj Bha¯s:a¯, through its identification
Ra¯ma¯yan:a. The earliest were composed by Vis:n:uda¯s at the
with the amorous Kr:s:n:a, came to be seen as the most graceful
court of Gwalior in 1435(?) and 1442. A century and a half
medium for love poetry in Hindi. Sa¯dhukkar:¯ı bha¯s:a¯, associ-
later writers began giving vernacular form to the Sanskrit
ated especially with such figures as Gorakhna¯th, Kab¯ır,
Bha¯gavata Pura¯n:a. The most prestigious medium of literary
Ravida¯s, and Da¯du¯, expressed its eclectic character in anthol-
expression in the western Hindi regions was Braj Bha¯s:a¯, the
ogies of poetry associated with the sant tradition, those “good
language spoken from Gwalior northward throughout the
folk” who preached allegiance to no particular form of God
Braj region, where the god Kr:s:n:a is said to have spent his
other than that transmitted through the charisma of one’s
youth. To the east, an alternate tradition held sway: Avadhi,
guru¯. In the language of sants such as Kab¯ır, the designation
the dialect spoken in Avadh, the natal region of the divine
Ra¯ma had less to do with the avata¯ra of Vis:n:u who was an
king Ra¯ma. Avadhi too played host to vernacular adaptations
exemplary king bearing that name than with the totality of
of Sanskrit works, by far the most influential among them
the divine presence.
being the Ra¯mcaritma¯nas (Spiritual lake of the deeds of
Ra¯ma) of Tuls¯ıda¯s, composed toward the end of the six-
Historians of Hindi literature have usually accepted a
teenth century. A third major linguistic strand in the reli-
tripartite linguistic and theological division in categorizing
gious literature of medieval north India is less regional in
medieval devotional poetry. They typically present the first
character and less associated with myth and legend than ei-
two as divergent expressions of sagun:a bhakti—the Kris:n:aite
ther Braj Bha¯s:a¯ or Avadhi. Because it apparently had its
and the Ra¯maite—and the last as nirgun:a bhakti. According
home in a marketplace environment that made it accessible
to the sagun:a (“with qualities”) persuasion, God can appro-
to Hindi speakers of various classes and regions, it typically
priately be worshiped through divine attributes and forms
contains a great mixture of dialectal forms and varies accord-
that make themselves felt in the phenomenal world, hence
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HINDI RELIGIOUS TRADITIONS
3985
through myth and image. According to the nirgun:a
a regional sensibility that their works have become important
(“without qualities”) persuasion, the purpose of the religious
elements in curricula used in the early twenty-first century
life is to discard such earthbound symbols and attain a purer
in the public schools of north India. But the religious impact
apprehension of the divine; this teaching is at the heart of
of the poets is felt even more keenly outside the classroom.
the message of poets such as Kab¯ır and Na¯nak.
Performance. Every autumn, in the period surrounding
To overemphasize this tripartite taxonomy, however, is
the festival of Da´sahra¯ or Vijayamada´sam¯ı, when Ra¯ma’s
to ignore what binds together this whole array of poet-saints
victory over the demon Ra¯van:a is celebrated, Tuls¯ıda¯s’s
and all who venerate their names. Tradition has recognized
Ra¯mcaritma¯nas becomes the basis for dramas (ra¯ma l¯ıla¯s) de-
these ties by affirming a series of connections—imagined or
picting salient events in the life of Ra¯ma. The most famous
otherwise—between individual saints. To an extent these
of these ra¯ma l¯ıla¯s is performed on the grounds of the palace
links reaffirm the individual dialects and religious traditions
of the maharaja of Banaras and extends over a period of thir-
to which this article has referred, but they also create conflu-
ty-one days, drawing pilgrims from far and wide; equally
ences between them that have a tendency to draw the group
well-attended ra¯ma l¯ıla¯s are celebrated in cities and towns
into a single stream. In sant poetry, some of these ties are
wherever Hindi is spoken. In a similar way, the weeks leading
claimed in verses attributed to the saints themselves: Ravida¯s
up to Kr:s:n:a’s birthday Kr:s:n:a Janma¯s:t:am¯ı, which comes in
makes mention of Na¯mdev and Kab¯ır; Da¯du¯ adds Ravida¯s’s
August or September in the monsoon season, witness the
name to the list; and Ekna¯th and Tuka¯ra¯m, the Maharashtri-
performance of verses by Su¯rda¯s and other Braj Bha¯s:a¯ poets
an poet-saints, in turn acknowledge Da¯du¯. Other connec-
in musical dramas depicting the life of Kr:s:n:a, particularly his
tions emerge in hagiologies as old as the Bhaktama¯l of Nab-
childhood and youth. These rasa l¯ıla¯s emanate from the Braj
hadas (c. 1625) and the Caura¯s¯ıvais:n:avan k¯ı va¯rta¯ (c. 1650)
region, which is a great center of pilgrimage, especially dur-
attributed in its final form to Gokulna¯th. The former depicts
ing the rainy months of S´ra¯van: and Bha¯drapad.
Kab¯ır, Ravida¯s, and P¯ıpa¯ as pupils of a common guru¯,
Though the Ra¯mcaritma¯nas typically becomes the basis
Ra¯ma¯nand, and the latter draws the catholic Su¯rda¯s into a
for large public performances only in autumn, it serves as the
chain of sectarian poets such as Kr:s:n:ada¯s and Khumbhanda¯s,
focus of private devotions all year round: often individuals
who were pupils of Vallabha. Other relationships seem to
and religious associations engage brahmans to chant it unin-
have been postulated later on, such as the tradition that
terruptedly from start to finish, or do so themselves. Like-
Na¯nak met Kab¯ır, that Tuls¯ıda¯s encountered Su¯rda¯s, or that
wise, one can sing the songs of Kr:s:n:a in devotional groups
M¯ıra¯ Ba¯¯ı embraced Ravida¯s as her guru¯. And repeated pat-
at any time. Indeed, such bhajan (“singing”) groups provide
terns in the biographies of poet-saints on both sides of the
much of the informal religious life with which Indian villages
nirgun:a-sagun:a line—a miraculous and undesired access to
and cities pulse. The Indian film industry—whose primary
wealth, for example—draw these figures into even closer
medium is Hindi—has adopted many traditional bhajans
proximity.
into its films, making them familiar not just in Hindi-
Such associations at the level of hagiography echo others
speaking areas but throughout the country and beyond. It
that figure in the poetry itself. For all their differences of per-
is difficult to say whether the public consciousness of reli-
spective, the bhakti poets seem united in their conviction
gious literature in Hindi is now shaped more by schoolbooks
that one must cultivate personal experience as a way to ap-
and cheap religious pamphlets, by performers and itinerant
proach God; hence they downplay and often ridicule the pre-
preachers, or by the many films depicting religious themes,
occupations of ritual religion. Furthermore, all the bhakti
or again by a television series such as Ra¯ma¯nand Sa¯gar’s
poets, with the occasional exception of Tuls¯ıda¯s, seem to
hugely successful Ra¯ma¯yan: (1987–1988), which was princi-
consider both sexes and all strata of society as potentially
pally based on the Ra¯macaritma¯nas and is available world-
worthy devotees. Finally, they share a common mode of dis-
wide on cassette.
course. Poets as different as Su¯rda¯s, with his tender affection
Communities and orders. Much of the religious life of
for Kr:s:n:a as a child, and Kab¯ır, with his predilection for
north India over the past half millennium has been defined
trenchant social criticism, unite in dedicating a significant
by the religious communities, both householder and ascetic,
proportion of their creative efforts to poems in the vinaya
that were established to channel the religious fervor of the
(“humble petition”) genre. These songs of petition and com-
medieval period. These provide access to the bhakti tradition
plaint are occasioned primarily by the experience of being
in both its sagun:a and nirgun:a modes, with the Gaud:¯ıya,
separated from God (viraha), and although the desire to see
Vallabha, Nimba¯rka, Harida¯s¯ı, and Ra¯dha¯vallabha
God (to have dar´san, “sight”) may seem natural from a
samprada¯yas (“sectarian traditions”) devoted primarily to
sagun:a perspective such as Su¯r’s or Tuls¯ı’s, one also encoun-
Kr:s:n:a; the Ra¯ma¯nand¯ı order devoted especially to Ra¯ma;
ters it in poems attributed to Kab¯ır and Na¯nak. Indeed, these
and the Kab¯ır, Ravida¯s¯ı, Da¯du¯, and Sikh Panths spreading
twin themes of viraha and dar´san are persistent in bhakti po-
the message of the sants.
etry throughout the subcontinent.
Among the Kr:s:n:aite groups, the most influential have
THE PRESERVATION OF THE TRADITION. It is a measure of
probably been the Gaud:¯ıya and Vallabha samprada¯yas. The
the extent to which the bhakti poets of the Hindi area define
former looks to the ecstatic saint Caitanya (1486–1533) as
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3986
HINDI RELIGIOUS TRADITIONS
its founder—a Bengali who established temple and monastic
is overwhelmingly true: over the past century—particularly
lineages not only in his native region but in Braj and Orissa
in the Punjab but now elsewhere as well—his name has
as well. The Caitanyaite influence on Braj has undoubtedly
served as a rallying point for communal pride among the
had much to do with elevating the worship of Ra¯dha¯, Kr:s:n:a’s
cama¯r (leatherworking) caste to which he belonged. Ravida¯s
favorite among his milkmaid loves (gop¯ıs), to a status almost
temples, educational institutions, and community centers
on a par with his own: she is his consort, consubstantial with
have been established, and poetry ascribed to him serves as
him. Other lineages that have their centers in Braj (the
an essential component of Ravida¯s¯ı teaching. The institu-
Ra¯dha¯vallabha, Harida¯s¯ı, and Nimba¯rka samprada¯yas) share
tional heritage of Kab¯ır, the Kab¯ır Panth, is more complex
in this adulation of Ra¯dha¯, which finds expression in the po-
and wide-ranging, embracing both monastic institutions and
etry of such saints as Hit Harivam
˙ ´s, Harida¯s, and
lay groups. It extends from a center in Kab¯ır’s own city, Ba-
Vr:inda¯vanda¯s.
naras, eastward into Bihar, and as far west as Gujarat. Al-
The Vallabha Samprada¯ya, which traces its history to
though the Kab¯ır Panth has a predominantly lower-caste
the sixteenth-century theologian Vallabha¯ca¯rya, appears to
membership, merchant castes also play an important role,
have attained institutional definition somewhat later than
particularly in the Dharmada¯s¯ı branch.
the Gaud:¯ıya Samprada¯ya, but was very successful in doing
Mercantile castes have exercised an even greater influ-
so. Though patronized early in its history by Mughal rulers,
ence over the development of the Sikh Panth, the communi-
it was forced to flee the Braj area during the period when Au-
ty that traces its origins to Na¯nak, since each of its ten guru¯s,
rangzeb occupied the throne; it transferred its center to
including Na¯nak himself, belonged to merchant (khatr¯ı)
Na¯thdva¯ra¯ in western Rajasthan. Partially in consequence of
families. The Sikh community is by no means restricted to
the proximity of Na¯thdva¯ra¯ to the west, Gujaratis have be-
khatr¯ıs, however, and its leadership has been shared at least
come among the most influential devotees in the Vallabhite
equally by the Punjabi farming and landowning caste called
fold, and their mercantile connections make them an impor-
ja¯t:. Whereas Kab¯ır and Ravida¯s groups often revere their
tant force across North India. Vallabha, in sympathy with
guru¯s in image form, ensconcing them at the center of their
the general sensibilities of the bhakti movement, questioned
ritual lives, the Sikh community has, at least since the time
the propriety of clerical and monastic institutions, feeling
of the tenth guru¯, eschewed any such practice. In Sikh wor-
that true faith admitted of no boundaries between religious
ship, the functions that otherwise would cluster around an
specialists and ordinary people. Vallabha’s progeny, however,
image or guru¯ are diverted to a book—the bhakti anthology
developed a ritual style sufficiently elaborate, and a following
that took shape in the Goindva¯l Poth¯ıs and ultimately
sufficiently prosperous, to transform their homes into grand
emerged as the A¯di Granth. For that reason the A¯di Granth
temples possessing some of the most detailed ceremonial tra-
is referred to as a guru¯ in its own right, the Guru¯ granth sahib.
ditions in all of Hinduism. One of the salient aspects of this
Through it, Sikhs come in daily contact with the words of
style is its careful attention to hymnody: through dhrupad (a
the nirgun:a bhakti saints who stand at the fountainhead of
style of classical music) the Samprada¯ya has preserved a tradi-
their tradition.
tion of performing bhakti poetry that is otherwise obsolete
in modern India.
Each of the communities mentioned so far, with the
possible exception of the Ravida¯s¯ıs, can trace its origins di-
Membership in both the Gaud:¯ıya and the Vallabha
rectly to the medieval bhakti period, sometimes claiming an
samprada¯yas involves initiation at the hands of one of their
individual poet as its founder. But the bhakti heritage ex-
spiritual leaders. Such initiation is open on an ascriptive basis
tends as well to groups whose institutional associations with
to anyone who seeks it, though family traditions usually de-
the medieval saints are harder to establish. Prominent among
termine the teaching heritage with which a person becomes
these is the Radhasoami Satsang, a nirgun:a tradition that
allied. Another restriction pertains to social status. Normally,
came into focus in the mid-nineteenth century and has since
membership in these communities in confined to members
splintered into a number of guru¯-centered communities,
of caste society; Dalits (formerly “Untouchables”), despite
some with a sizable international constituency. Radhasoami
the thrust of some bhakti teachings, are usually not wel-
is quite influential in North Indian life: many government
comed and do not seek to belong.
bureaucrats count themselves members; its publications are
Membership patterns are significantly different among
numerous; and when large convocations are held at its center
communities whose allegiance is to the nirgun:a side of the
in Beas, Punjab, hundreds of thousands of pilgrims attend.
bhakti tradition. The theological emphasis on turning away
Radhasoami’s history features the establishment of several vi-
from particular characteristics and forms attributed to God
sionary communities, such as the one at Beas, part of whose
appears to go hand in hand with questioning the legitimacy
impetus was to leave behind the encumbrances of caste as
of similar distinctions in society. Among nirgun:a poets,
members gathered to lead a common life in the presence of
Kab¯ır and Ravida¯s made especially sharp comments about
a living guru¯. Curiously, this seemingly plain-spoken egali-
caste, owing in part, no doubt, to their own humble origins;
tarian message from the bhakti tradition went hand in hand
the communities that have formed in their names continue
with an esoteric interpretation of other bhakti themes: the
to appeal to a largely lower-caste clientele. With Ravida¯s this
traditional importance of listening to the truth within, for
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HINDI RELIGIOUS TRADITIONS
3987
example, was transmuted into a doctrine of the guru¯ as the
Hanuma¯n. In Hanuma¯n, servant of Ra¯ma, superhuman
incarnation of an eternal sound-current. When one seeks the
strength and superhuman devotion unite, making this god
roots of this kind of thinking, one is drawn back, through
the very personification of efficacious bhakti; at the same
the Dharmada¯s¯ı branch of the Kab¯ır Panth, to the apotheo-
time, he remains peculiarly accessible and unthreatening be-
sis of Kab¯ır himself as a primordial, supernatural force. Here,
cause he belongs to a subhuman species. The Hanuma¯n
as in other aspects of the nirgun:a bhakti tradition, the de-
ca¯l¯ısa¯ (nineteenth century?), dedicated to him, is one of the
mythologizing fervor that was expressed in the fifteenth and
most frequently recited texts in North India, and many
sixteenth centuries seems to have created a vacuum that was
Hindi speakers turn first to the monkey god in times of peril
filled by remythologizing later on.
and stress.
HINDI TRADITIONS IN A LARGER PERSPECTIVE. To sketch
Like all of India’s major regions, North India has its
the religious traditions that have Hindi as their linguistic me-
own set of pilgrimage places: Pus:kar and Na¯thdva¯ra¯ in Raja-
dium is scarcely to portray the full dimensions of the reli-
sthan; Badrina¯th and Gan˙gotr¯ı in the Himalayas; Mathura¯
gious life of Hindus resident in North India. This article has
and Vr:nda¯vana in Braj; Ayodhya¯ in Avadh; and Hardvar,
said little about rituals pertaining to days, weeks, months,
Praya¯ga, Banaras, and Gaya¯ stretching along the Ganges
years, or the life cycle; about the panoply of religious special-
from west to east. What is striking about several of these
ists from brahmans to curers to ascetics; about the pantheon
places, however—certainly Vr:nda¯vana, Praya¯ga, Ayodhya¯,
revered in various areas; about temple architecture and prac-
and Banaras—is that they attract pilgrims not merely from
tice; or about how one’s experience of religion is conditioned
the Hindi-speaking regions but from all over India. Three
by one’s sex, age, or position in the caste hierarchy, one’s
among these—Vr:nda¯vana, Ayodhya¯, and Banaras—gain
urban or rural locale, or one’s proximity to a major religious
their national reputation because they are perceived as the
center. Often, one or another of these factors affects patterns
homes, the primary residences, of three great gods in the pan-
of individual piety more profoundly than the specifically
theon: Kr:s:n:a, Ra¯ma, and S´iva. Banaras benefits additionally
“Hindi” traditions discussed here, and often what matters
from its special association with the Ganges, holiest of India’s
most does not hold constant across the whole Hindi region
waters; the Jumna (Yamuna¯), sister to the Ganges and for
or the entire social spectrum. In the Hindi area as elsewhere,
Hindus a goddess like her, contributes to the status of
Hinduism resists easy generalizations. One can, however,
Vr:nda¯vana. Praya¯ga owes its special sanctity to the fact that
point to certain motifs that seem particularly significant in
it marks the confluence of these two rivers; every twelve years
North Indian religion, as contrasted with other areas of the
it plays host to the most populous of all Hindu festivals, the
subcontinent.
Kumbha Mela¯. Participants in the Kumbha Mela¯ come from
all corners of the subcontinent to bathe in the confluence of
In the realm of ritual, for example, one might observe
the Ganges, the Jumna, and the invisible Sarasvat¯ı at the aus-
that it is somewhat more acceptable in North India than else-
picious moment when the sun passes into the house of
where for a young man to take on the sacred thread just prior
Aquarius; all caste groups, all major religious organizations,
to his marriage; elsewhere, there is greater insistence on keep-
and all ascetic orders are represented.
ing these two major rites of the life cycle separate and dis-
tinct. As for festivals, Hol¯ı, the spring first-fruits celebration
The Kumbha Mela¯ suggests what is perhaps the most
that falls in March or April, assumes a bacchanalian intensity
distinctive feature of regional religion in the Hindi-speaking
one might more easily associate with Gan:e´sa Caturth¯ı in
area: in some of its most important respects it is pan-Indian
Maharashtra or Du¯rga¯ Puja¯ in Bengal. Among religious spe-
as well. One can find at Madurai “the Mathura¯ of the south”
cialists, one might mention the historically formative role
or in the Godavari a Ganges transposed to central India, but
played by the iconoclastic Na¯th order, with its mixed ascetic
never the reverse; the songs of M¯ıra¯ Ba¯¯ı are known all over
and householder membership. The Na¯th Samprada¯ya, which
India in a way that the Tamil lyrics of her south Indian coun-
regards Gorakhna¯th (c. eleventh century?) as its most impor-
terpart A¯n:t:a¯l can never be. The fact that Hindi rivals English
tant preceptor, was particularly influential in laying the basis
as a lingua franca for modern India is not the only cause of
for the sant tradition as it spread across North India in the
the tendency among Hindi speakers to feel that the religion
early medieval centuries. It is associated with a particular
they practice somehow sets the Hindu paradigm; it is that
form of yoga that assumed the potential immortality of all
history and mythology have made them before all others host
and questioned the efficacy of traditional forms of temple
to the gods. Kr:s:n:a and Ra¯ma lived where they live, and when
and Brahmanic ritual.
S´iva descended from the Himalayas to the plain, his feet first
touched a place where Hindi is spoken. Successive invasions
This discussion has already touched on several points re-
and movements of population have complicated and trans-
lating to the pantheon, but it might be stressed in addition
formed the religious landscape of North India more than
that while all of India has tended in recent centuries to fore-
most areas of the subcontinent, but nothing can alter the
shorten the distance between the great and local gods by fo-
Hindi region’s special claim that the gods were there first.
cusing increased attention on intermediary figures such as
the elephant divinity Gan:e´sa, North India has led the way
SEE ALSO A¯di Granth; Banaras; Bhakti; Caitanya; Drama,
in expanding the significance of his monkey cousin,
article on Indian Dance and Dance Drama; Gorakhna¯th;
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3988
HINDUISM
Hol¯ı; Kab¯ır; Kr:s:n:a; Kumbha Mela¯; L¯ıla¯; M¯ıra¯ Ba¯¯ı; Na¯nak;
Wadley’s Shakti: Power in the Conceptual Structure of Karim-
Pilgrimage, article on Hindu Pilgrimage; Ra¯dha¯; Ra¯ma;
pur Religion (Chicago, 1975). The religion of Dalits in the
Sikhism; S´iva; S´ri Vais:n:avas; Su¯rda¯s; Tuls¯ıda¯s; Vallabha;
Punjab, including their veneration of Ravida¯s, is the subject
Vr:nda¯vana.
of Mark Juergensmeyer’s Religion as Social Vision (Berkeley,
1982). The ambience of pilgrimage in Banaras (Varanasi)
B
and Vr:nda¯vana is described in Diana L. Eck’s Banaras: City
IBLIOGRAPHY
An excellent, up-to-date resource for the study of devotional liter-
of Light (New York, 1982) and my At Play with Krishna
ature in medieval Hindi dialects is Ronald Stuart McGre-
(Princeton, 1981). In Beyond Hindu and Muslim (New York,
gor’s Hindi Literature from Its Beginnings to the Nineteenth
2000), Peter Gottschalk describes the intersecting religious
Century (Wiesbaden, 1984). Parshuram Chaturvedi’s com-
worlds of Muslims and Hindus in a village in Bihar.
pendious Uttar¯ı Bha¯rata k¯ı sant parampara¯ (Allahabad,
JOHN STRATTON HAWLEY (1987 AND 2005)
1964) provides a more ample but often less critical overview
of saints and communities of the nirgun:a persuasion, and
Prabhu Dayal Mital’s Braj ke dharma-samprada¯yo˜ ka¯ itiha¯s
(Delhi, 1968) does the same for sagun:a traditions based in
HINDUISM. Hinduism is the religion followed by
Braj. In regard to Avadhi and its Ra¯maite traditions, one
about 70 percent of the roughly seven hundred million peo-
might mention Camille Bulcke’s Ra¯ma-katha¯: utpati aur
vika¯s (Allahabad, 1950) and a series of pioneering articles by
ple of India. Elsewhere, with the exception of the Indonesian
Richard Burghart that explore topics relating to the
island of Bali, Hindus represent only minority populations.
Ra¯ma¯nand¯ı sect: “The Founding of the Ramanandi Sect,”
The geographical boundaries of today’s India are not, how-
Ethnohistory 25 (Spring 1978): 121–139; “Wandering Ascet-
ever, adequate to contour a full account of this religion. Over
ics of the Ra¯ma¯nand¯ı Sect,” History of Religions 22 (May
different periods in the last four or five millennia, Hinduism
1983): 361–380; and “The Disappearance and Reappear-
and its antecedents have predominated in the adjacent areas
ance of Janakpur,” Kailash 6 (1978): 257–284. The defini-
of Pakistan and Bangladesh and have been influential in such
tive study of performance traditions associated with Tuls¯ıda¯s
other regions as Afghanistan, Sri Lanka, Southeast Asia, and
Ra¯mcaritma¯nas is Philip Lutgendorf’s The Life of a Text
Indonesia. But in these areas Hindu influences have been su-
(Berkeley, Calif., 1991), and a sense of the S:u¯f¯ı prema¯khya¯n
perseded or overshadowed by the influences of other reli-
tradition in Avadhi can be had in Aditya Behl and Simon
gions, principally Buddhism and Islam. This account will
Weightman’s translation of Manjhan’s Madhuma¯lat¯ı (Ox-
ford, 2000).
treat only of Hinduism as it has taken shape historically in
the “greater India” of the Indian subcontinent.
For sectarian traditions associated with Tuls¯ıda¯s, Su¯rda¯s, Kab¯ır,
Na¯nak, M¯ıra¯ Ba¯¯ı, and other bhakti saints, see Richard K.
INDUS VALLEY RELIGION. There are good reasons to suspect
Barz, The Bhakti Sect of Vallabha¯ca¯rya (Faridabad, 1976); W.
that a largely unknown quantity, the religion of the peoples
M. Callewaert and Bart Op de Beeck, Devotional Hind¯ı Lit-
of the Indus Valley, is an important source for determining
erature (Delhi, 1991); J. S. Hawley and Mark Juergensmeyer,
the roots of Hinduism.
Songs of the Saints of India (New York, 1987); Lucy L. Rosen-
stein, The Devotional Poetry of Sva¯m¯ı Harida¯s (Groningen,
The Indus Valley civilization arose from Neolithic and
1997); Rupert Snell, The Eighty-Four Hymns of Hita
Chalcolithic village foundations at about the middle of the
Harivam:´sa (Delhi and London, 1991); Heidi Pauwels, In
third millennium BCE as a late contemporary of Egyptian and
Praise of Holy Men (Groningen, 2003); Gurinder Singh
Mesopotamian riverine civilizations. It engaged in trade with
Mann, The Making of Sikh Scripture (New York, 2001); Hew
both, though mostly with Mesopotamia. Reaching its apogee
McLeod, Sikhism (London, 1997); Parita Mukta, Upholding
around 2000 BCE, it then suffered a long period of intermit-
the Common Life (Delhi, 1994); Linda Hess and Shukdev
tent and multifactored decline culminating in its eclipse
Singh, The B¯ıjak of Kabir (San Francisco, 1983); David N.
around 1600 BCE, apparently before the coming of the Aryan
Lorenzen, Kabir Legends and Ananta-Das’s Kabir Parachai
peoples and their introduction of the Vedic religious current.
(Albany, N. Y., 1991); J. S. Hawley, Su¯r Da¯s: Poet, Singer,
At its peak, the Indus Valley civilization extended over most
Saint (Seattle and Delhi, 1984); W. M. Callewaert and Peter
Friedlander, The Life and Works of Raida¯s (Delhi, 1992);
of present-day Pakistan, into India as far eastward as near
Alan W. Entwistle, Braj, Centre of Krishna Pilgrimage (Gro-
Delhi, and southward as far as the estuaries of the Narmada
ningen, 1987); and W. L. Smith, Patterns in North Indian
River. It was apparently dominated by the two cities of Mo-
Hagiography (Stockholm, 2000). Radhasoami is described in
henjo-Daro, on the Indus River in Sind, and Harappa, about
Lawrence A. Babb, Redemptive Encounters (Berkeley, 1986)
350 miles to the northwest on a former course of the Ravi
and Mark Juergensmeyer, Radhasoami Reality (Princeton,
River, one of the tributaries to the Indus. Despite their dis-
1991), and the larger sant context emerges in Karine
tance from each other, the two cities show remarkable uni-
Schomer and W. H. McLeod, eds., The Sants (Berkeley and
formity in material and design, and it has been supposed that
Delhi, 1987). David Gordon White analyzes the Na¯th tradi-
they formed a pair of religious and administrative centers.
tion in The Alchemical Body (Chicago, 1996).
A fine description of the religious universe of a village at the south-
The determination of the nature of Indus Valley reli-
eastern extremity of the Hindi-speaking region is Lawrence
gion and of its residual impact upon Hinduism are, however,
A. Babb’s The Divine Hierarchy (New York, 1975); a com-
most problematic. Although archaeological sites have yielded
plementary study of a village farther north is Susan Snow
many suggestive material remains, the interpretation of 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
HINDUISM
3989
finds is conjectural and has been thwarted especially by the
with the later Hindu god S´iva. Other traits (the buffalo-man
continued resistance of the Indus Valley script, found on nu-
composite form, association with wild animals, possible inti-
merous steatite seals, to convincing decipherment. Until it
mations of sacrifice) have suggested a foreshadowing of the
is deciphered, little can be said with assurance. The content
buffalo demon Mashs:a¯sura, mythic antagonist and sacrificial
of the inscriptions may prove to be minimal, but if the lan-
victim of the later Hindu goddess Durga¯. Possibly the image
guage (most likely Dravidian) can be identified, much can
crystallizes traits that are later associated with both of these
be resolved.
figures.
At both Harappa and Mohenjo-Daro, the cities were
The notion that features of Indus Valley religion form
dominated on the western side by an artificially elevated
a stream with later non-Aryan religious currents that perco-
mound that housed a citadel-type complex of buildings.
late into Hinduism has somewhat dismissively been called
Though no temples or shrines can be identified, the complex
the substratum theory by opponents who argue in favor of
probably served both sacred and administrative functions. A
treating the development of Hinduism as derivable from
“great bath” within the Mohenjo-Daro citadel, plus elabo-
within its own sacred literature. Though this “substratum”
rate bathing and drainage facilities in residences throughout
cannot be known except in the ways that it has been struc-
the cities, suggests a strong concern for personal cleanliness,
tured within Hinduism (and no doubt also within Jainism
cultic bathing, and ritual purity such as resurface in later
and Buddhism), it is clear that a two-way process was initiat-
Hinduism. Indeed, the “great bath,” a bitumen-lined tank
ed as early as the Vedic period and has continued to the
with steps leading into and out of it from either end, suggests
present.
not only the temple tanks of later Hinduism but the notion
V
of “crossing” associated with them through their Sanskrit
EDISM. The early sacred literature of Hinduism has the re-
trospective title of Veda (“knowledge”) and is also known as
name, t¯ırtha (“crossing place, ford”).
´sruti (“that which is heard”). Altogether it is a prodigious
A granary attached to the citadel may also have involved
body of literature, originally oral in character (thus “heard”),
high officials in ceremonial supervision of harvests and other
that evolved into its present form over nine or ten centuries
agricultural rituals. Terracotta female figurines with pedestal
between about 1400 and 400 BCE. In all, four types of texts
waists, found especially at village sites, reveal at least a popu-
fall under the Veda-´sruti heading: Sam:hita¯s, Bra¯haman:as,
lar cultic interest in fertility. They are probably linked with
A¯ran:yakas, and Upanis:ads. At the fount of all later elabora-
worship of a goddess under various aspects, for while some
tions are the four Sam:hita¯s (“collections”): the R:gveda
portray the figure in benign nurturing poses, others present
Sam:hita¯ (Veda of Chants, the oldest), the Sa¯maveda and Ya-
pinched and grim features that have been likened to grinning
jurveda Sam:hita¯s (Vedas of Melodies and Sacrificial Formu-
skulls: These are likely foreshadowings of the Hindu God-
las, together known as the “liturgical” Sam:hita¯s), and the
dess in her benign and destructive aspects.
Atharvaveda Sam:hita¯ (the youngest, named after the sage
Atharvan). These constitute the four Vedas, with some early
But most controversial are the depictions on the seals,
sources referring to the “three Vedas” exclusive of the last.
whose inscriptions remain undeciphered. Most prominently
The material of the four was probably complete by 1000 BCE,
figured are powerful male animals. They are often shown in
with younger parts of the older works overlapping older parts
cultic scenes, as before a sort of “sacred manger,” or being
of the younger ones chronologically. The Sam:hita¯s, or por-
led by a priestly ministrant before a figure (probably a deity
tions of them, were preserved by different priestly schools or
and possibly a goddess) in a peepul tree, one of the most ven-
“branches” (´sa¯kha¯s) through elaborate means of memoriza-
erated trees in Hinduism. Male animals also frequently figure
tion. Many of these schools died out and their branches be-
in combination with human males in composite animal-
came lost, but others survived to preserve material for literary
human forms. With female figures seemingly linked to the
compilation and redaction. The subsequent works in the cat-
Goddess and males associated with animal power, it has been
egories of Bra¯haman:a, A¯ran:yaka, and Upanis:ad are all linked
suggested that the two represent complementary aspects of
with one or another of the Vedic schools, and thus with a
a fertility cult with attendant sacrificial scenarios such as are
particular Vedic Sam:hita¯, so that they represent the further
found in the animal sacrifice to the Goddess in post-Vedic
literary output of the Vedic schools and also the interests of
Hinduism. In such sacrifices the Goddess requires male of-
the four types of priests who came to be associated differen-
ferings, and the animal represents the human male sacrificer.
tially with the ritual uses of the four Sam:hita¯s. It is from the
Most interesting and controver:s:ial in this connection is a fig-
R:gveda that Vedic religion in its earliest sense must be recon-
ure in a yogic posture who is depicted on three seals and a
structed.
faience sealing. Though features differ in the four portrayals,
the most fully defined one shows him seated on a dais with
Although the urban civilization of the Indus Valley had
an erect phallus. He has buffalo horns that enclose a treelike
run its course by the time of the arrival of the Aryans in about
miter headdress, possibly a caricatured buffalo face, wears
1500 BCE, the newcomers met heirs of this civilization in set-
bangles and necklaces or torques, and is surrounded by four
tled agricultural communities. The contrast between cultures
wild animals. Some of these associations (yoga, ithyphalli-
was striking to the Aryans, who described the indigenous
cism, lordship of animals) have suggested an identification
population as having darker skin, defending themselves from
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3990
HINDUISM
forts, having no gods or religious rituals but nonetheless wor-
atmosphere, and the sun in heaven), bestows vision through
shiping the phallus. As small stone phallic objects have been
“illumination” into the analogical connections and equiva-
found at Indus Valley sites, this is probably an accurate de-
lences that compose the r:ta (which is itself said to have a lu-
scription of a cult continued from pre-Vedic Indus Valley re-
minous nature). Soma, the extracted and purified juice of the
ligion that prefigures the later veneration of the lin˙ga (phal-
“plant of immortality,” possibly the hallucinogenic fly agaric
lus) in the worship of S´iva. In contrast to this predominantly
mushroom, yields a “purified” vision that is described as “en-
agricultural population, the invading Aryans were a mobile,
thused” or “intoxicated,” tremulous or vibrant, again sti-
warlike people, unattached to cities or specific locations, en-
mulating the inspiration for poetry. The Vedic poet (kavi,
tering Northwest India in tribal waves probably over a period
r:s:i, or vipra) was thus a “seeer,” or seer, who translated his
of several centuries. Moreover, their society inherited an or-
vision into speech, thus producing the sacred mantras, or
ganizing principle from its Indo-European past that was to
verse-prayers, that comprise the Vedic hymns. Vedic utter-
have great impact on later Indian civilization in the forma-
ance, itself hypostatized as the goddess Va¯c (Speech), is thus
tion of the caste system. The ideal arrangement, which myths
the crystallization of this vision.
and ritual formulas propounded and society was to reflect,
Vedic religion is decidedly polytheistic, there being far
called for three social “functions”: the priests, the warriors,
more than the so-called thirty-three gods, the number to
and the agriculturalist-stockbreeders. Early Vedic hymns al-
which they are sometimes reduced. Though the point is
ready speak of three such interacting social groups, plus a
controver:s:ial, for the sake of simplification one can say that
fourth—the indigenous population of da¯sa, or dasyu (literal-
at the core or “axis” of the pantheon there are certain deities
ly, “slaves,” first mythologized as demon foes of the Aryans
with clear Indo-European or at least Indo-Iranian back-
and their gods). By the time of the late R:gveda, these peoples
grounds: the liturgical gods Agni and Soma (cf. the Avestan
were recognized as a fourth “class” or “caste” in the total soci-
deity Haoma) and the deities who oversee the three “func-
ety and were known as ´su¯dras.
tions” on the cosmic scale: the cosmic sovereign gods Varun:a
Most crucial to the inspiration of the early Vedic reli-
and Mitra, the warrior god Indra, and the A´svins, twin horse-
gion, however, was the interaction between the first two
men concerned with pastoralism, among other things. Inter-
groups: the priesthood, organized around sacerdotal schools
secting this structure is an opposition of Indo-Iranian back-
maintained through family and clan lines, and a warrior
ground between devas and asuras. In the R:gveda both terms
component, originally led by chieftains of the mobile tribal
may refer to ranks among the gods, with asura being higher
communities but from the beginning concerned with an
and more primal. But asura also has the Vedic meaning of
ideal of kingship that soon took on more local forms. Where-
“demon,” which it retains in later Hinduism, so that the de-
as the priests served as repositories of sacred lore, poetry, ritu-
vaasura opposition also takes on dualistic overtones. Varun:a
al technique, and mystical speculation, the warriors served
is the asura par excellence, whereas Indra is the leader of the
as patrons of the rites and ceremonies of the priests and as
devas. These two deities are thus sometimes in opposition
sponsors of their poetry. These two groups, ideally comple-
and sometimes in complementary roles: Varun:a being the re-
mentary but often having rival interests, crystallized by late
mote overseer of the cosmic order (r:ta) and punisher of indi-
Vedic and Brahmanic times into distinct “classes”: the
vidual human sins that violate it; Indra being the dynamic
bra¯haman:as (priests) and the ks:atriyas (warriors).
creator and upholder of that order, leader of the perennial
fight against the collective demonic forces, both human and
Although the R:gveda alludes to numerous details of ritu-
divine, that oppose it. It is particularly his conquest of the
al that soon came to be systematized in the religion of the
asura Vr:tra (“encloser”)—whose name suggests ambiguous
Bra¯haman:as, it brings ritual into relief only secondarily. The
etymological connections with Varun:a—that creates order
primary focus of the 1,028 hymns of the R:gveda is on prais-
or being (sat, analogous to r:ta) out of chaos or nonbeing
ing the gods and the cosmic order (r:ta), which they protect.
(asat) and opens cosmic and earthly space for “freedom of
But insofar as the hymns invoke the gods to attend the sacri-
movement” (varivas) by gods and humans. Considerable at-
fice, there is abundant interest in two deities of essentially
tention is also devoted to three solar deities whose freedom
ritual character: Agni and Soma. Agni (Fire) is more specifi-
of movement, thus secured, is a manifestation of the r:ta, a
cally the god of the sacrificial fire who receives offerings to
prominent analogy for which is the solar wheel: Su¯rya and
the gods and conveys them heavenward through the smoke.
Savitr: (the Sun under different aspects) and Us:as (charming
And Soma is the divinized plant of “nondeath” (amr:ta), or
goddess of the dawn). Other highly significant deities are
immortality, whose juices are ritually extracted in the soma
Yama, god of the dead, and Va¯yu, god of wind and breath.
sacrifice, a central feature of many Vedic and Brahmanic rit-
It is often pointed out that the gods who become most im-
uals. These two gods, significantly close to humankind, are
portant in later Hinduism—Vis:n:u, S´iva (Vedic Rudra), and
mediators between humans and other gods. But they are es-
the Goddess—are statistically rather insignificant in the
pecially praised for their capacity to inspire in the poets the
Veda, for few hymns are devoted to them. But the content
special “vision” (dh¯ı) that stimulates the composition of the
rather than the quantity of the references hints at their signif-
Vedic hymns. Agni, who as a god of fire and light is present
icance. Vis:n:u’s centrality and cosmological ultimacy,
in the three Vedic worlds (as fire on earth, lightning in the
Rudra’s destructive power and outsiderhood, and the this-
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HINDUISM
3991
worldly dynamic aspects of several goddesses are traits that
monies, responsible for carrying out all the basic manual op-
assume great proportions in later characterizations of these
erations, even replacing the hotr: priest as pourer of oblations.
deities.
A fourth group of priests, the bra¯haman:as, then claimed affil-
iation with the Atharvaveda and assumed the responsibility
Although it is thus possible to outline certain structural
for overseeing the entire ritual performance of the other
and historical features that go into the makeup of the Vedic
priests and counteracting any of their mistakes (they were
pantheon, it is important to recognize that these are obscured
supposed to know the other three Vedas as well as their own)
by certain features of the hymns that arise from the type of
by silent recitation of mantras from the Atharvaveda. As spe-
religious “vision” that inspired them, and that provide the
cialization increased, each priest of these four main classes
basis for speculative and philosophical trends that emerge in
took on three main assistants.
the late Veda and continue into the early Brahmanic tradi-
tion. The hymns glorify the god they address in terms gener-
The Bra¯haman:as—expositions of brahman, the sacred
ally applicable to other gods (brilliance, power, beneficence,
power inherent in mantra and more specifically now in the
wisdom) and often endow him or her with mythical traits
ritual—are the outgrowth of the concerns of these distinctive
and actions particular to other gods (supporting heaven, pre-
priestly schools and the first articulation of their religion.
paring the sun’s path, slaying Vr:tra, and so on). Thus, while
Each class of priests developed its own Bra¯haman:as, the most
homologies and “connections” between the gods are envi-
important and comprehensive being the S´atapatha
sioned, essential distinctions between them are implicitly de-
Bra¯haman:a of one of the Yajurveda schools. The ritual sys-
nied. Speculation on what is essential—not only as concerns
tem was also further refined in additional manuals: the
the gods, but the ritual and the mantras that invoke them—is
S´rautasu¯tras, concerned with “solemn” rites, first described
thus initiated in the poetic process of the early hymns and
in the Bra¯haman:as and thus called ´srauta because of their
gains in urgency and refinement in late portions of the
provenance in these ´sruti texts, and the Gr:hyasu¯tras, con-
R:gveda and the subsequent “Vedic” speculative-
cerned with domestic rites (from gr:ha, “home”), justified by
philosophical literature that culminates in the Upanis:ads.
“tradition” (smr:ti) but still having much of Vedic origins.
Most important of these speculations historically were those
The S´rautasu¯tras were compiled over the period, roughly,
concerning the cosmogonic sacrifices of Purus:a in R:gveda
from the Bra¯haman:as to the Upanis:ads, and the Gr:hyasu¯tras
10.90 (the Purus:asu¯kta, accounting for, among other things,
were probably compiled during Upanis:adic times.
the origin of the four castes) and of Praja¯pati in the
Bra¯haman:as. Each must be discussed further. In addition,
The domestic rites take place at a single offering fire and
speculations on brahman as the power inherent in holy
usually involve offerings of only grain or ghee (clarified but-
speech and on the a¯tman (“self”) as the irreducible element
ter). Along with the maintenance of the household fire and
of personal experience are both traceable to Vedic writings
the performance of the so-called Five Great Sacrifices—to
(the latter to the Atharvaveda only). This article shall observe
brahman (in the form of Vedic recitation), to ancestors, to
the convergence of all these lines of speculation in the
gods, to other “beings,” and to humans (hospitality rites)—
Upanis:ads and classical Hinduism.
the most prominent gr:hya ceremonies are the sacraments or
life-cycle rites (sam:ska¯ras). Of these, the most important are
RELIGION OF THE BRA¯HAMAN:AS. The elaboration of Vedic
the rites of conception and birth of a male child; the Upanay-
religion into the sacrificial religion of the Bra¯haman:as is
ana, or “introduction,” of boys to a bra¯haman:a preceptor or
largely a result of systematization. The first indication of this
guru for initiation; marriage; and death by cremation
trend is the compilation of the liturgical Sam:hita¯s and the
(Antyes:t:i, “final offering”). The Upanayana, involving the
development of the distinctive priestly schools and interests
investiture of boys of the upper three social classes (varn:as)
that produced these compendiums. Thus, while the R:gveda
with a sacred thread, conferred on them the status of “twice-
became the province of the hotr: priest, the pourer of obla-
born” (dvija, a term first used in the Atharvaveda), and their
tions and invoker of gods through the mantras (the term
“second birth” permitted them to hear the Veda and thereby
hotr:, “pourer,” figures often in the R:gveda and has Indo-
participate in the ´srauta rites that, according to the emerging
Iranian origins), the newer collections developed around the
Brahmanic orthodoxy, would make it possible to obtain im-
concerns of specialist priests barely alluded to in the R:gveda
mortality.
and serving originally in subordinate ritual roles. The
Sa¯maveda was a collection of verses taken mostly from the
The ´srauta rites are more elaborate and are representa-
R:gveda, set to various melodies (sa¯mans) for use mainly in
tive of the sacrificial system in its full complexity, involving
the soma sacrifice, and sung primarily by the udga¯tr: priest,
ceremonies that lasted up to two years and enlisted as many
who thus came to surpass the hotr: as a specialist in the sound
as seventeen priests. Through the continued performance of
and articulation of the mantras. And the Yajurveda was a col-
daily, bimonthly, and seasonal ´srauta rites one gains the year,
lection of yajus, selected sacrificial mantras, again mostly
which is itself identified with the sacrificial life-death-
from the R:gveda, plus certain complete sentences, to be mur-
regeneration round and its divine personification, Praja¯pati.
mured by the adhvaryu priest, who concerned himself not
In surpassing the year by the Agnicayana, the “piling of the
so much with their sound as with their appropriateness in
fire altar,” one gains immortality and needs no more nourish-
the ritual, in which he became effectively the master of cere-
ment in the otherworld (see S´atapatha Bra¯haman:a 10.1.5.4).
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3992
HINDUISM
S´rauta rites required a sacrificial terrain near the home
tion (karman), a self constructed for the sacrificer by which
of the sacrificer (yajama¯na), with three sacred fires (repre-
he identifies with the immortal essence of Praja¯pati as the
senting, among other things, the three worlds) and an up-
sacrifice personified. And by the same token, the recurrent
raised altar, or ved¯ı. Nonanimal sacrifices of the first varieties
death (punarmr:tyu, “redeath”) of Praja¯pati’s transitory na-
mentioned involved offerings of milk and vegetable sub-
ture (the elements of the sacrifice that are assembled and dis-
stances or even of mantras. Animal sacrifices
assembled) figures in the Bra¯haman:as as the object to be
(pa´subandhu)—which required a more elaborate sacrificial
avoided for the sacrificer by the correct ritual performance.
area with a supplemental altar and a sacrificial stake
This Brahmanic concept of Praja¯pati’s redeath, along with
(yu¯pa¯)—entailed primarily the sacrifice of a goat. Five male
speculation on the ancestral gr:hya rites (´sra¯ddhas) focused on
animals—man, horse, bull, ram, and goat—are declared suit-
feeding deceased relatives to sustain them in the afterlife,
able for sacrifice. It is likely, however, that human sacrifice
must have been factors in the thinking that gave rise to the
existed only on the “ideal” plane, where it was personified
Upanis:adic concept of reincarnation (punarjanman, “re-
in the cosmic sacrifices of Purus:a and Praja¯pati. The animal
birth”). The emphasis on the morbid and transitory aspects
(pa´su) was to be immolated by strangulation, and its omen-
of Praja¯pati and the sacrifice, and the insistence that asceti-
tum, rich in fat, offered into the fire. Soma sacrifices, which
cism within the sacrifice is the main means to overcome
would normally incorporate animal sacrifices within them
them, are most vigorously propounded in connection with
plus a vast number of other subrites, involved the pressing
the Agnicayana.
and offering of soma. The most basic of these was the annual
In the Bra¯haman:as’ recasting of the primal once-and
Agnis:t:oma, “in praise of Agni,” a four-day rite culminating
for-all sacrifice of Purus:a into the recurrent life-death-
in morning, afternoon, and evening soma pressings on the
regeneration mythology of Praja¯pati, a different theology was
final day and including two goat sacrifices. Three of the most
introduced. Though sometimes Purus:a was identified with
ambitious soma sacrifices were royal rites: the A´svamedha,
Praja¯pati, the latter, bound to the round of creation and de-
the horse sacrifice; the Ra¯jasu¯ya, royal consecration; and the
struction, became the prototype for the classical god Brahma¯,
Va¯japeya, a soma sacrifice of the “drink of strength.” But the
personification of the Absolute (brahman) as it is oriented to-
most complex of all was the aforementioned Agnicayana.
ward the world. The concept of a transcendent Purus:a, how-
A thread that runs through most ´srauta rituals, however,
ever, was not forgotten in the Bra¯haman:as. S´atapatha
is that they must begin with the “faith” or “confidence”
Bra¯haman:a 13.6 mentions Purus:a-Na¯ra¯yan:a, a being who
(´sra¯ddha) of the sacrificer in the efficacy of the rite and the
seeks to surpass all others through sacrifice and thereby be-
capacity of the officiating priests to perform it correctly. This
come the universe. In classical Hinduism, Na¯ra¯yan:a and
prepares the sacrificer for the consecration (d¯ıks:a¯) in which,
Purus:a are both names for Vis:n:u as the supreme divinity.
through acts of asceticism (tapas), he takes on the aspect of
This Bra¯haman:a passage neither authorizes nor disallows an
identification with Vis:n:u, but other Bra¯haman:a passages
an embryo to be reborn through the rite. As d¯ıks:ita (one un-
leave no doubt that sacrificial formulations have given Vis:n:u
dergoing the d¯ıks:a¯), he makes an offering of himself (his
and Rudra-S´iva a new status. Whereas the Bra¯haman:as re-
a¯tman). This then prepares him to make the sacrificial offer-
peatedly assert that “Vis:n:u is the sacrifice”— principally in
ing proper (the yajña, “sacrifice”) as a means to redeem or
terms of the organization of sacrificial space that is brought
ransom this self by the substance (animal or otherwise) of-
about through Vis:n:u’s three steps through the cosmos, and
fered. Then, rever:s:ing the concentration of power that he has
his promotion of the order and prosperity that thus accrue—
amassed in the d¯ıks:a¯, he disperses wealth in the form of
they portray Rudra as the essential outsider to this sacrificial
daks:ina¯s (honoraria) to the priests. Finally, the rite is disas-
order, the one who neutralizes the impure forces that threat-
sembled (the ritual analogue to the repeated death of
en it from outside as well as the violence that is inherent
Praja¯pati before his reconstitution in another rite), and the
within. Biardeau (1976) has been able to show that the later
sacrificer and his wife bathe to disengage themselves from the
elevation of Vis:n:u and S´iva through yoga and bhakti is root-
sacrifice and reenter the profane world.
ed in oppositional complementarities first formulated in the
In the elaboration of such ceremonies and the specula-
context of the Brahmanic sacrifice.
tive explanation of them in the Bra¯haman:as, the earlier Vedic
THE UPANIS:ADS. Several trends contributed to the emer-
religion seems to have been much altered. In the religion of
gence of the Upanis:adic outlook. Earlier speculations on the
the Bra¯haman:as, the priests, as “those who know thus”
irreducible essence of the cosmos, the sacrifice, and individu-
(evamvids), view themselves as more powerful than the gods.
al experience have been mentioned. Pre-Upanis:adic texts also
Meanwhile, the gods and the demons (asuras) are reduced
refer to various forms of asceticism as performed by types of
to representing in their endless conflicts the recurrent inter-
people who in one way or another rejected or inverted con-
play between agonistic forces in the sacrifice. It is their father,
ventional social norms: the Vedic muni, vra¯tya, and
Praja¯pati, who crystallizes the concerns of Brahmanic
brahmaca¯rin, to each of whom is ascribed ecstatic capacities,
thought by representing the sacrifice in all its aspects and
and, at the very heart of the Brahmanic sacrifice, the d¯ıks:ita
processes. Most notable of these is the notion of the assembly
(the sacrificer who performs tapas while undergoing the
or fabrication of an immortal self (a¯tman) through ritual ac-
d¯ıks:a¯, or consecration). These speculative and ascetic trends
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HINDUISM
3993
all make contributions to a class of texts generally regarded
the oneness of a¯tman-brahman, a connection knowable only
as intermediary between the Bra¯haman:as and Upanis:ads: the
in the context of communication from guru to disciple.
A¯ran:yakas, or “Forest Books.” The A¯ran:yakas do not differ
(Herein can be seen the basis of the parable context and
markedly from the works that precede and succeed them (the
vivid, immediate imagery of many Upanis:adic teachings.)
Br:hada¯ran:yaka Upanis:ad is both an A¯ran:yaka and an
The experience thus achieved is variously described as one
Upanis:ad), but their transitional character is marked by a
of unified consciousness, fearlessness, bliss, and tranquillity.
shift in the sacrificial setting from domestic surroundings to
Beyond these common themes, however, and despite
the forest and a focus not so much on the details of ritual
the fact that Upanis:adic thought is resistant to systematiza-
as on its interiorization and universalization. Sacrifice, for in-
tion, certain different strains can be identified. Of the thir-
stance, is likened to the alternation that takes place between
teen Upanis:ads usually counted as ´sruti, the earliest (c. 700–
breathing and speaking. Thus correspondences are estab-
500
lished between aspects of sacrifice and the life continuum of
BCE) are those in prose, headed by the Br:hada¯ran:yaka
the meditator.
and the Cha¯ndogya. Generally, it may be said that these
Upanis:ads introduce the formulations that later Hinduism
An upanis:ad is literally a mystical—often “secret”—
will develop into the sam:nya¯sa ideal of renunciation (not yet
“connection,” interpreted as the teaching of mystical homol-
defined in the Upanis:ads as a fourth stage of life) and the
ogies. Or, in a more conventional etymology, it is the “sitting
knowledge-path outlook of nondualistic (advaita) Veda¯nta.
down” of a disciple “near to” (upa, “near”; ni, “down”; sad,
Even within these early Upanis:ads, two approaches to real-
“sit”) his spiritual master, or guru. Each Upanis:ad reflects the
ization can be distinguished. One refers to an all-excluding
Vedic orientation of its priestly school. There are also region-
Absolute; the self that is identified with brahman, character-
al orientations, for Upanis:adic geography registers the fur-
ized as neti neti (“not this, not this”), is reached through a
ther eastern settlement of the Vedic tradition into areas of
paring away of the psychomental continuum and its links
the Ganges Basin. But the Upanis:ads do share certain funda-
with karman. Such an approach dominates the Br:hada¯-
mental points of outlook that are more basic than their dif-
ran:yaka Upanis:ad. Avidya¯ here results from regarding the
ferences. Vedic polytheism is demythologized, for all gods
name and form of things as real and forming attachment to
are reducible to one. Brahmanic ritualism is reassessed and
them. The other approach involves an all-comprehensive Ab-
its understanding of ritual action (karman) thoroughly rein-
solute, brahman-a¯tman, which penetrates the world so that
terpreted. Karman can no longer be regarded as a positive
all forms are modifications of the one; ignorance results from
means to the constitution of a permanent self. Rather, it is
the failure to experience this immediacy. In the Cha¯ndogya
ultimately negative: “the world that is won by work (kar-
Upanis:ad this second approach is epitomized in the persis-
man)” and “the world that is won by merit (pun:ya)” only per-
tent formula “Tat tvam asi” (“That thou art”).
ish (Cha¯ndogya Upanis:ad 8.1.6). The “law of karma” (kar-
man) or “law of causality” represents a strict and universal
The later Vedic Upanis:ads (c. 600–400 BCE) register the
cause-effect continuum that affects any action that is moti-
first impact of theistic devotional formulations, and of early
vated by desire (ka¯ma), whether it be desire for good or for
Sa¯m:khya and Yoga. Most important of these historically are
ill. Thus even meritorious actions that lead to the Vedic
two “yogic” Upanis:ads, the S´veta¯´svatara and the Kat:ha, the
heaven “perish,” leaving a momentum that carries the indi-
first focused on Rudra-S´iva and the second on Vis:n:u. Each
vidual to additional births or reincarnations. The result is
incorporates into its terminology for the absolute deity the
perpetual bondage to the universal flow-continuum of all
earlier term purus:a. As Biardeau has shown in L’hindouisme
karman, or sam:´sara (from sam:, “together” and sr:, “flow”), a
(1981), they thus draw on an alternate term for the Absolute
term that the Upanis:ads introduce into the Vedic tradition
from that made current in the brahman-a¯tman equation. The
but that is shared with Jainism and Buddhism. As with these
Purus:a of R:gveda 10.90 (the Purus:asu¯kta) is sacrificed to
religions, the Upanis:ads and Hinduism henceforth conceive
create the ordered and integrated sociocosmic world of Vedic
their soteriological goal as liberation from this cycle of
man. But only one quarter of this Purus:a is “all beings”; three
sam:´sara: that is, moks:a or mukti (“release”).
quarters are “the immortal in heaven” (RV 10.90.3). This
transcendent aspect of Purus:a, and also a certain “personal”
Moks:a cannot be achieved by action alone, because ac-
dimension, are traits that were retained in the characteriza-
tion only leads to further action. Thus, though ritual action
tion of Purus:a-Na¯ra¯yan:a in the S´atapatha Bra¯haman:a and re-
is not generally rejected and is often still encouraged in the
inforced in the yogic characterizations of Rudra-S´iva and
Upanis:ads, it can only be subordinated to pursuit of the
Vis:n:u in the previously mentioned Upanis:ads. The
higher moks:a ideal. Rather, the new emphasis is on knowl-
Upanis:adic texts do not restrict the usage of the term Purus:a
edge (vidya¯, jña¯na) and the overcoming of ignorance
to mean “soul,” as classical Sa¯m:khya later does; rather, it is
(avidya¯). The knowledge sought, however, is not that of ritu-
used to refer to both the soul and the supreme divinity. The
al technique or even of ritual-based homologies, but a grasp-
relation between the soul and the Absolute is thus doubly de-
able, revelatory, and experiential knowledge of the self as one
fined: on the one hand as a¯tman-brahman, on the other as
with ultimate reality. In the early Upanis:ads this experience
purus:a-Purus:a. In the latter case, the Kat:ha Upanis:ad de-
is formulated as the realization of the ultimate “connection,”
scribes a spiritual itinerary of the soul’s ascent through yogic
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3994
HINDUISM
states to the supreme Purus:a, Vis:n:u. This synthesis of yoga
only datings of texts, but especially of religious movements
and bhakti will be carried forward into the devotional formu-
and processes reflected in them, and in surviving inscrip-
lations of the epics and the Pura¯n:as. But one must note that
tions. Most scholars ordinarily assume that when a process
the two vocabularies are used concurrently and interrelatedly
is referred to in a text or other document, it has gone on for
in the Upanis:ads, as they will be in the later bhakti formula-
some time.
tions.
S´ruti and smr:ti. Fundamental to the self-definition of
THE CONSOLIDATION OF CLASSICAL HINDUISM. A period
Hinduism during this period of its consolidation is the dis-
of consolidation, sometimes identified as one of “Hindu syn-
tinction it makes between two classes of its literature: ´sruti
thesis,” “Brahmanic synthesis,” or “orthodox synthesis,”
and smr:ti. S´ruti is “what is heard,” and refers to the whole
takes place between the time of the late Vedic Upanis:ads (c.
corpus of Vedic literature (also called Veda) from the four
500 BCE) and the period of Gupta imperial ascendancy (c.
Vedas to the Upanis:ads. Smr:ti, “what is remembered” or
320–467 CE). Discussion of this consolidation, however, is
“tradition,” includes all that falls outside this literature. Ex-
initially complicated by a lack of historiographical categories
actly when this distinction was made is not certain, but it is
adequate to the task of integrating the diverse textual, in-
noteworthy that the six Veda¯n˙gas or “limbs of the Veda”
scriptional, and archaeological data of this long formative pe-
(writings on phonetics, metrics, grammar, etymology, as-
riod. The attempt to cover as much of this span as possible
tronomy, and ritual) are smr:ti texts that were composed at
with the name “epic period,” because it coincides with the
least in part during the latter half of the Vedic or ´sruti period.
dates that are usually assigned to the formation and comple-
The ritual texts (Kalpasu¯tras) are subdivided into three cate-
tion of the Hindu epics (particularly the Maha¯bha¯rata), is
gories: S´rautasu¯tras, Gr:hyasu¯tras, and Dharmasu¯tras.
misleading, because so much of what transpires can hardly
Whereas the first two (discussed above under Brahmanic rit-
be labeled “epic.” On the other hand, attempts to define the
ual) pertain to concerns developed in the Vedic period, the
period in terms of heterogeneous forces operating upon Hin-
Dharmasu¯tras focus on issues of law (dharma) that become
duism from within (assimilation of local deities and cults,
characteristic of the period now under discussion. Dates
geographical spread) and without (heterodox and foreign
given for the composition of these texts run from 600 to 300
challenges) either have failed to register or have misrepre-
BCE for the earliest (Gautama Dharmasu
¯tra) to 400 CE for the
sented the implications of the apparent fact that the epics
more recent works. Both Gr:hyasu¯tras and Dharmasu¯tras
were “works in progress” during the whole period. The view
were sometimes called Sma¯rtasu¯tras (i.e., su¯tras based on
one takes of the epics is, in fact, crucial for the interpretation
smr:ti), so it seems that their authors regarded them as repre-
of Hinduism during this period. Here, assuming that the
sentative of the prolongation of Vedic orthodoxy (and ortho-
epics already incorporated a bhakti cosmology and theology
praxy) that the smr:ti category was designed to achieve. As the
from an early point in this formative period, this article shall
term smr:ti was extended in its use, however, it also came
try to place them in relation to other works and formulations
to cover numerous other texts composed in the post-
that contributed to the consolidation of classical Hinduism.
Upanis:adic period.
The overall history can be broken down into four peri-
This ´sruti/smr:ti distinction thus marks off the earlier lit-
ods characterized by an oscillation from disunity (rival re-
erature as a unique corpus that, once the distinction was
gional kingdoms and tribal confederacies on the Ganges
made, was retrospectively sanctified. By the time of the
Plain) to unity (Mauryan ascendancy, c. 324–184 BCE, in-
Mana¯va Dharma´sa¯stra, or Laws of Manu (c. 200 BCE–100
cluding the imperial patronage of Buddhism by A´soka) to
CE; see Manu 1.23), and probably before this, ´sruti had come
disunity (rival foreign kingdoms in Northwest India and re-
to be regarded as “eternal.” Its components were thus not
gional kingdoms elsewhere) back to unity (Gupta ascendan-
works of history. The Vedic r:s:is had “heard” truths that are
cy, c. 320–467 CE). The emerging self-definitions of Hindu-
eternal, and not only in content—the words of the Vedas are
ism were forged in the context of continued interaction with
stated to have eternal connection with their meanings—but
heterodox religions (Buddhists, Jains, A¯j¯ıvikas) throughout
also in form. The works thus bear no stamp of the r:s:is’ indi-
this whole period, and with foreign peoples (Yavanas, or
viduality. Such thinking crystallized in the further doctrine
Greeks; S´akas, or Scythians; Pahlavas, or Parthians; and
that the Vedas (i.e., ´sruti) are apaurus:eya, not of personal au-
Ku¯s:a¯n:as, or Kushans) from the third phase on. In this cli-
thorship (literally, “not by a purus:a”). They thus have no
mate the ideal of centralized Hindu rule attained no practical
human imperfection. Further, it was argued that they are
realization until the rise of the Guptas. That this ideal pre-
even beyond the authorship of a divine “person” (Purus:a).
ceded its realization is evident in the rituals of royal para-
Though myths of the period assert that the Vedas spring
mountcy (A´svamedha and Ra¯jasu¯ya) that were set out in the
from Brahma¯ at the beginning of each creation (as the three
Bra¯haman:as and the S´rautasu¯tras, and actually performed by
Vedas spring from Purus:a in the Purus:asu¯kta), the deity is
post-Mauryan regional Hindu kings.
not their author. Merely reborn with him, they are a self-
When one looks to the component facets of the overall
revelation of the impersonal brahman. In contrast to ´sruti,
consolidation, these four periods must be kept in mind, but
smr:ti texts were seen as historical or “traditional,” passed on
with the proviso that datings continue to be problematic: not
by “memory” (smr:ti), and as works of individual authors
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HINDUISM
3995
(paurus:eya), even though mythical authors—both human
incur:s:ions of barbarian peoples—frequently named in these
and divine—often had to be invented for them.
texts as mlecchas (those who “jabber”)—into the Northwest.
The model involves the working out of the correlations be-
Smr:ti texts of this period thus proclaim the authority of
tween two ideals: first, that society conform to four hierarchi-
the Veda in many ways, and nonrejection of the Veda comes
cal castes, and second, that a person should pass through four
to be one of the most important touchstones for defining
life stages (a¯´sramas): student (brahmaca¯rin), householder
Hinduism over and against the heterodoxies, which rejected
(gr:hasthin), forest dweller (va¯naprasthin), and renunciant
the Veda. In fact, it is quite likely that the doctrines of the
(sam:nya¯sin). The first ideal is rooted in the Purus:asu¯kta. The
eternality and impersonality of the Veda were in part de-
second presupposes the ´sruti corpus, because the four life
signed to assert the superiority of the Veda over the “au-
stages are correlated with the four classes of ´sruti texts. Thus
thored” and “historical” works of the heterodoxies, whose
teachings would thus be on a par with smr:ti rather than ´sruti.
the student learns one of the Vedas, the householder per-
But it is also likely that the apaurus:eya doctrine is designed
forms domestic and optimally also ´srauta rituals of the
to relativize the “personal” god of bhakti. In any case, these
Bra¯haman:as, the forest dweller follows the teachings of the
doctrines served to place a considerable ideological distance
A¯ran:yakas, and the sam:nya¯sin follows a path of renunciation
between ´sruti and smr:ti, and to allow smr:ti authors great lati-
toward the Upanis:adic goal of moks:a. But although all the
tude in interpreting ´sruti and extending Hindu teachings
life stages are either mentioned (as are the first two) or im-
into new areas. Smr:ti thus supposedly functioned to clarify
plied in the ´sruti corpus, the theory that they should govern
the obscurities of the Veda. But the claim that smr:ti texts
the ideal course of individual life is new to the Dharmasu¯tras.
need only not contradict the Veda left their authors great
Together, the varn:a and a¯´srama ideals take on tremendous
freedom in pursuing new formulations.
complexity, because a person’s duties vary according to caste
and stage of life, not to mention other factors like sex, family,
Varn:a¯´sramadharma (“caste and life-stage law”). The
region, and the quality of the times. Also, whereas a person’s
most representative corpus of smr:ti literature, and the most
development through one life ideally is regulated by the
closely tied to the continued unfolding orthodox interests of
a¯´srama ideal, the passage through many reincarnations
the Vedic priestly schools, is that concerned with dharma
would involve birth into different castes, the caste of one’s
(“law” or “duty”). As a literary corpus, it consists of two
birth being the result of previous karman. A further implica-
kinds of texts: the Dharmasu¯tras (600/300 BCE–400 CE), al-
tion is that the life stages can be properly pursued only by
ready mentioned in connection with the ´sruti/smr:ti distinc-
male members of the three twice-born varn:as, as they alone
tion, and the Dharma´sa¯stras. The most important and earli-
can undergo the Upanayana ritual that begins the student
est of the latter are the Ma¯nava Dharma´sa¯stra, or Laws of
stage and allows the performance of the rites pertinent to suc-
Manu (c. 200 BCE–100 CE), and the Ya¯jñavalkya Smr:ti (c.
ceeding stages.
100–300 CE). But other Dharma´sa¯stras were composed late
into the first millennium, to be followed by important com-
Each of these formulations has per:s:isted more on the
mentaries on all such texts. The main focus of these two
ideal plane than the real. In the case of the four a¯´sramas,
classes of texts is fundamentally identical: the articulation of
most people never went beyond the householder stage, which
norms for all forms of social interaction, thus including but
the Su¯tras and S´a¯stras actually exalt as the most important
going far beyond the earlier Su¯tras’ concern for ritual. Four
of the four, because it is the support of the other three and,
differences, however, are noteworthy: (1) Whereas the
in more general terms, the mainstay of the society. The for-
Dharmasu¯tras are in prose, the Dharma´sa¯stras are in the
est-dweller stage may soon have become more legendary than
same poetic meter as the epics, Manu in particular having
real: In epic stories it was projected onto the Vedic r:s:is. The
much material in common with the Maha¯bha¯rata. (2)
main tension, however, that per:s:ists in orthodox Hinduism
Whereas the Su¯tras are still linked with the Vedic schools,
is that between the householder and the renunciant, the chal-
the S´a¯stras are not, showing that study and teaching of dhar-
lenge being for anyone to integrate into one lifetime these
ma had come to be an independent discipline of its own. (3)
two ideals, which the heterodoxies set out for separate lay and
The S´a¯stra legislation is more extended and comprehensive.
monastic communities.
(4) The S´a¯stras are more integrated into a mythic and cosmo-
As to the four varn:as, the ideal represents society as
logical vision akin to that in bhakti texts, but usually ignoring
working to the reciprocal advantage of all the castes, each one
bhakti as such, with references to duties appropriate to differ-
having duties necessary to the proper functioning of the
ent yugas (ages), and the identification of north central India
whole and the perpetuation of the hierarchical principle that
as the “middle region” (madhyade´sa) where the dharma is
defines the whole. Thus Bra¯haman:as are at the top, distin-
(and is to be kept) the purest.
guished by three duties that they share with no other caste:
The theory of varn:a¯´sramadharma, the law of castes and
teaching the Veda, assisting in sacrifice, and accepting gifts.
life stages, was worked out in these texts as a model for the
They are said to have no king but Soma, god of the sacrifice.
whole of Hindu society. There is little doubt that it was stim-
In actual fact the traditional ´srauta sacrifice counted for less
ulated by the alternate lay/monastic social models of the het-
and less in the bra¯haman:a householder life, and increasing
erodoxies, and no doubt that it was spurred on by the
attention was given to the maintenance of bra¯haman:a purity
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3996
HINDUISM
for the purpose of domestic and eventually temple rituals
cribed to other “barbarians”) and the can:d:a¯las (lowest of the
that, in effect, universalized sacrifice as the bra¯haman:a’s
low, mentioned already in the Upanis:ads, and early Buddhist
dharma, but a sacrifice that required only the minimum of
literature, as a “fifth caste” of untouchables) from the pollut-
impure violence. This quest for purity was reinforced by
ing contact of ´su¯dra males and bra¯haman:a females. It should
bra¯haman:as’ adoption into their householder life of aspects
be noted that a major implication of the prohibition of pra-
of the sam:nya¯sa ideal of renunciation. This was focused espe-
tiloma marriage is the limitation for bra¯haman:a women to
cially on increasing espousal of the doctrine of ahim:sa¯ (non-
marriages with only bra¯haman:a men. This established at the
violence, or, more literally, “not desiring to kill”) and was ap-
highest rank an association of caste purity with caste endoga-
plied practically to vegetarianism, which becomes during this
my (and the purity of a caste’s women) and thus initiated an
period the bra¯haman:a norm. Bra¯haman:as thus retain higher
endogamous standard that was adopted by all castes—not
rank than ks:atriyas, even though the latter wield temporal
just varn:as but ja¯tis—by the end of the first millennium.
power (ks:atra) and have the specific and potentially impure
duties of bearing weapons and protecting and punishing
This accounting of the emergence of ja¯tis was integrated
with the royal staff (dan:d:a). The subordination of king to
with further explanations of how society had departed from
bra¯haman:a involves a subordination of power to hierarchy
its ideal. One is that “mixing of caste”—the great abomina-
that is duplicated in contemporary rural and regional terms
tion of the dharma texts and also of the Bhagavad-
in the practice of ranking bra¯haman:as above locally domi-
g¯ıta¯—increases with the decline of dharma from yuga to
nant castes whose power lies in their landed wealth and num-
yuga, and is especially pernicious in this Kali age. Another
bers. Vai´syas have the duties of stock breeding, agriculture,
is the doctrine of a¯pad dharma, “duties for times of distress”
and commerce (including money lending). Certain duties
such as permit inversion of caste roles when life is threatened.
then distinguished the three twice-born castes as a group
A third doctrine developed in the Dharma´sa¯stras identifies
from the ´su¯dras. All three upper varn:as thus study the Veda,
certain duties (kalivarjyas) as once allowed but now prohibit-
perform sacrifices, and make gifts, whereas ´su¯dras are permit-
ed in the kaliyuga because people are no longer capable of
ted only lesser sacrifices (pa¯kayajñas) and simplified domestic
performing them purely. Through all this, however, the ideal
rituals that do not require Vedic recitation.
per:s:ists as one that embraces a whole society despite varia-
tions over time and space.
Actual conditions, however, were (and still are) much
more complex. The four-varn:a model provided the authors
The four purus:a¯rthas (goals of humankind). The the-
of the dharma texts with Vedic “categories” within which to
ory that the integrated life involves the pursuit of four goals
assign a basically unlimited variety of heterogeneous social
(arthas) is first presented in the Dharma´sa¯stras and the epics,
entities including indigenous tribes, barbarian invaders, arti-
in the latter cases through repeated narrative illustrations.
san communities and guilds (´sren:is), and specialists in vari-
The development of distinctive technical interpretations of
ous services. Susceptible to further refinement in ranking and
each artha, or facets thereof, can also be followed during the
regional nomenclature, all such groups were called ja¯tis, a
period in separate manuals: the Artha´sa¯stra, a manual on
term meaning “birth” and in functional terms the proper
statecraft attributed to Candragupta Maurya’s minister
word to be translated “caste.” Thus, although they are fre-
Kaut:ilya but probably dating from several centuries later, on
quently called subcastes, the ja¯tis are the castes proper that
artha (in the sense now of “material pursuits”); the
the law books classified into the “categories” of varn:a.
Ka¯masu¯tras, most notably that of Va¯tsya¯yana (c. 400 CE), on
ka¯ma (“love, desire”); the already discussed Dharmasu¯tras
To account for this proliferation of ja¯tis, the authors as-
and Dharma´sa¯stras on dharma; and the Su¯tras of the “philo-
serted that they arose from cross-breeding of the varn:as. Two
sophical schools” (dar´sanas) insofar as they are concerned
possibilities were thus presented: anuloma (“with the grain”)
with the fourth goal, moks:a. Early sources often refer to the
unions, in which the husband’s varn:a was the same as his
first three goals as the trivarga, the “three categories,” but this
wife’s or higher (in anthropological terms, hypergamous, in
need not imply that the fourth goal is added later. The
which women are “married up”), and pratiloma (“against the
Dharma´sa¯stra and epic texts that mention the trivarga are fo-
grain”) unions, in which the wife’s varn:a would be higher
cused on the concerns of the householder—and, in the epics,
than the husband’s (hypogamous, in which women are “mar-
particularly of the royal householder—these being the con-
ried down”). Endogamous marriage (marriage within one’s
text for the pursuit of the trivarga. The fourth goal, moks:a,
own varn:a) set the highest standard and was according to
is to be pursued throughout life—indeed, throughout all
some authorities the only true marriage. But of the other
lives—but is especially the goal of those who have entered
two, whereas anuloma marriages were permitted, pratiloma
the fourth life stage of the sam:nya¯sin. The trivarga-moks:a op-
unions brought disgrace. Thus the ja¯tis supposedly born
position thus replicates the householder-renunciant opposi-
from anuloma unions were less disgraced than those born
tion. But the overall purpose of the purus:a¯rtha formulation
from pratiloma unions. Significantly, two of the most prob-
is integrative and complementary to the varn:a¯´sramadharma
lematic ja¯tis were said to have been born from the most de-
theory. From the angle of the householder, it is dharma that
based pratiloma connections: the Yavanas (Greeks) from
integrates the trivarga as a basis for moks:a. But from the angle
´su¯dra males and ks:atriya females (similar origins were as-
of the sam:nya¯sin, it is ka¯ma that lies at the root of the trivar-
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ga, representing attachment in all forms, even to dharma.
sis of various Upanis:adic passages in aphoristic style easily
Paths to liberation will thus focus on detachment from de-
susceptible to divergent interpretations. These it received in
sire, or its transformation into love of God.
the hands of later Vedantic thinkers.
Philosophical “viewpoints” (dar´sanas) and paths to
The haituka schools are notable for their development,
salvation. As an expression of Hinduism’s increasing con-
for the first time within Hinduism, of what may be called
cern to systematize its teachings, the fourth goal of life
maps and paths: that is, maps of the constituent features of
(moks:a) was made the subject of efforts to develop distinctly
the cosmos, and paths to deliverance from bondage. Emerg-
Hindu philosophical “viewpoints” (dar´sanas, from the root
ing within Hindusim at this period, and particularly in the
dr:´s, “see”) on the nature of reality and to recommend paths
schools least affiliated with the Vedic tradition, such con-
to its apprehension and the release from bondage to karman.
cerns no doubt represent an effort to counter the prolifera-
Six Hindu dar´sanas were defined, and during the period in
tion of maps and paths set forth by the heterodoxies (not
question each produced fundamental texts—in most cases
only Buddhism and Jainism, but the A¯j¯ıvikas). They allow
su¯tras—that served as the bases for later commentaries.
for a somewhat more open recognition of the deity of bhakti
In terms of mainstream developments within Hindu-
(Sa¯m:khya excepted) than do the sma¯rta schools, though
ism, only two schools have ongoing continuity into the pres-
none of the haituka schools makes it truly central.
ent: the M¯ıma¯m:sa¯ and the Veda¯nta. And of these, only the
Nya¯ya and Vai´ses:ika, systems first propounded in Gau-
latter has unfolded in important ways in the postsynthesis
tama’s Nya¯ya Su¯tra (c. 200 BCE–150 CE) and Kan:a¯da’s
period. Nonetheless, all six have made important contribu-
Vai´ses:ika Su¯tra (c. 200 BCE–100 CE), were quickly recog-
tions to later Hinduism. It must thus suffice to discuss them
nized as a hyphenated pair: Nya¯ya-Vai´ses:ika. Nya¯ya (“rule,
all briefly at this point in terms of their basic features and
logic, analysis”), emphasizing logic and methods of argumen-
major impact, and reserve fuller discussion of the Veda¯nta
tation as means to liberation, was viewed as complementary
alone for the period of its later unfolding.
to Vai´ses:ika (“school of distinct characteristics”), which ad-
Of the six schools, two—M¯ıma¯m:sa¯ and Veda¯nta—are
vanced a theory of atomism and posited seven categories to
rooted primarily in the Vedic ´sruti tradition and are thus
explain such things as atomic aggregation and dualistic dis-
sometimes called sma¯rta schools in the sense that they devel-
tinction between soul and matter. At least by about the fifth
op sma¯rta orthodox currents of thought that are based, like
century, when the two schools had conjoined, Nya¯ya logic
smr:ti, directly on ´sruti. The other four—Nya¯ya, Vai´ses:ika,
and Vai´ses:ika cosmology served to provide influential argu-
Sa¯m:khya, and Yoga—claim loyalty to the Veda, yet are quite
ments from design for the existence of God as the efficient
independent of it, their focus instead being on rational or
cause of the creation and destruction of the universe and lib-
causal explanation. They are thus sometimes called haituka
erator of the soul from karman.
schools (from hetu, “cause, reason”).
Far more influential, however, were the pair Sa¯m:khya
Of the sma¯rta schools, the M¯ıma¯m:sa¯ is most concerned
(“enumeration”) and Yoga. The foundational texts of these
with ritual traditions rooted in the Vedas and the
schools may be later than those of the others, but they are
Bra¯haman:as, whereas the Veda¯nta is focused on the
clearly distillations of long-continuing traditions, datable at
Upanis:ads. It is notable that both sustain Vedic orientations
least to the middle Upanis:ads, that had already undergone
that reject (M¯ıma¯m:sa¯) or subordinate (Veda¯nta) bhakti until
considerable systematization. Thus Patañjali’s Yoga Su¯tra is
the Veda¯nta is devotionalized in its post-S´an˙kara forms. Be-
from either about 200 BCE or 300–500 CE, depending on
ginning with Jaimini’s M¯ıma¯m:sa¯ Su¯tra (c. 300–100 BCE),
whether or not one identifies the author with the grammari-
M¯ıma¯m:sa¯ (“reflection, interpretation”) provides exegesis of
an who lived at the earlier date. And ¯I´svarakr:s:n:a’s
Vedic injunctive speech, in particular as it concerns the rela-
Sa¯m:khyaka¯rika¯s probably date from the fourth century CE.
tionship between intentions and rewards of sacrifice. Great
Even though Sa¯m:khya’s “atheism” and its soteriology of the
refinement is brought to bear on issues relating to the author-
isolation (kaivalya) of the soul (purus:a) from matter (prakr:ti)
ity and eternalness of the Veda and the relationship between
have been modified or rejected in other forms of Hinduism
its sounds, words, and meanings. Vedic injunctions are taken
(both doctrines may link Sa¯m:khya with Jainism), Sa¯m:khya’s
literally, the many Vedic gods are seen as real although super-
cosmology and basic terminology have become definitive for
fluous to salvation (there is an anti-bhakti stance here), and
Hinduism at many levels: not only in the Veda¯nta, but in
it is maintained that the proper use of injunctions is alone
bhakti and Tantric formulations as well. In fact, given the
enough to secure the attainment of heaven (not a higher re-
preclassical forms of theistic Sa¯m:khya founded in the
lease, or moks:a, as propounded by all the other systems, in-
Upanis:ads and the Maha¯bha¯rata and their use in bhakti cos-
cluding bhakti). M¯ıma¯m:sa¯ persists in two subschools, but
mologies, it may well be that the atheism of the classical
only in small numbers among brahman ritualists.
Sa¯m:khya results from a rejection of bhakti elements from a
As to the Veda¯nta (“end of the Veda,” a term also used
fundamentally theistic system. Sa¯m:khya thus posits purus:a
for the Upanis:ads), the foundational work is Ba¯dara¯yan:a’s
without a transcendent, divine Purus:a, and its prakr:ti is also
Veda¯nta Su¯tra, or Brahma Su¯tra (c. 300–100 BCE), an exege-
abstract and impersonal.
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In any case, a number of Sa¯m:khya concepts became
on the emergence of bhakti during this period have allowed
basic to the Hindu vocabulary, only to be integrated and re-
for conflicting interpretations of the salient features of the
interpreted from different theological and soteriological per-
process. But rather than reweave a fragile developmental web
spectives by other schools. These include the concepts of the
from supposedly separate sectarian and popular strands, it is
evolution and devolution of prakr:ti, the sexual polarity of
better to look at the texts themselves to see what they at-
purus:a as male and prakr:ti as female, the enumeration of
tempted and achieved. It should be noted, however, that to
twenty-three substances that evolve from and devolve back
the best of existing knowledge it was achieved relatively early
into the prakr:ti “matrix,” the concept of matter as a continu-
in the period of consolidation, for the Bhagavadg¯ıta¯—the
um from subtle psychomental “substances” to gross physical
text that seals the achievement—seems to be from no later
ones (in particular the five elements), and the notion of the
than the first or second century BCE (it is cited by
three “strands” or “qualities” called gun:as (sattva, goodness,
Ba¯rdara¯yan:a in the Veda¯nta Su¯tra), and possibly earlier. Of
lucidity; rajas, dynamism; tamas, entropy), which are “braid-
course, continued unfolding occurred after that.
ed” together through all matter from the subtle to the gross.
The achievement itself is a universal Hinduism that, fol-
Meanwhile, whereas Sa¯m:khya provides the map to be
lowing Biardeau’s discussion of bhakti in “Études de
“known,” Yoga defines the path by which purus:a can extri-
mythologie hindoue” (1976), one may designate as sma¯rta.
cate itself from prakr:ti. The “eight limbs” of Yoga (an answer
It inherits from the Brahmanic sacrificial tradition a concep-
to the Eightfold Path of Buddhism?) represent the most im-
tion wherein Vis:n:u and S´iva are recognized as complementa-
portant Hindu formulation of a step-by-step (though also
ry in their functions but ontologically identical. The funda-
cumulative) path to liberation. The first two “limbs” involve
mental texts of this devotional sma¯rta vision are the two
forms of restraint (yama) and observance (niyama). The next
epics—the Maha¯bha¯rata (c. 500 BCE–400 CE) and the
three involve integration of the body and senses: posture
Ra¯ma¯yan:a (c. 400–200 BCE)—and the Harivam:´sa (c. 300–
(a¯sana), breath control (pra¯n:a¯yama), and withdrawal of the
400 CE?). These works integrate much Puranic mythic and
senses from the dominance of sense objects (pratya¯ha¯ra). The
cosmological material, which later is spun out at greater
last three achieve the integration of the mind or the “cessa-
length in the classical Pura¯n:as (“ancient lore”), of which
tion of the mental turmoil” that is rooted in the effects of
there are said to be eighteen major and eighteen minor texts.
karman: “holding” (dha¯ran:a¯) to a meditative support, medi-
The epics and Pura¯n:as are thus necessarily discussed togeth-
tative fluency (dhya¯na), and integrative concentration
er. But it should be recognized that whereas the sma¯rta vision
(sama¯dh¯ı) through which the freedom of purus:a can be expe-
of the epics and the Harivam:´sa is fundamentally integrative
rienced.
and universal in intent, the Pura¯n:as are frequently dominat-
The classical Yoga of Patañjali, known as ra¯jayoga
ed by regional and particularistic interests, including in some
(“royal yoga”), diverges from the Sa¯m:khya in acknowledging
cases the strong advocacy of the worship of one deity (S´iva,
the existence of God (¯I´svara). But ¯I´svara is a focus of medita-
Vis:n:u, or the Goddess) over all others. It is thus tempting
tion, not an agent in the process of liberation. The use of the
to think of the period of Pura¯n:a composition (c. 400–1200
term ra¯jayoga, however, suggests that by Patañjali’s time the
CE?) as one that extends the integrative vision of the funda-
term yoga had already been used to describe other disciplines
mental texts but develops it in varied directions. Still, as it
or paths, resulting in a situation where the terms yoga
is not clear that instances of Puranic theological favoritism
(“yoke”) and ma¯rga (“path”) had become interchangeable.
are motivated by distinct sects, it is misleading to speak of
One will thus find ra¯jayoga mentioned later along with the
“sectarian” Pura¯n:as.
more generalized “yogas,” or “paths,” that become definitive
for Hinduism through their exposition in the Bhagavadg¯ıta¯
Taken together, then, the Harivam:´sa and the
(c. 200 BCE): the paths (or yogas) of karman (“action”), jña¯na
Maha¯bha¯rata (which includes the Bhagavadg¯ıta¯) present the
(“knowledge”), and bhakti (“devotion”).
full biography of Kr:s:n:a, and the Ra¯ma¯yan:a that of Ra¯ma.
The Harivam:´sa (Genealogy of Hari—i. e., Kr:s:n:a), the more
Classical bhakti Hinduism. The consolidation of Hin-
recent of the texts concerning Kr:s:n:a, presents the stories of
duism takes place under the sign of bhakti. And though
his birth and youth, in which he and his brother Balara¯ma
M¯ıma¯m:sa¯ ritualism and Vedantic and other “knowledge”
take on the “disguise” (ves:a) of cowherds. Thus they engage
trends continue to affiliate with an “orthodox” strain that re-
in divine “sport” (l¯ıla¯) with the cowherd women (gop¯ıs),
sists this synthesis, or attempts to improve upon it, classical
until finally they are drawn away to avenge themselves
bhakti emerges as constitutive henceforth of mainstream
against their demonic uncle Kam:sa, who had caused their
Hinduism, including forms of devotional sectarianism.
exile. The Maha¯bha¯rata (Story of the Great Bha¯rata Dynas-
Intimations of bhakti developments are registered as
ty) focuses on Kr:s:n:a’s assistance to the five Pa¯n:d:ava brothers
early as the late Vedic Upanis:ads, and in inscriptions and
in their conflicts with their cousins, the hundred Kauravas,
other records of syncretistic worship of Hindu deities (Vis:n:u
over the “central kingdom” of the lunar dynasty (the Bha¯rata
and S´iva) alongside foreign and heterodox figures in the early
dynasty) at Ha¯stinapura and Indraprastha near modern
centuries of the common era. However, the heterogeneity
Delhi. Both texts incorporate telling allusions to the other
and scattered nature of the nontextual information available
“cycle,” and because both stories must have circulated orally
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3999
together before reaching their present literary forms, any no-
a dva¯parayuga, and finally a degenerate kaliyuga (“age of dis-
tions of their separate origins are purely conjectural. The
cord”). A kr:tayuga lasts 4,000 years, a treta¯yuga 3,000, a
Ra¯ma¯yan:a (Exploits of Ra¯ma) tells the story of Ra¯ma, scion
dva¯parayuga 2,000, and a kaliyuga 1,000, each supplemented
of the solar dynasty and embodiment of dharma, who must
by a dawn and twilight of one-tenth its total. A full four-yuga
rescue his wife S´ita from the demon (ra¯ks:asa) Ra¯van:a.
cycle thus lasts 12,000 years and is called a maha¯yuga (“great
Though each of these texts has its special flavor and distinc-
yuga”). These are not human years, however, but divine
tive background, they become in their completed forms ef-
years, which are 360 times as long as human years. Thus a
fectively a complementary triad. Indeed, in the “conserva-
maha¯yuga equals 360 times 12,000, or 4,320,000 human
tive” South, popular performances of Hindu mythology in
years, and a kaliyuga is one-tenth of that total. A thousand
dramas and temple recitations are still dominated by three
maha¯yugas (4,320 million human years) is a kalpa, the sec-
corresponding specializations: Maha¯bha¯rata, Ra¯ma¯yan:a, and
ond major time unit, which is also called a “day of Brahma¯.”
Bha¯gavata Pura¯n:a, the latter (c. 800–900 CE?) enriching the
Brahma¯’s days are followed by nights of equal duration.
devotional themes of the Harivam:´sa in its tenth and eleventh
Brahma¯ lives a hundred years of 360 such days and nights,
books and in effect replacing it as representing the early life
or 311,040 billion human years, all of which are sometimes
of Kr:s:n:a.
said to pass in a wink of the eye of Vis:n:u. The period of a
life of Brahma¯, called a maha¯kalpa, is the third major tempo-
The sma¯rta universe in these texts is structured around
ral rhythm.
Vis:n:u, and more particularly around his two heroic incarna-
tions, Ra¯ma and Kr:s:n:a. Thus other deities are frequently
Working backward now, one may observe the modus
represented as subordinated to or subsumed by these figures.
operandi of Vis:n:u and S´iva (and of course others) as it is envi-
But there is also recognition of Vis:n:u’s complementarity
sioned in the sma¯rta Hinduism of the texts.
with S´iva: some passages that stress mutual acknowledgment
First, at the highest level, Vis:n:u and S´iva are great yo-
of their ontological unity, others that work out the interplay
gins, interacting with the rhythms of the universe in terms
between them through stories about heroic characters who
of their own oscillations between activity and yogic concen-
incarnate them, and scenes in which Vis:n:u’s incarnations do
tration (sama¯dhi). At the maha¯pralaya (“great dissolution”),
homage to S´iva. It should be clear that efforts to find “ten-
the deity (usually Vis:n:u in these early texts, but just as often
dencies toward monotheism” in such texts involve the reduc-
S´iva or the Goddess in later Puranic ones) oversees the disso-
tion of a very complex theology to distinctly Western terms.
lution of the universe into the primal prakr:ti in accord with
The same applies to those Pura¯n:as that are structured around
the cosmological theory of Sa¯m:khya-Yoga. This ends the life
S´iva or the Goddess rather than Vis:n:u but are still framed
of Brahma¯, but it is also to be noted that it marks the restora-
within the same cosmology and the same principles of theo-
tion to its primordial unity of prakr:ti, which—as feminine—
logical complementarity and subordination.
is regarded mythologically as the ultimate form of the God-
This sma¯rta vision is not, however, limited to one theo-
dess. From a S´aiva standpoint, the male (the deity as Purus:a)
logical conundrum, for it extends to encompass S´iva and
and the female (the Goddess as Prakr:ti) are reunited at the
Vis:n:u’s interaction with other major figures: the god
great dissolution of the universe, a theme that is depicted in
Brahma¯, masculine form of the impersonal Absolute (brah-
representations of the deity as Ardha¯nar¯ı´svara, “the Lord
man), now subordinated to the higher “personal” deities; the
who is half female.” Their union is nonprocreative and repre-
Goddess in her many forms; Indra and other devas (now
sents the unitive experience of the bliss of brahman. Creation
“demigods”); their still perennial foes, the demons (asuras);
then occurs when the deity (whether S´iva or Vis:n:u) emerges
and of course humans, animals, and so on. It also presents
from this sama¯dhi and instigates the renewed active unfold-
an overarching bhakti cosmology in which the yogic supreme
ing of prakr:ti.
divinity (S´iva or Vis:n:u) encompasses the religious values of
The coincidence of the death of Brahma¯ with not only
sam:nya¯sa, tapas, knowledge, and sacrifice, and introduces the
the dissolution of the universe but the reintegration of the
view that taken by themselves, without bhakti, these values
Goddess and her reunion with S´iva is highly significant. The
may be incomplete or even extreme “paths.” Further, it in-
Goddess is an eternal being, worthy of worship because—
corporates the sma¯rta social theory of the Dharmasu¯tras and
like Vis:n:u and S´iva—she outlasts the universe and can be-
the Dharma´sa¯stras, and works out its implications within the
stow moks:a. Brahma¯, ultimately mortal and bound to tempo-
cosmology. The details of this sma¯rta vision are best dis-
rality, is worshiped not for moks:a but rather—and mostly by
cussed, however, in relation to the Hindu chronometric the-
demons—for earthly power and lordship. Stories that por-
ory that is presumed and first articulated in these texts and
tray S´iva’s severing of Brahma¯’s fifth head and refer to the
then further developed in the Pura¯n:as.
“head of Brahma¯” (brahma´siras) as the weapon of doomsday,
are perhaps mythic echoes of this ultimate cosmological situ-
Time is structured according to three main rhythms, hi-
ation wherein the coming together of Purus:a and Prakr:ti co-
erarchically defined, the longer encompassing the lesser.
incide with his death.
Most down-to-earth is the series of four yugas named after
four dice throws, which define a theory of the “decline of the
The primary creation has as its result the constitution
dharma”: first a kr:tayuga (“perfect age”), then a treta¯yuga and
of a “cosmic egg,” the brahma¯n:d:a (“egg of Brahma¯”). Fur-
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HINDUISM
ther creation, and periodic re-creations, will be carried out
world oscillate between the four higher worlds, enduring pe-
by Brahma¯, the personalized form of the Absolute (brah-
riodic destructions of the triple world and awaiting the great
man). Insofar as the brahman is personalized and oriented to-
dissolution of the universe that will dissolve the egg of
ward the world, it is thus subordinated to the yogin Purus:a,
Brahma¯ (coincident with his death) and result in a vast col-
the ultimate as defined through bhakti. Moreover, the activi-
lective ultimate liberation of reabsorption into the supreme
ty of Brahma¯—heir in his cosmogenic role of the earlier
Purus:a. Needless to say, this is to occur only after an almost
Praja¯pati—is conceived in terms of sacrificial themes that are
incalculable wait. But beings who have attained these ulterior
further encompassed by bhakti.
worlds are no more affected by dharma than the yogic deity
beyond them. The maintenance of dharma within the triple
It is at this level that the three male gods cooperate as
world thus engages the deities in their third level of activity,
the trimu¯rti, the “three forms” of the Absolute: Brahma¯ the
creator, S´iva the destroyer, and Vis:n:u the preserver. Within
that of “descent.” In classical terms this is the theory of the
the brahma¯n:d:a, Brahma¯ thus creates the Vedic triple world
avata¯ra. Though the term is not used in the epics or the
of earth, atmosphere, and heaven (or alternatively heaven,
Harivam:´sa in its later, specialized sense, these texts are suf-
earth, and underworld). These three samsaric worlds are sur-
fused by the concept and its bhakti implications, which in-
rounded by four ulterior worlds, still within the brahma¯n:d:a,
clude narrative situations wherein the divinity looks to all
for beings who achieve release from sam:´sara but still must
concerned, and sometimes even to himself, as a mere human.
await their ultimate liberation. These ulterior worlds are not
The programmatic statement of the avata¯ra concept (with-
henceforth created or destroyed in the occasional creations
out mention of the term itself) is thus stated by Kr:s:n:a in the
or destructions. As to the triple world, Brahma¯ creates it by
Bhagavadg¯ıta¯: “For whenever the Law [dharma] languishes,
becoming the sacrificial boar (yajñavara¯ha) who retrieves the
Bha¯rata, and lawlessness flourishes I create myself. I take on
Vedas and the earth from the cosmic ocean. The destruction
existence from eon to eon [yuga to yuga], for the rescue of
of the triple world is achieved by S´iva. As the “fire of the end
the good and the destruction of evil, in order to establish the
of time,” he reduces it to ashes, thus effecting a cosmic funer-
Law” (4.7–8; van Buitenen, trans.).
ary sacrifice. And Vis:n:u, the god whom the Bra¯haman:as
The classical theory of the ten avata¯ras—most of whom
identify as “the sacrifice,” maintains the triple world while
are mentioned in the epics and the Harivam:´sa, but not in
it is sustained by sacrifices, and also preserves what is left of
a single list—is worked out in relation to Vis:n:u. One thus
it after the dissolution when he lies on the serpent S´es:a
has the following “descents” of Vis:n:u in order of appearance:
(“remainder”) whose name indicates that he is formed of the
Fish (Matsya), Tortoise (Ku¯rma), Boar (Vara¯ha), Man-Lion
remnant of the previous cosmos, or more exactly of the “re-
(Narasim:ha), Dwarf (Va¯mana), Ra¯ma with the Ax
mainder” of the cosmic sacrifice. This form of Vis:n:u, sleep-
(Para´sura¯ma), Ra¯ma of the Ra¯ma¯yan:a, Kr:s:n:a, the Buddha,
ing on S´es:a, is called Na¯ra¯yan:a, a name that the S´atapatha
and the future avata¯ra Kalki, who will rid the earth of barbar-
Bra¯haman:a already connects with the Vedic Purus:a, the
ian kings and reestablish the dharma at the end of the kaliyu-
“male” source of all beings. When Vis:n:u-Na¯ra¯yan:a awakens,
ga. There are various attempts to correlate appearances of the
Brahma¯—who in some fashion awakens with him—re-
avata¯ras with distinct yugas and even kalpas, but the one fea-
creates the universe. Through all these myths the earth is a
ture that is consistently mentioned in these formative texts
form of the Goddess, indeed the most concretized form she
is that Kr:s:n:a appeared at the interval between the last dva-
takes as a result of the evolution of prakr:ti (earth being the
parayuga and kaliyuga, and thus at the beginning of the pres-
last of the evolutes emitted and the first to dissolve).
ent age. It is likely that the theory was first formulated
Thus the greater universe whose rhythms are integrated
around Kr:s:n:a and Ra¯ma along with the Dwarf (the only
within the divine yoga of Vis:n:u and S´iva encompasses an egg
form to be associated with Vis:n:u in the ´sruti literature) and
of Brahma¯, which encloses a triple world whose rhythms
the apocalyptic Kalki. But in actuality, the avata¯ra theory is
form a round sustained by the divine sacrificial acts of the
more complex. In the epics and in living Hinduism, Vis:n:u
trimu¯rti. This pattern is transposed onto the third temporal
does not descend alone. In the literature, his incarnations
rhythm, that of the yugas. Thus the characteristic religious
take place alongside those of other deities, including most
virtues of the yugas are as follows: dhya¯na (“meditation”) or
centrally Va¯yu, Indra, Su¯rya, the Goddess, and—at least in
tapas (“asceticism”) in the kr:tayuga; jña¯na (“knowledge”) in
the Maha¯bha¯rata—S´iva. And in localized temple mytholo-
the treta¯yuga; yajña (“sacrifice”) in the dva¯parayuga; and da¯na
gies throughout India, one hears of avata¯ras of S´iva and the
(“the gift”) in the kaliyuga. Thus the two ´sruti-based ideals
Goddess as well as of Vis:n:u. In devotional terms, the avata¯ra
of knowledge and sacrifice are enclosed within a frame-work
is thus a form taken on earth (or, better, in the three worlds)
that begins with yogic meditation as a divine kr:tayuga activi-
by any one of the three deities found at the ultimate level of
ty and ends in the kaliyuga with the devotional gift. Bhakti
cosmic absorption, where all that remains beside the liberat-
thus encompasses knowledge and sacrifice.
ed beings who join them are the eternal yogic deities Vis:n:u
and S´iva and the primal Goddess.
The distinctive feature of the rhythm of the yuga cycle
is that it is calibrated by the rise and fall of dharma in the
The classical concept of the avata¯ra, structured around
triple world. Beings who have achieved release from the triple
Vis:n:u, remains, however, the chief Hindu use of the term.
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Its formulation in the epics and the Harivam:´sa is thus consti-
the five Pa¯n:d:avas, Arjuna is their greatest warrior, and
tutive for succeeding eras of Hinduism, in which it will only
Kr:s:n:a’s task in the Gita¯ is to persuade him to overcome his
be enriched but not essentially changed by later bhakti theol-
reluctance to fight in the battle. Fundamental to the argu-
ogies. Looking at these texts comprehensively, then, with the
ment is Arjuna’s requirement to fulfill his dharma as a
Gita¯ as the main guide, one can outline its main contours.
ks:atriya rather than adopt the ideal—unsuitable for him in
Against the background of the vast, all-embracing bhakti cos-
his present life stage—of the renouncer. Thus the Gita¯ cham-
mology, the involvement of the yogic divinity on earth takes
pions the theory of varn:a¯´sramadharma as upholding the so-
place completely freely, as “sport” or “play” (l¯ıla¯). Still, the
ciocosmic order.
god takes birth to uphold the dharma and to keep the earth
from being unseasonably inundated in the waters of dissolu-
Kr:s:n:a presents his teaching to Arjuna by revealing a se-
tion under the weight of adharmic kings. The avata¯ra thus
quence of “royal” and “divine” mysteries that culminate in
intercedes to uphold the system of varn:a¯´sramadharma and
his granting a vision of his “All-Form” (Vi´svaru¯pa-dar´sana)
to promote the proper pursuit of the four purus:a¯rthas. Be-
as God, creator and destroyer of the universe. In this grand
cause he appears in times of crisis, a central concern in the
cosmic perspective, Arjuna is told that he will be but the
texts is with the resolution of the conflicts between ideals:
“mere instrument” of the deaths of his foes, their destruction
renunciation versus householdership, bra¯haman:a versus
having now come to ripeness through Vis:n:u’s own agency
ks:atriya, killing versus “not desiring to kill” (ahim:sa¯), dharma
in his form as cosmic time, or ka¯la (Bhagavadg¯ıta¯ 11.32–33).
versus moks:a, dharma versus ka¯ma and artha, and conflicts
Arjuna thus recognizes this omniform deity as Vis:n:u in this
between different dharmas (duties) such as royal duty and fil-
climactic scene.
ial duty. But though the texts focus primarily on the two
On the way to this revelation, however, Kr:s:n:a acknowl-
upper castes, the full society is represented by singular depic-
edges the three paths (yogas) to salvation: action, knowledge,
tions of figures who evoke the lowest castes and tribal groups.
and devotion. These are presented as instructions by which
It is also filled in with figures of real and reputed mixed caste.
Arjuna can gain the resolute clarity of insight (buddhi) and
Confusion of caste is a particularly prominent issue in
yogic discipline by which to recognize the distinctions be-
the Maha¯bha¯rata, where it is raised by Kr:s:n:a in the Gita¯ as
tween soul and body, action and inaction, and thus perform
the worst of ills. Most significantly, the Maha¯bha¯rata and the
actions—including killing—that are unaffected by desire.
Harivam:´sa identify a particularly pernicious form of caste
Ritual action and knowledge are set forth as legitimate and
confusion among the barbarian (mleccha) peoples of the
mutually reinforcing paths, but incomplete unless integrated
Northwest (the Punjab), mentioning Yavanas, S´akas, and
within and subordinated to bhakti. Kr:s:n:a thus presents him-
Pahlavas among others as enemies of the dharma and causes
self as the ultimate karmayogin, acting to benefit the worlds
for such “mixing.” The fact that events of the period from
out of no personal desire. He thus bids his devotees (bhaktas)
300
to surrender all actions to him as in a sacrifice, but a sacrifice
BCE to 300 CE are projected into the distant past indi-
cates that part of the bhakti synthesis was the articulation of
(karman) no longer defined in Vedic-M¯ıma¯m:sa¯ terms as a
a mythical theory of historical events. One may thus look at
means to fulfill some personal desire. Kr:s:n:a also presents
these smr:ti texts as posing a model for the revival of Hindu-
himself as the object of all religious knowledge, the highest
ism in accord with “eternal” Vedic models, with the descent
Purus:a (uttamapurus:a) and supreme self (parama¯tman), be-
of the avata¯ra—and indeed of much of the Vedic pantheon
yond the perishable and the imperishable, yet pervading and
along with him—guaranteeing the periodic adjustment of
supporting all worlds (15.16–17).
the sociocosmic world to these eternal norms. Furthermore,
One other facet of the bhakti synthesis to which the Gita¯
the tracing of all Hindu dynastic lines back to the defunct
alludes is the transition from traditional Vedic sacrifice
if not mythical “lunar” and “solar” dynasties provided the
(yajña) to new forms of offering to the deity (pu¯ja¯, literally,
model for the spatial extension of this ideal beyond the cen-
“honoring”). This corresponds to the theory that the “gift”
tral lands of Aryavar:ta where the dharma, according to both
is the particularly appropriate religious practice for the kali-
Manu and the Maha¯bha¯rata, was the purest.
yuga. Thus Kr:s:n:a says: “If one disciplined soul proffers to me
But the focus of the avata¯ra is not solely on the renova-
with love [bhakti] a leaf, a flower, fruit, or water, I accept this
tion of the dharma. He also brings to the triple world the di-
offering of love from him. Whatever you do, or eat, or offer,
vine grace that makes possible the presence, imagery, and
or give, or mortify, make it an offering to me, and I shall
teachings that confer moks:a. The epics and the Harivam:´sa
undo the bonds of karman” (9.26–27; van Buitenen, trans.).
are full of bhakti tableaux: moments that crystallize the real-
The passage probably refers to domestic worship of the
ization by one character or another of the liberating vision
“deity of one’s choice” (is:t:adevata). But it is also likely to al-
(dar´sana) of the divine. Most central, however, is the
lude to temple worship, for it is known from inscriptions and
Bhagavadg¯ıta¯, which is both a dar´sana and a teaching.
literary sources from the third to first century BCE that sanc-
tuaries existed for Va¯sudeva and Ke´sava (presumably as
The Bhagavadg¯ıta¯ (Song of the Lord) takes place as a
names for Kr:s:n:a and Vis:n:u), as well as for other deities. By
dialogue between Kr:s:n:a and Arjuna just before the outbreak
the beginning of the Gupta period, around 320 CE, temple
of the Maha¯bha¯rata war. Although he is the third oldest of
building was in full swing, with inscriptions showing con-
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HINDUISM
struction of temples for Vis:n:u, S´iva, and the Goddess. Tem-
cult that apparently included animal sacrifice. Thus the God-
ples were built at sites within cities, as well as at remote holy
dess is integrated even within the texts of the early sma¯rta
places, and sanctuaries at both such locations became objec-
Hinduism that are centered on Vis:n:u. But the text that regis-
tives along pilgrimage routes that are first mentioned in the
ters her full emergence is the Devima¯ha¯tmyam (Glorification
Maha¯bha¯rata. From very early if not from the beginning of
of the Goddess). Probably from about 400–600 CE, it was
such temple worship, the deities were represented by symbols
included in the Ma¯rkan:d:eya Pura¯n:a. Here the Goddess is
and/or iconic images.
recognized under all her major aspects, as primal matter em-
bodied in the universe yet beyond it, incarnate in many
Certain aspects of temple construction and worship
forms, cause of the joys and miseries of this world and of lib-
draw inspiration from the Vedic sacrifice. The plan of the
eration from it, the power (´sakti) enabling the roles of the
edifice is designed on the ground as the Vastu-
trimu¯rti, yet higher than the gods and their last resort in the
purus:aman:d:ala, a geometric figure of the “Purus:a of the Site”
face of certain demons, most notably the buffalo demon
(va¯stu), from whom the universe takes form. The donor, ide-
Mashs:a¯sura, her most dedicated and persistent foe through
ally a king, is the yajama¯na. The sanctum sanctorum, called
cults and myths both ancient and current. This emergence
the garbhagr:ha (“womb house”), continues the symbolism of
of the Goddess is registered more fully in the development
the Vedic d¯ıks:a¯ hut: Here again the yajama¯na becomes an
of Tantric Hinduism.
embryo so as to achieve a new birth, now taking into his own
being the higher self of the deity that he installs there in the
TANTRIC HINDUISM. Tantra is literally “what extends.” In
form of an image. The temple as a whole is thus a Vedic altar
its Hindu form it may be taken, according to its name, as
comprising the triple world, but also an expanded image of
a movement that sought to extend the Veda (whose pedigree
the cosmos through which the deity manifests himself from
it loosely claimed) and more particularly to extend the un-
within, radiating energy to the outer walls where his (or her)
iversalistic implications of bhakti Hinduism. However, al-
activities and interactions with the world are represented.
though it was quick to integrate bhakti elements and to influ-
ence bhakti in nearly all its forms (late Puranic, popular, and
But the use of the temple for ordinary daily worship in-
sectarian), its earliest and most enduring forms “extend”
volves radically non-Vedic objectives. The Vedic sacrifice is
Hinduism in ways that were directly opposed to the epic-
a means for gods and humans—basically equals—to fulfill
Puranic bhakti synthesis. Nonetheless, it is still formulated
reciprocal desires. Pu¯ja¯ rites are means for God and human-
within the same cosmology.
kind to interact on a level beyond desire: for humans to give
without expectation of reward, or, more exactly, to get back
Early Tantrism developed most vigorously, from the
nothing tangible other than what they have offered but with
fourth to sixth centuries CE, in areas where Brahmanic pene-
the paradoxical conviction that the deity “shares” (from the
tration had been weakest: in the Northwest, in Bengal and
root meaning of bhakti) what is given and returns it as an
Assam in the East, and in the Andhra area of the South.
embodiment of his or her grace (prasa¯da). God is thus fully
These are areas where one must assume non-Aryan influ-
superior, served as a royal guest with rites of hospitality. Basi-
ences in general, and more particularly probably also tribal
cally four moments are involved: offerings, taking sight
and folk practices involving shamanism, witchcraft, and sor-
(dar´sana) of the deity, receiving this prasa¯da, and leave-
cery, and, at least in the East and South, a cult of the God-
taking by circumambulation of the garbhagr:ha and the image
dess. As Tantrism gained currency in succeeding centuries
within. The offerings are the pu¯ja¯ proper and comprise a
throughout India, the shamanistic and magical features were
great variety of devotional acts designed to please the deity,
assimilated to yogic disciplines, while the elevation of the
some of which may be worked into a daily round by the tem-
Goddess gave full projection on a pan-Indian scale to roles
ple priests, who offer on behalf of others.
and images of the Goddess that had been incorporated, but
allowed only minimal scope, in the early orthodox bhakti and
Finally, one last element of the consolidation of Hindu-
even earlier Vedic sacrificial traditions. The earliest extant
ism achieved by early Gupta times is the emergence of the
Tantric texts are Buddhist, from about the fourth to sixth
Goddess as a figure whose worship is recognized alongside
centuries. Hindu Tantric texts include Vais:n:ava Sam:hita¯s,
that of Vis:n:u and S´iva and is performed with the same basic
S´aiva¯gamas from a slightly later period, and S´a¯kta Tantras
rites. Indeed, it is possible that aspects of pu¯ja¯ ceremonialism
(exalting the Goddess as S´akti, or Power) from perhaps the
are derived from non-Vedic ´su¯dra and village rites in which
eleventh century on. But from its start Tantrism represented
female deities no doubt figured highly, as they do in such
a style and outlook that placed the Goddess at the center of
cults today. The two epics, the Maha¯bha¯rata and the
its “extensions” and to a certain extent cut across sectarian
Ra¯ma¯yan:a, reflect themes associated with the Goddess in the
and religious distinctions, whether Hindu, Buddhist, or even
portrayals of their chief heroines, Draupad¯ı and S´ita, but the
Jain.
Harivam:´sa is probably the first text to acknowledge the God-
dess as such. There she takes birth as Kr:s:n:a and Balara¯ma’s
Though Hindu Tantra thus asserts its Vedic legitimacy,
“sister” (actually she and Kr:s:n:a exchange mothers). Some of
its stance is intentionally anti-Brahmanic. It was especially
her future demon enemies are mentioned, and there is also
critical of Brahmanic concepts of hierarchy, purity, and sexu-
reference to her having numerous places of worship and a
al status, all of which had been reinforced by the orthodox
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HINDUISM
4003
bhakti synthesis and which were in particular bound up with
tic practice five “sacraments” beginning with the syllable ma:
a theology that viewed the supreme divinity as a male (a
fish (matsya), meat (ma¯m:sa), parched grain (mudra¯, regarded
Purus:a, whether S´iva or Vis:n:u) whose ultimate form was ac-
as an aphrodisiac), wine (madya), and finally sexual inter-
cessible only beyond the rhythms of the cosmos and its hier-
course (maithuna). It is likely that most if not all of these
archy of impure and pure, gross and subtle worlds. For Tan-
practices involve the incorporation of elements of the cult
trics, dualities were artificial and their experience was the
and mythology of the Goddess, who already in the
result of delusion. On the analogy of the union between S´iva
Devima¯ha¯tmyam delights in meat and wine and is ap-
and S´akti, which in Puranic devotional terms is conceivable
proached by lustful demons for sexual intercourse. Tantric
only at the end of the maha¯pralaya, or great dissolution of
texts stress that these practices are to be carried out within
the universe, Tantric practice (sa¯dhana) addresses itself to ex-
a circle of adepts and supervised by a male and female pair
periencing the unity of purus:a and prakr:ti (purus:a being both
of “lords of the circle” who insist on strict ritual conventions
“soul” and deity, prakr:ti being both “matter” and Goddess),
that guard against an orgiastic interpretation. Classically, the
male and female, pure and impure, knowledge and action,
male is to retain his semen at the point of orgasm, this being
and so on. Most important, all this takes place here and now,
a sign not only of profound dispassion but an actualization
not only in this world, where prakr:ti and purus:a on the mac-
of the nonprocreative union of S´iva and S´akti at the dissolu-
rocosmic scale are one, but in the human body, where their
tion of the universe of dualities.
microcosmic embodiments can be experienced. The body
It is interesting to note that, although their historical va-
thus becomes the ultimate vehicle for liberation, the dissolu-
lidity is debated by scholars, there are strong Indian tradi-
tion of opposites taking place within the psychophysical con-
tions suggesting that S´an˙kara’s philosophical nondualism
tinuum of the experience of the living adept, who realizes be-
had practical Tantric repercussions.
yond duality the oneness of brahman.
S´AN˙KARA’S ADVAITA VEDA¯NTA AND SMA¯RTA ORTHODOXY.
In terms of practice, Tantra’s rejection of Hindu ortho-
The Advaita (nondualist) interpretation of the Veda¯nta can
praxy is even more decisive. And practice is clearly exalted
be traced back at least to Gaud:apa¯da (c. 600 CE), but it is
above theological or philosophical formulation. Two types
S´an˙kara (c. 788–820) who established this viewpoint as the
of Tantra are mentioned: “left-hand” and “right-hand.” The
touchstone of a revived sma¯rta orthodoxy. Born in a small
Tantric rejection and indeed inver:s:ion of orthopraxy is most
Kerala village, S´an˙kara spent his alleged thirty-two years as
pronounced in the former, as the right-hand Tantra inter-
a vigorous champion of the unity of Hinduism over and
prets the most anti-Brahmanic practices of the left metaphor-
against intra-Hindu divisions and the inroads of Buddhism
ically, and also includes under its heading a wide variety of
and Jainism. He toured India, setting up monasteries
ceremonial rituals assimilated into bhakti Hinduism that are
(mat:has) near famous temples or holy places at each of the
simply non-Vedic. These include the use of non-Vedic man-
four compass directions, and appointed a disciple at each
tras as well as yantras and man:d: alas, aniconic and non-Vedic
center to begin a line of renunciant “pontiffs.” And he wrote
geometric devices used for visualization and integration of
works of great subtlety and persuasiveness, including com-
divine-cosmic forces. Adepts come from all castes, but low-
mentaries on the Upanis:ads, the Brahma Su¯tra, and the
caste and even tribal practitioners and teachers are especially
Bhagavadg¯ıta¯ that inspired contemporaries, disciples, and
revered. The goal of liberation within the body takes the spe-
authors of later generations to write additional important
cific form of seeking magical powers (siddh¯ıs), which in or-
works from the perspective that he developed.
thodox forms of Hinduism are regarded as hindrances to
An essential feature of S´an˙kara’s argumentation is that
spiritual achievement. Under the tutelage of a guru, who em-
lower views of reality must be rejected as they are contradict-
bodies the fulfillment sought and its transmission and who
ed or “sublated” by higher experiences of the real. Finally,
is thus all-important, the siddh¯ıs are sought through yoga
all dichotomous formulations must be abandoned upon the
disciplines that show the impact of Tantra through their ana-
nondual experience of the self (a¯tman) as brahman. The
tomical analysis of the “subtle body” (lin˙ga ´sar¯ıra). First
world of appearance is sustained by ignorance (avidya¯),
practiced is hat:hayoga, the “yoga of exertion or violence,”
which “superimposes” limitations on reality. Ma¯ya¯
that is, rigorous physical discipline geared to coordinating
(“illusion” or “fabrication”), itself neither real nor unreal, is
the body’s “ducts” or “channels” (na¯d:¯ıs) and “energy cen-
indescribable in terms of being or nonbeing. It appears real
ters” (cakras). This is followed by kun:d:aliniyoga, which
only so long as brahman is not experienced. But it is empiri-
awakens the dormant ´sakti, conceived as a coiled-up “serpent
cally real relative to things that can be shown false from the
power” in the lowest cakra between the genitals and the anus,
standpoint of empirical observation. Ma¯ya¯ is thus said to be
so that it (or she) can pierce and transform all the cakras
more mysterious and unknowable than brahman, which is
(usually six) and unite with S´iva in the “thousand-petaled
experienced as being, consciousness, and bliss
cakra” in the region of the brain.
(sat-cit-a¯nanda).
Beyond these practices, “left-handed” Tantrics pursue
As philosophy, Advaita is thus a guide to moks:a, which
in literal fashion the ceremonial of the “five m’s”
is experienced when the ignorance that results from superim-
(pañcama¯karapu¯ja¯). That is, they incorporate into their cul-
posing ma¯ya¯ on brahman is overcome. Liberation arises with
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4004
HINDUISM
knowledge (jña¯na), but from a perspective that recognizes
forms of bhakti revivalism, and more generally in local and
relative truth in the paths of both action and bhakti. Practi-
regional forms of Hinduism.
cally, S´an˙kara fostered a rapprochement between Advaita
Sectarian traditions. Sectarianism and bhakti revival-
and sma¯rta orthodoxy, which by his time had not only con-
ism are movements of separate origins that converge for the
tinued to defend the varn:a¯´sramadharma theory as defining
first time in the eleventh and twelfth centuries in the Tamil-
the path of karman, but had developed the practice of
speaking area of South India. There the fusion was accom-
pañca¯yatanapu¯ja¯ (“five-shrine worship”) as a solution to var-
plished in the traditions of the S´r¯ı Vais:n:avas and the S´aiva
ied and conflicting devotional practices. Thus one could
Siddha¯nta, sects whose names indicate their distinctive theo-
worship any one of five deities (Vis:n:u, S´iva, Durga¯, Su¯rya,
logical preferences for Vis:n:u and S´iva. Henceforth, sectarian-
Gan:es:a) as one’s is:t:adevata¯ (“deity of choice”). As far as
ism and bhakti revivalism continued to interact and produce
varn:a¯´sramadharma was concerned, S´an˙kara left householder
hybrid forms as they spread over all of India.
issues largely aside and focused instead on founding ten or-
ders of sam:nya¯sis (the da´sana¯mi, “ten names”), each affiliated
Generally speaking, sects followed a reformist impulse,
with one of the four principle mathas he founded. But tradi-
and in most of them one can identify the emergence of the
tional orthodox views of caste were maintained. According
guru as a new type of figure: not the transmitter of an “imper-
to S´an˙kara, as ´su¯dras are not entitled to hear the Veda, they
sonal” Vedic teaching, but one who takes inspiration from
cannot pursue knowledge of brahman as sam:nya¯sis; rather
the personal deity of the sect, with whom he may even be
they may seek moks:a through hearing the Maha¯bha¯rata and
identified. Traditional hierarchy was generally respected, but
the Pura¯n:as. Four of the ten sam:nya¯si orders were thus re-
with the proviso that within the sect divine grace was not
stricted to bra¯haman:as, and it does not seem that any accept-
limited by caste boundaries. Nonetheless, as groups formed
ed ´su¯dras until long after S´an˙kara’s death. Bhakti sectarian
around masters and their teachings, they took on many of
reformers were generally more liberal on this point. As to the
the characteristics and functions of castes (endogamy, interi-
god (or gods) of bhakti, S´an˙kara views the deity (¯I´svara) as
or ranking), and certain sects formulated their stands with
particularly positive attitudes (the northern school of S´r¯ı
essentially identical with brahman and real relative to empiri-
Vais:n:avas) or negative attitudes (Lin˙ga¯yats and V¯ıra´saivas)
cal experience. But by being identified “with qualities”
toward bra¯haman:as. Sects distinguish themselves over and
(sagun:a), God can be no more than an approach to the expe-
against each other by many means, and often quite passion-
rience of brahman “without qualities” (nirgun:a). Viewed
ately: by bodily markings, forms of yoga discipline, worship,
from the experience of the self as nirgun:a brahman, which
theology, and in particular by their choice of supreme deity,
“sublates” all other experiences, the deity is but the highest
whether S´iva, Vis:n:u, S´akti, or, in the North, Kr:s:n:a or Ra¯ma.
form of ma¯ya¯. Clearly, bhakti traditions could not rest with
Nonetheless, they generally participate in wider Hindu activ-
this solution. But it should be noted that in opposing
ities such as pilgrimage, festival, and temple worship (the
S´an˙kara and abandoning the universalist vision of the epic-
Lin˙ga¯yats are an exception) and draw upon fundamental
Puranic devotional synthesis, the sects turned their backs on
Hindu belief structures. Thus most sects acknowledge other
the main impulses that had attempted to sustain the unity
deities as subordinate to the supreme deity of the sect. In par-
of Hinduism.
ticular, most have worked out ways of encompassing the rela-
SECTARIAN HINDUISM. The elaboration of bhakti Hinduism
tion of the God and the Goddess at some fundamental theo-
continued to unfold in the later Pura¯n:as, linking up with the
logical level. Persistently the supreme deity is identified both
temple and pilgrimage cultus and with local and regional
as the ultimate brahman and also as in some way personal.
forms of worship. It thus established itself until the time of
The sects also frequently define various stages of divine de-
S´an˙kara as the main expression of Brahmanic orthodoxy and
scent or interaction with the world, various stages of the
the main shaping force of popular Hinduism. But though it
soul’s ascent, and various types of relation between the soul
proclaimed a universal Hinduism, it gave little weight to the
and God. Thus the sects elaborate upon the epic-Puranic
problem of the immediate accessibility of salvation. While
cosmology while modifying and refining the theological and
caste hierarchy was to remain in effect on earth to assure,
soteriological terms. It is only against this background that
among other things, the pure temple worship of the gods by
their formulations are intelligible.
the bra¯haman:as, the ultimate release that the Pura¯n:as prom-
From the historical vantage point, one may note that the
ised was almost infinitely postponed. It is possible that their
consolidation of the separate strands of sectarianism and
postponement of a collective liberation was a kind of purifi-
bhakti revivalism occurs after, and is no doubt in part a re-
cation process for liberated souls and thus a prolongation of
sponse to, the growing success of S´an˙kara’s Advaita Veda¯nta.
the concern for bra¯haman:a purity on earth. In any case, the
Prior to S´an˙kara, sectarian groups had centered primarily
remoteness of salvation and the defense of caste purity and
around distinctive ritual traditions that were increasingly in-
hierarchy in the Puranic devotionalism of Brahmanic ortho-
fluenced by Tantrism: not only in forms of worship and
doxy were probably incentives for the development of alter-
theological formulation, but also, in some S´aiva sects, in ac-
nate forms of bhakti. These emerged in sectarian traditions,
tual practice. Thus the Vais:n:ava Pañcara¯tras and
in movements led by saint-singers who inspired vernacular
Vaikha¯nasas and the S´aiva Pa¯´supatas (all mentioned first 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
HINDUISM
4005
the late Maha¯bha¯rata) between the fifth and tenth centuries
selves and the Bra¯hma Sam:prada¯ya or Dvaita Veda¯nta tradi-
produced their Sam:hita¯s and A¯gamas to regularize the con-
tion of Madhva, respectively). But its spread through Maha-
struction of temples, iconography, and pu¯ja¯ ceremonialism.
rashtra, the Hindi-speaking areas of North India, and
Some Pa¯´supatas and Ka¯pa¯likas (a Tantric S´aiva sect) also in-
through Bengal was most focused on Vis:n:u, or more accu-
corporated forms of abrupt anticonventional behavior mod-
rately on his forms as Ra¯ma and Kr:s:n:a, who in turn, in the
eled on S´iva’s character as the great yogin ascetic. With the
Hindi and Bengali areas, became the deities of different sects.
exception of the Pañcara¯tras, who elaborated an influential
In the case of Kr:s:n:a, erotic devotional poetry opened new
doctrine of the emanations (vyu¯has) of Vis:n:u that paralleled
dimensions on the theme of Kr:s:n:a’s love-play with his “new”
the cosmogonic theory of evolution in the Sa¯m:khya system,
consort, Ra¯dha¯ (her name does not appear before the
the theological formulations of these movements were appar-
twelfth-century Sanskrit Gita¯govinda by the Bengali court
ently among their secondary concerns.
poet Jayadeva). In Hindi and Bengali poems, not only are
the emotions of motherly love for the baby Kr:s:n:a and erotic
Saint-singer tradition. Whereas the early sectarian
love for the youthful Kr:s:n:a explored, but they are tied in
movements were able to spread their impact from north to
with a classical theory of aesthetic appreciation (rasa).
south using Sanskrit as their medium, the bhakti revivalist
movement began in the South, drawing on Tamil. Like the
As to the sects, the impact of S´an˙kara’s Advaita is evi-
sectarian movements, the saint-singers developed their tradi-
dent at many points. Although S´aiva monasticism may pre-
tions along Vais:n:ava and S´aiva lines. The sixty-three
date S´an˙kara by about a century, his establishment of mat:has
Na¯yanma¯r (or Na¯yana¯rs) promoted the worship of S´iva,
around India was highly influential. Certain post-S´an˙kara
¯
¯
while the twelve A¯lva¯rs similarly honored Vis:n:u. Part of the
sects thus adopted institutionalized forms of “monastic” re-
¯
revivalist motivation was provided by the earlier spread of
nunciation, either like S´an˙kara setting their mathas alongside
Buddhism and Jainism in the South, both of which lost con-
the temples (S´r¯ı Vais:n:avas, Dvaita Veda¯ntins, S´aiva
siderable following as a result of the efforts of the Na¯yanma¯r
Siddha¯ntins) or in opposition to the whole temple cultus
¯
and A¯lva¯rs, as well as those of their contemporary S´an˙kara.
(Lin˙ga¯yats). Vais:n:ava sects also assume henceforth the man-
¯
tle of new “Veda¯ntas” in order to seek Vedic authority for
Some of the most renowned among these two compa-
their advocacy of bhakti theologies over and against S´an˙kara’s
nies of saint-singers have left songs that they composed at the
nondualism and in their efforts to subordinate the path of
temples of Vis:n:u and S´iva, praising the form and presence
knowledge to that of bhakti.
of the deity therein, the place itself as his manifestation, and
the communal attitude of worship generated there through
Most distinctive and most important theologically
pilgrimage and festival. Though they honor the deities in
among the Vais:n:ava schools are those of Ra¯ma¯nuja (c. 1017–
terms familiar from Puranic myths, the stories are set in the
1137) and Madhva (1238–1317), both of whom attempted
local terrain. The emotional side of bhakti thus draws from
to refute S´an˙kara’s interpretations of the Upanis:ads, the
deep Tamil traditions, including a revival of classical Tamil
Brahma Su¯tra, and the Bhagavadg¯ıta¯ with their own com-
poetic conventions involving the correlations between differ-
mentaries on those texts. The more prolific Madhva also
ent types of landscape, different divinities, and different
wrote commentaries on the R:gveda and the epics. Ra¯ma¯nuja,
types of male-female love. In the hands of the saint-singers,
drawing on the ceremonialism and theological formulations
erotic love in particular was drawn on as a metaphor for de-
of the Pañcaratra sect as well as on the revivalist poetry of
votional feelings that stressed the feminine character of the
the Alvars, developed for the S´r¯ı Vais:n:avas the first bhakti
soul in relation to the deity and idealized a softening of the
sectarian repudiation of the Advaita. In his “qualified nondu-
mind or heart that could take the forms of “melting” into
alistic Veda¯nta” (vi´sis:t:a¯dvaita veda¯nta), he argued that
the divine, ecstatic rapture, divine madness, and possession.
Vis:n:u-Na¯ra¯yan:a is the ultimate brahman, his relation to the
world and souls being “qualified” as substance to attribute.
Following the advent of S´an˙kara, most of the sectarian
World and souls are thus real, as of course is God—all in op-
and revivalist movements found common cause in their de-
position to S´an˙kara’s view that there is no reality other than
votionalist stance against Advaita nondualism and continued
brahman. For Ra¯ma¯nuja the three paths not only culminate
to develop for the most part interdependently. Thus, most
in bhakti but are crowned by prapatti, “surrender” to God
formatively, the songs of the A¯lva¯rs were collected in the
¯
or “falling forward” at his feet. Criticizing both S´an˙kara and
ninth century for eventual use by the S´r¯ı Vais:n:avas. And the
Ra¯ma¯nuja, Madhva’s “dualistic Veda¯nta” (dvaita veda¯nta)
poems of the Na¯yanma¯r—supplemented by the songs of
¯
stressed the absolute sovereignty of God and the fivefold set
Ma¯n:ikkava¯cakar, who apparently lived just after the list of
of absolute distinctions between God and souls, God and the
sixty-three Na¯yanma¯r had been set (ninth century)—were
¯
world, souls and souls, souls and the world, and matter in
collected to form parts of the canon of the S´aiva Siddha¯nta.
its different aspects—all of which are real and not illusory.
However, the revivalist and sectarian strains could also at
times follow somewhat independent courses. The saint-
On the S´aiva side, the most distinctive sect is the Kash-
singer tradition continued to take S´aiva and Vais:n:ava forms
mir S´aiva, or Trika, school, established in the ninth century,
among the Lin˙ga¯yats and the Harida¯sas of Karnataka, and
with possibly earlier roots. It is nondualist, but from the
also to be associated there with sects (the Lin˙ga¯yats them-
standpoint that all is essentially S´iva. As pure being and con-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4006
HINDUISM
sciousness, S´iva is aware of himself through reflection in the
of the caste system in relation to local forms of worship more
universe, which he pervades as the a¯tman and in which he
generally. As they function, the two structures are intimately
is manifest through his ´sakti (power, or female energy, per-
related.
sonified as the Goddess). The universe is thus an expression
Generally speaking, whether one defines a locality in
of S´iva’s aesthetic experience of his creative awareness as self
large terms (a region, a former kingdom) or small terms (a
and his delight in unity with his S´akti. “Recognition” of S´iva
city, town, or village), one will find two types of divinities:
as the a¯tman, and experience of the self through spanda
pure and impure. The pure divinities are forms taken
(“vibration”)—an attunement to the blissful throbbing
locally—avata¯ras—of the great gods Vis:n:u and S´iva. Some-
waves of divine consciousness in the heart—are among the
times the Goddess is also purified to this rank, often with a
means to liberation. One of the foremost systematizers of this
myth explaining her change from violent to peaceful habits
school was Abhinavagupta (c. 1000 CE), who developed the
(as with the alleged conver:s:ion of the goddess Ka¯ma¯ks:i at
view that states of aesthetic appreciation (rasas, “tastes”) are
Kanchipuram, Tamil Nadu, by S´an˙kara). And in certain re-
modes of experiencing the divine Self. Though favoring
gions S´iva’s sons Murukan/Skanda (in Tamil Nadu) and
´santarasa (the rasa of peacefulness), Abhinavagupta’s theories
¯
Gan:e´sa (in Maharashtra) also assume this role. In their tem-
influenced the North Indian medieval devotional poetry that
ples, these gods are offered pure vegetarian food by brah-
explored bhakti itself as a state of rasa, with such powerfully
mans. Today, all castes can worship in such temples, thanks
evocative modes as love of Kr:s:n:a in the relationships of ser-
to temple entry legislation by the postindependence govern-
vant-master, parent-child, and lover-beloved. This type of
ment; formerly, low castes were excluded. These castes still
devotional intensity reached its peak in the person of the
maintain their own temples where impure gods are served
Bengali saint Caitanya (1486–1533), founder of the Gaud:iya
with nonvegetarian offerings, that is, sacrifices of male ani-
Vais:n:ava sect, whose ecstatic dancing and singing enabled
mals, usually cocks and goats but occasionally water buffalo.
him to experience the love of Ra¯dha¯ and Kr:s:n:a. Popular tra-
Legislation prohibiting buffalo sacrifices has so far had mixed
dition regards him as an avata¯ra of Kr:s:n:a, a form assumed
results.
by Kr:s:n:a to experience in one body his union with his Sakti.
Whereas worship of pure gods—especially at remote
POPULAR HINDUISM. The main current of living Hinduism
pilgrimage sites—is focused ultimately on renunciation and
is popular Hinduism. It has been affected by every change
liberation, that of impure gods is dominated by down-to-
the tradition has gone through and may fairly be assumed
earth concerns. One thus finds among the general category
to have ancient roots, in some aspects traceable to Indus Val-
of impure gods lineage deities (kuladevata¯s), caste deities,
ley religion, in others to ´su¯dra, village, and tribal forms of
and village deities (gra¯madevatas). The first are usually but
religion that were never more than alluded to—and then
not always male, and some are deities for brahman as well
negatively—in the ancient and classical sources. Bhakti and
as low-caste lineages. Caste deities and village deities are usu-
Tantra are two movements within Hinduism that draw in-
ally female, and the category may overlap where the deity of
spiration from this broad current, and popular Hinduism
a locally dominant caste becomes also the village deity.
today remains dominated by bhakti and Tantric expressions.
Where the village deity (usually a goddess) is the deity of a
It is, however, perilous to look at popular Hinduism
vegetarian caste or has had her cult purified to bring it into
from the perspective of what it might have once been: that
accord with high-caste standards, she frequently has one or
is, to attempt to isolate or reconstruct its Dravidian, pre-
more male assistants—impure demons converted to her
Aryan, or non-Brahmanic components. Although hypothe-
cause and frequently lineage gods themselves—who handle
ses about pre-Aryan and non-Aryan forms of popular Hindu-
the animal sacrifice (real or symbolic) for her, often out of
ism are certainly worth pursuing, they must be informed and
her line of sight.
restrained by a sound understanding of the comprehensive
Nonetheless, though opposing principles are each given
structures through which both popular and Brahmanic
their play, it is their overlap and interrelation that is most
forms of Hinduism are integrated at the popular level. As-
striking. Low castes worship the pure gods in their temples.
pects of popular religion that might look non-Aryan turn out
And high castes acknowledge the power of the impure dei-
on closer examination to involve Vedic prolongations. Nor
ties, not only as kuladevata¯s, but through selective (pure)
are recent constructs such as sanskritization, brahmanization,
means of participation in festivals sponsored by lower castes.
or ks:atriyazation—all useful up to a point, but stressing only
Through the universalization of bhakti, the impure gods are
the adoption by low-caste groups of high-caste models—
sometimes also the prototypes for the demons whose deaths
adequate to account for the multivectored process that must
at the hands of the pure deities transform them into their
have occurred for a long time as it continues to occur today.
devotees. These local myths have their roots in Puranic my-
thologies, and the sacrificial practices they evoke involve at
Amid the bewildering variety of popular Hindu rites,
least in part prolongations and reinterpretations of the Vedic
customs, and beliefs, two broad structures can be identified
animal sacrifice.
that clarify this overall integration. One involves the working
out of the implications of bhakti in relation to temple wor-
The second issue—working out of the implications of
ship; the other involves the working out of the implications
the caste system in relation to local forms of worship—has
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HINDUISM
4007
thus already been touched upon, but with the focus of issues
by the Marathas in Maharashtra and the South (late six-
of purity and impurity as defined by brahman and low-caste
teenth century–1761)—clearly fostered the Hindu ideal of
involvements. There remains the issue of the role of the
the territorial kingdom, big or “little,” as a model for the pro-
ks:atriya, or more particularly the king, as the ruler of the
tection of ongoing Hindu values. Under the Muslim rulers,
land. The caste system has traditionally functioned in locally
in fact, many Hindu chiefs and petty rajas were left in control
defined territories, “little kingdoms,” where the local ruler
of their local realms so long as they paid tribute and supplied
had certain roles to perform. No matter what his actual caste,
military support. In these circumstances, conservative and
whether high or low, pure or impure, he had to function as
puritanical tendencies seem to have gained momentum in or-
a ks:atriya. In his ceremonial status, he performed the role of
thodox Hinduism, particularly in regard to caste and the pu-
jajma¯n, engaging him at the core of a system of prestations
rity of women. Nonetheless, one finds numerous cases where
and counterprestations with other castes as a sort of patron
Muslim themes and figures have been integrated into popu-
for those who perform services for him. Most significantly,
lar Hindu myth and ritual, but usually in ways that indicate
this title derives from the Vedic yajama¯na, “sacrificer,” and
Muslim subordination to a local or regional Hindu deity.
prolongs not only the yajama¯na’s function as patron of other
castes (particularly brahmans, who offer sacrifices for him),
While orthodox, popular, and domestic forms of Hin-
but that of “sacrificer” itself. The model of the king as jajma¯n
duism thus drew in on themselves, however, Hindu sectarian
on the regional territorial level has its counterpart in the vil-
traditions multiplied, particularly in the period of the break-
lage in the person(s) of the leader(s) of the locally dominant
up of the Delhi sultanate (1206–1526). Notable at this time
caste, who assumes the role of yajama¯na at village festivals.
were Caitanya in Bengal, and two exemplars of the North
When, as was until recently widely the case, the village festi-
Indian sant (holy man) tradition: Kabir (c. 1440–1518, from
val involves the sacrifice of a buffalo, it thus occurs within
Banaras) and Na¯nak (1469–1539, from the Punjab). These
a continuum that includes the royal buffalo sacrifice tradi-
two latter figures both preached a path of loving devotion
tionally performed in connection with the pan-Hindu festi-
to one God that combined aspects of Islamic Sufism and
val of Dussera, and the mythology of the goddess Durga¯ and
Hindu bhakti. They thus formulated probably for the first
the buffalo demon Mashs:a¯sura that is traceable to the
time in terms partly Hindu an exclusivist monotheism like
Devima¯ha¯tmyam in the Ma¯rkan:d:eya Pura¯n:a. There are many
that found in the Abrahamic traditions of Islam, Christiani-
local and regional transformations of this pattern, but a basic
ty, and Judaism. Over and against the direct experience of
theme is that the Goddess, who personifies victory, acts for
this one God, all else was mediate and external, whether the
the yajama¯na and the kingdom or village in her conquest
practice were Muslim or Hindu. Thus not only caste but idol
over demonic forces (impure barbarians, drought, diseases)
worship was rejected by these teachers. But though their syn-
that threaten the welfare of the local terrain over which she,
cretistic poetry remained highly popular, it did little to
as goddess, presides.
change the Hindu practices it criticized. Na¯nak’s work in
HINDU RESPONSES TO ISLAM AND WESTERNIZATION. Self-
particular provided the foundation for the Sikh tradition, an
conscious Hindu responses to influences from the West were
increasingly non-Hindu and non-Muslim movement on its
first worked out in the classical period in the epics, the
own. Nor did the syncretistic interests of the great Mughal
Dharma´sa¯stras, and the Pura¯n:as. It seems that military dom-
emperor Akbar (ruled 1555–1605) do much to encourage
inance by “barbarian” peoples in that period provided one
theological synthesis, despite the popularity of his, for the
of the incentives for the articulation of Hindu orthodoxy. Is-
most part, religiously tolerant rule. Akbar’s successors on the
lamic rule and Western rule in India have provided similar
Mughal throne abandoned his policies and pursued expan-
incentives, but this often goes unmentioned as historians
sionist goals that aroused resistance from the heirs of the Vi-
place their emphasis on what is supposedly new. A full ac-
jayanagar and the Rajput kingdoms, and especially from the
counting of the impact of almost ten centuries of Islam and
Sikhs and the new power of the Marathas. The seeds of a na-
five centuries of Western presence in India would have to
tionalist vision of Hinduism may be traced through these
deal not only with their distinctive new influences but also
movements and back to the imperial ideal of the epics.
with the ways in which traditional Hindu models have been
Under the British, certain reform tendencies initiated
revived and applied in new and adaptive ways, often on the
under Muslim rule were carried forward, freshly influenced
folk and popular level. That, however, can only be alluded
by Christian missionary activity and Western education.
to here.
Most notable were the reform movements of the nineteenth
Islamic influence on Hinduism has many dimensions,
century. The Bra¯hmo Sama¯j was founded in 1828 by Raja
all difficult to assess. From the time of the raids of Mahmud
Ram Mohan Roy (1772–1833, from Calcutta). In an early
of Ghazni into Northwest India (977–1030) into the period
treatise Roy wrote an attack on idolatry that showed Muslim
of Mughal dominance, Hindus had to deal periodically with
influence, but by the time he founded the Sama¯j he had been
outbreaks of violence and iconoclastic zeal. Regional defense
more affected by Christianity, and particularly by the Unitar-
of Hindu traditions against Islam—first by the Rajputs in
ians. Roy thus introduced a kind of deistic monotheism and
Rajasthan, then by the Vijayanagar rulers and their succes-
a form of congregational worship to go along with a rejection
sors in South India (1333–eighteenth century), and finally
of idolatry, caste, sacrifice, transmigration, and karman. 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
4008
HINDUISM
A¯rya Sama¯j, founded in 1875 by Swami Dayananda Sarasva-
Hinduism is essentially monotheistic, that caste is not essen-
ti (1824–1883, from Kathiawar), denied authenticity to Pu-
tially Hindu, that Hindu tolerance does not deny the truths
ranic Hinduism and attempted a return to the Vedas. Show-
of other religions, that Hinduism is in accord with modern
ing that the Vedas lent no support to image worship and
science, and so on—have had major influence on a Western-
various social practices, he went further to assert that they
educated, largely urban elite that, at least for now, controls
were monotheistic. As regards caste, he championed the
the media and the educational processes of contemporary
varn:a theory as an ancient social institution but denied that
India. It remains to be seen how this new vision of unity will
it was religious. Both movements split into rival camps.
square with the traditionally diverse Hinduism of the vast
population of the countryside.
The Ramakrishna Mission, established on the death of
its founder Ramakrishna (1834–1886) and carried forward
SEE ALSO Arya Samaj; Avata¯ra; Bengali Religions;
by his disciples, most notably Vivekananda (1863–1902), is
Bhagavadg¯ıta¯; Bhakti; Bra¯haman:as and A¯ran:yakas; Brahmo
more representative of traditional Hindu values. Strong
Samaj; Buddhism, Schools of, article on Esoteric Buddhism;
bhakti and Tantric strains converged in the mystical experi-
Cosmology, article on Hindu Cosmology; Dharma, article
ences of Ramakrishna and were held in conjunction with an
on Hindu Dharma; Domestic Observances, article on
initiation into Advaita Veda¯nta and experiences of the one-
Hindu Practices; Drama, article on Indian Dance and
ness of all religions through visions not only of Hindu deities
Dance Drama; Goddess Worship, article on The Hindu
but of Jesus and Alla¯h. For many followers, this humble
Goddess; Hindi Religious Traditions; Hindu Religious Year;
priest of Ka¯l¯ı has thus come to be regarded as an avata¯ra,
Hindu Tantric Literature; Iconography, article on Hindu
in the tradition of Caitanya. Vivekananda, Western-
Iconography; Indian Philosophies; Indian Religions, article
educated and keenly intellectual, attended the World’s Par-
on Rural Traditions; Indus Valley Religion; International
liament of Religions in Chicago in 1893, lectured widely,
Society for Krishna Consciousness; Kr:s:n:aism; L¯ıla¯;
and established the Veda¯nta Society of New York. When he
Maha¯bha¯rata; Marathi Religions; Music, article on Music
returned to India as a recognized champion of Hindu self-
and Religion in India; Poetry, article on Indian Religious
Poetry; Priesthood, article on Hindu Priesthood; Pu¯ja¯, arti-
pride, he helped to organize the disciples of Ramakrishna
cle on Hindu Pu¯ja¯; Pura¯n:as; Ra¯ma¯yan:a; Rites of Passage,
into the pan-Indian Ramakrishna Mission. The first such
article on Hindu Rites; S´aivism; S´an˙kara; S´a¯stra Literature;
teacher to gain prominence in India by popularity gained
Southeast Asian Religions; Su¯tra Literature; Tamil Religions;
abroad, he thus inadvertently set up a pattern that has been
Tantrism; Temple, article on Hindu Temples; Upanis:ads;
followed by many prominent gurus and swamis in the twen-
Vais:n:avism; Varn:a and Ja¯ti; Veda¯n˙gas; Vedas; Vedism and
tieth century. Notable among them are Swami A. C.
Brahmanism; Worship and Devotional Life, article on
Bhaktiveda¯nta (1896–1977), founder of the Hare Krishna
Hindu Devotional Life.
movement (ISKCON) as an outgrowth of the Bengal Cai-
tanya tradition, and Swami Muktananda (1908–1982), ex-
BIBLIOGRAPHY
ponent of siddhayoga teachings that draw on Kashmir Sai-
Three introductions to the whole Hindu tradition deserve recom-
vism.
mendation: Thomas J. Hopkins’s The Hindu Religious Tradi-
An earlier figure, one who attracted a large Western fol-
tion (Encino, Calif., 1971) is strongest in the early period (a
second edition is expected); Madeleine Biardeau’s
lowing without ever leaving India, was S´r¯ı Aurobindo
L’hindouisme: Anthropologie d’une civilisation (Paris, 1981) is
(1872–1950), whose career spanned nationalist political ac-
strongest on the classical period and popular traditions; and
tivism in Bengal (up to 1908), followed by the establishment
J. L. Brockington’s The Sacred Thread: Hinduism in Its Con-
of an ashram (hermitage) in Pondicherry for the teaching of
tinuity and Diversity (New York, 1981) is strongest on medi-
a type of integral yoga that stressed the “evolutionary” prog-
eval and modern Hinduism. On Indus Valley religion, a bal-
ress of the soul toward the divine. One must also mention
anced and visually informative presentation is found in
Mohandas K. Gandh¯ı (1869–1948), whose reputation upon
Robert E. Mortimer Wheeler’s Civilizations of the Indus Val-
returning to India in 1915 after twenty-one years in England
ley and Beyond (New York, 1966). On pre-Upanis:adic Vedic
and Africa was not that of a guru but a champion of Indian
religion as a whole, see Jan Gonda’s Vedic Literature:
causes against social and economic discrimination. As he
Sam:hita¯s and Bra¯haman:as (Wiesbaden, 1975), vol. 1, no. 1
of his History of Indian Literature. On Indo-European con-
took on more and more ascetic and saintly aspirations, how-
tinuations in early Indian religion, see Georges Dumézil’s
ever, Gandh¯ı sought to combine an ideal of dispassioned and
The Destiny of the Warrior, translated by Alf Hiltebeitel (Chi-
nonviolent service to humanity, modeled on the
cago, 1970). On R:gvedic religion, see Wendy Doniger
Bhagavadg¯ıta¯’s doctrine of karmayoga, with work for Indian
O’Flaherty’s The Rig Veda: An Anthology (Harmondsworth,
svara¯j (“self-rule”).
England, 1982) for a selection of important hymns; Jan
Gonda’s The Vision of the Vedic Poets (The Hague, 1963), for
Although sometimes referred to as a Hindu renaissance,
an account of the Vedic poetic process; Arthur A. Macdo-
the effect of the various reformers since the nineteenth centu-
nell’s Vedic Mythology (1897; reprint, New York, 1974), for
ry has been to a certain extent more ideological than reli-
the classic account of Vedic myth; and R. Gordon Wasson’s
gious. Where they founded religious movements, these at-
Soma: Divine Mushroom of Immortality (New York, 1968),
tracted only small followings. But their religious views—that
for his interpretation of the soma plant. On the Bra¯haman: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
HINDUISM IN SOUTHEAST ASIA
4009
and Vedic ritual, see Sylvain Lévi’s La doctrine du sacrifice
lar Hinduism, Henry Whitehead’s The Village Gods of South
dans les Brâhman:as, 2d ed. (Paris, 1966), for a classic study
India, 2d ed., rev. & enl. (Delhi, 1976), is the essential docu-
focused on the mythology; Madeleine Biardeau and Charles
mentary introduction; Marie-Louise Reiniche’s Les dieux et
Malamoud’s Le sacrifice dans l’Inde ancienne (Paris, 1976),
les hommes: Étude des cultes d’un village du Tirunelveli Inde
especially the essay by Malamoud on the place of the ritual
du Sud (New York, 1979) and Lawrence A. Babb’s The Di-
honoraria (daks:ina¯s) in the sacrificial round; and Arthur Ber-
vine Hierarchy: Popular Hinduism in Central India (New
riedale Keith’s The Religion and Philosophy of the Veda and
York, 1975) are important regional studies with significant
Upanishads, 2d ed. (Westport, Conn., 1971), for a solid
anthropological insights; David D. Shulman’s Tamil Temple
overview. On the Upanis:ads, Paul Deussen’s The Philosophy
Myths: Sacrifice and Divine Marriage in the South Indian
of the Upanis:hads, 2d ed., translated by A. S. Gelden (New
S´aiva Tradition (Princeton, N.J., 1980) discusses local tem-
York, 1966), is still the standard comprehensive study. On
ple ver:s:ions and inversions of the classical bhakti myths. On
the classical Hindu period as a whole, Madeleine Biardeau’s
reform movements and modern Hinduism, see John N. Far-
study in Le sacrifice (cited above) and Cosmogonies
quhar’s Modern Religious Movements in India (New York,
pura¯n:iques, (Paris, 1981), vol. 1 of her Études de mythologie
1915), on nineteenth-century figures, and Agehananda
hindoue, are indispensable for their integrative treatment. On
Bharati’s Hindu Views and Ways and the Hindu-Muslim In-
dharma literature, see Pandurang Vaman Kane’s monumen-
terface (Delhi, 1981), for an interesting inside-outside an-
tal A History of Dharma´sa¯stra, 5 vols. (Poona, 1930–1962),
thropological view.
which covers far more besides, and Robert Lingat’s The Clas-
New Sources
sical Law of India, translated by J. D. M. Derrett (Berkeley,
Flood, Gavin D. An Introduction to Hinduism. New York, 1996.
Calif., 1973), an invaluable overview. On caste, see Louis
Dumont’s Homo Hierarchicus, translated by Marc Sainsbury,
Klostermaier, Klaus K. A Concise Encyclopedia of Hinduism. Ox-
rev. ed. (Chicago, 1970), discussing his own and others’ the-
ford, 1998.
ories. On the six philosophical systems, for the most authori-
Klostermaier, Klaus K. A Short Introduction to Hinduism. Oxford,
tative overview see Surendranath Dasgupta’s A History of In-
England, 1998.
dian Philosophy, 5 vols. (Cambridge, 1922–1955). On
Knipe, David M. Hinduism: Experiments in the Sacred. Religious
classical bhakti and its mythology in the epics and Pura¯n:as,
Traditions of the World. San Francisco, 1991.
in addition to the works above by Biardeau, see also her im-
portant “Études de mythologie hindoue,” parts 1 and 2, Bul-
Sharma, Arvind. Modern Hindu Thought: The Essential Texts. New
letin de l’École Française d’Extrême Orient 63 (1976): 111–
Delhi; New York, 2002.
263, and 65 (1978): 87–238. My own The Ritual of Battle:
ALF HILTEBEITEL (1987)
Krishna in the “Maha¯bha¯rata” (Ithaca, N. Y., 1976) and
Revised Bibliography
Jacques Scheuer’s S´iva dans le Maha¯bha¯rata (Paris, 1982) ex-
plore complementary roles of the major deities in the
Maha¯bha¯rata; see also the classic study of E. Washburn Hop-
kins, Epic Mythology (1915; reprint, New York, 1969). On
HINDUISM IN SOUTHEAST ASIA. S´aiva,
Puranic materials, see Classical Hindu Mythology: A Reader in
Vais:n:ava, and other sectarian traditions involving the wor-
the Sanskrit Pura¯n:as, translated and edited by Cornelia Dim-
ship of the many gods and goddesses that fall under the ru-
mitt and J. A. B. van Buitenen (Philadelphia, 1978), a repre-
bric of what is today called Hinduism have existed in parts
sentative selection with interpretative introductions; and
Wendy Doniger O’Flaherty’s S´iva: The Erotic Ascetic (Ox-
of Southeast Asia for over two thousand years. Most of these
ford, 1973), on major themes in the mythology of S´iva, and
early Hindu traditions have died out, but the dominance of
Women, Androgynes, and Other Mythical Beasts (Chicago,
their presence is attested by a legacy of architecture and per-
1980), on relations between the sexes and between humans,
forming arts, and to a lesser extent, proper names, manu-
gods, and animals in the myths. On temple architecture and
scripts, and rituals. Small pockets of Hindus from early mi-
symbolism, see Stella Kramrisch’s The Hindu Temple, 2 vols.
grations, as well as descendants of more recent migrations,
(Calcutta, 1946). For a sound and highly readable transla-
still live in Southeast Asia. Many of the early kingdoms in
tion of the Bhagavadg¯ıta¯, and an important introduction, see
Southeast Asia, starting in the first half of the first millenni-
The Bhagavadg¯ıta¯ in the Maha¯bha¯rata translated and edited
um CE, adopted and adapted the specific Hindu texts, theol-
by J. A. B. van Buitenen (Chicago, 1981). On Tantra, see
ogies, rituals, architecture, and forms of social organization
Agehananda Bharati’s The Tantric Tradition (London, 1965)
and Sanjukta Gupta, Dirk Jan Hoens, and Teun Goudri-
that were suitable to their times and conditions. These tradi-
aan’s Hindu Tantrism (Leiden, 1979). For an incisive presen-
tions especially their relationship to the sacrality of the land
tation of S´an˙kara’s nondualism, see Eliot Deutsch’s Advaita
and social structures indicates that Hinduism was character-
Veda¯nta: A Philosophical Reconstruction (Honolulu, 1969).
ized by transnational features, which adds nuance to our un-
On Yoga and asceticism, see Mircea Eliade’s Yoga: Immortal-
derstanding of the cultural features that were carried by
ity and Freedom, 2d ed. (Princeton, N.J., 1969); see also
Hindu migrants.
G. S. Ghurye’s Indian Sadhus, 2d ed. (Bombay, 1964) with
discussion of monastic orders. On sectarian Hinduism, see
The many areas where Hindu and Maha¯ya¯na Buddhist
R. G. Bhandarkar’s Vais:n:avism, S´aivism, and Minor Religious
culture coexisted, peacefully for the most part, included
Systems (1913; reprint, Varanasi, 1965), still a classic over-
Champa (central and southern areas of Vietnam), Kambuja
view. On bhakti revivalism, see V. Raghavan’s The Great In-
(Cambodia), Sri Vijaya, Yavadvipa (Indonesia, Java, and pos-
tegrators: The Saint-Singers of India (Delhi, 1966). On popu-
sibly Malaysia and other countries), Suvarn:a Dvipa (“the gol-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4010
HINDUISM IN SOUTHEAST ASIA
den island,” a name identified with many places), Sri Kshetra
as in Cambodia, the Sanskrit inscriptions are followed by re-
(Burma/Myanmar), as well as Thailand and Laos. Although
cords in a local language. Most books and manuscripts in
Hindu traditions thrived in all these countries, there were
Cambodia have been destroyed over the centuries, but many
perhaps more Hindu dynasties and a greater degree of state-
stelae carry inscriptions.
sponsored Hinduism in Cambodia than in other kingdoms.
By about the fifteenth century, with the increasing populari-
Chinese texts, including travelogues and descriptions by
ty of other traditions, such as Therava¯da Buddhism in Cam-
visiting political missions, also provide extensive information
bodia and Islam in Indonesia, the explicit practice and ac-
on cities, everyday life, royal processions, and so on. Theatri-
knowledgment of the Hindu traditions died out.
cal performances in Thailand and Indonesia introduce us to
the world of Kakawin poetry, said to be descended from the
The boundaries of most kingdoms fluctuated through
ka¯vya style of literature in India. Manuscripts, copied
the centuries. At the height of its power, for instance, the
through the generations in Indonesia, give us various ver-
Kambuja Empire included a major part of Southeast Asia
sions of the Hindu epics and stories from the Pura¯n:as. Tem-
from present-day Myanmar (Sri Kshetra) to central Vietnam
ple architecture and iconography also inform us of the depth
(Champa), from the southern Chinese province of Yunnan,
and pervasiveness of Hindu culture in Southeast Asia, as well
all the way down to the Malayan peninsula.
as the areas in India from which the migrants may have
George Coedes (1880–1969) and other scholars called
come.
the process by which Hindu and Buddhist cultures and
ORIGIN STORIES. Several founding stories, especially those
worldviews were transplanted in Southeast Asia Indianiza-
of the Khmer people, speak about the union of an Indian an-
tion. Hindu and Buddhist traders, priests, and an occasional
cestor with a na¯ga woman. The term na¯ga in Indian (Bud-
prince traveled to Southeast Asia beginning in about the sec-
dhist, Hindu, and Jain) narratives refers to a semi-divine
ond half of the first millennium BCE (or earlier) and eventual-
group of people associated with serpents. Some stories depict
ly migrated there. The term Indianization, however, should
them as being descended from serpents, or as having some
be used with caution; although one can certainly speak about
of their mythical powers. The term na¯ga also referred to a
many features of “Indian” culture that took root and still lin-
community of people in India during the time of the Bud-
ger in the area, there was a dynamic interaction between local
dha. Early Chinese accounts (c. 230 CE) speak of a man from
traditions and those brought by Indian traders and migrants.
India named Hundien meeting a woman, Liu Ye, who ruled
While there was considerable Sanskritization and Brahman-
over the land. After a battle, Hundien (Kaundinya?) married
ization, the depth of the influence of these traditions for the
the princess. Another story traces the people of Cambodia
people is still a matter of scholarly dispute. The most perva-
to the royal holy man Kaun:d:inya who is said to have married
sive areas of influence seem to have been in the dissemination
of architecture, rituals, and narratives such as the Ra¯ma¯yan:a
the local na¯ga princess, Soma. This version of the story,
and the Maha¯bha¯rata. Many of the traditions, especially
which some scholars consider a distinct narrative, is recount-
those of the epics, are still performed, but the stories are situ-
ed in a temple inscription in Mi Son (Champa), which prob-
ated in the context of Buddhist traditions.
ably dates to around the third century, or perhaps much
later. This inscription tells of Kaun:d:inya receiving a javelin
SOURCES OF KNOWLEDGE. Our knowledge of Hindu tradi-
or a spear from Asvathamman (the son of Dron:a, a teacher
tions in Southeast Asia is based on archaeological sources,
of the princes in the Maha¯bha¯rata) and throwing it into the
icons, inscriptions, temple architecture, texts, and perform-
air, thus marking his territory. He eventually married Soma,
ing arts. Archaeological evidence, including icons of several
daughter of a na¯ga king. A later Cambodian story that does
deities, coins, jewelry, and the like, has been of utmost im-
not turn up until the classical age (c. ninth century CE) tells
portance. Most informative are the elaborate Sanskrit in-
of a legendary sage Kambu who married a celestial woman
scriptions that mark donations, consecrations of temples and
called Mera. Some scholars derive the word K(h)-mer from
icons, and dedications of public works. Some of the longest
the names of these parents. The country born (Skt., ja) from
Sanskrit inscriptions are found in this region, particularly in
the union of Mera and Kambu was called Kambuja.
Cambodia. The inscriptions are in many Sanskrit meters and
reveal an excellent knowledge of Sanskrit literature and liter-
In these stories, a male ancestor from India marries a di-
ary conceits. Dating of these inscriptions has been problem-
vine or local princess; the name Soma (“moon”) suggests the
atic, but some of the early ones in the Mi Son temple com-
alliance between the male ruler from the solar lineage and the
plex in Vietnam may date to as early as the third century CE.
woman from a lunar lineage. The solar and lunar dynasties
A late fifth-century inscription in the kingdom known as
were prominent in Hindu narratives, and almost every
Funan (southern Cambodia and Vietnam) describing Queen
Hindu king traced his ancestry to these lines. Some of these
Kulaprabhavati’s endowment of monies to a hermitage may
stories are connected with the Pallava dynasty, which was in
be one of the earliest inscriptions in Cambodia. Inscriptions
power in the Southeast part of India (Tamil Nadu), particu-
have been found in Thailand, Indonesia, Vietnam, and Bali.
larly near the city of Kanchipuram. Other stories, like those
The rise and decline of Sanskrit as the medium for these in-
of the na¯ga origin, are strikingly similar to those found near
scriptions follow trends that are seen in India. In many cases,
Kashmir.
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HINDUISM IN SOUTHEAST ASIA
4011
ORIGINS OF THE MIGRANTS IN INDIA. It is difficult to cate-
land, and that local rulers invited Indian brahmans to serve
gorically state the various places in India from which the
them and selected what they wanted of Indian culture. It is
Hindu migrants in Southeast Asia came. Speculations on
certainly true that although there was extensive cultural in-
places of origin in India are based on fragmentary sources,
fluence from India, some important features of Indian life—
including inscriptions, histories of maritime expeditions, and
including the dietary culture and the caste system—never
stylistic similarities between architecture and sculptures.
took hold in Southeast Asia.
There seem to have been both sea routes and land routes
Indian migration to Southeast Asia occurred in small
from India to Southeast Asia.
waves, with the migrants following land and sea routes.
Two areas that seem to have had regular and extensive
These new people came with their narratives and literary tra-
contact with Southeast Asia are Kanchipuram (near Chen-
ditions, a knowledge of construction techniques and the reli-
nai, South India) and the areas traditionally known as Kalin-
gious principles behind the engineering of temples, as well
ga (modern Orissa), farther north on the east coast of India.
as public waterworks, performing arts, astronomy and astrol-
The temple towers of Angkor Wat (or Vatt), for instance,
ogy, and statecraft. Small groups of settlers seem to have
are strikingly similar to those found in Orissa, particularly
shared their traditions through the invitation or request of
the Brahmeshwar Temple (built circa 1061 CE by Queen
the local elite. Some of these were adopted by the local peo-
Kolavati) near Bhubaneshwar. The area between Orissa and
ple, some modified, others jettisoned.
Andhra Pradesh near the lower Kr:s:n:a River also seems to
Archaeological data from the Oc Eo area of the Mekong
have been a place from which there was active contact with
Delta shows evidence of settlements from before the begin-
Southeast Asia.
ning of the Common Era. Chinese texts speak about a state
Kanchipuram was an important city in South India for
called Funan occupying a part of Cambodia and southern
several centuries. The Angkor Wat, for instance, is a three-
Vietnam. While there are Chinese descriptions of this king-
storied, west-facing temple dedicated to Vis:n:u, similar to the
dom from about the third century CE, it may have been in
Vaikuntha Perumal temple, built in the eighth century in
existence as much as two centuries before that. Historically,
Kanchipuram. The temple in Cambodia replicates some of
evidence of early Indianization in Southeast Asia is offered
these features and combines it with the architecture of Kalin-
by Sanskrit inscriptions, including an inscription in Champa
ga. The area around Kanchipuram also has several temples
(at Vo-Canh in the Khanh-Hoa province of modern Viet-
with icons of Vis:n:u similar to those in Cambodia.
nam), which dates to the third century CE. Here, the author
refers to himself as the delight of the family of Srimar, a
More speculative are theories pointing to other areas
king who established a dynasty in Champa in the second
near Kashmir as the source for certain aspects of Hindu cul-
century CE.
ture in Southeast Asia. Some Hindu origin stories are similar
to those of Kashmir and Nepal. In addition, there are strik-
By the fifth century CE, several small Hindu and Bud-
ing similarities in the sculpture and texts of the Chalukya
dhist kingdoms were established in the Indonesian archipela-
empire (northern Karnataka, c. sixth century CE) and some
go. The Srivijaya kingdom, based in Palembang in south Su-
Southeast Asian cultures.
matra, was very powerful for a while, controlling key trade
routes and extending its empire to Thailand in the north and
There are hundreds of place names in Southeast Asia
West Borneo in the east. It was largely Buddhist, but Hindu
that are similar to names in India.
dynasties flourished in central Java. In the Sanjaya (Ma-
There were many areas in India that could have been
taram) kingdom, one of the best known and largest Hindu
the land of origin for the migrants who settled in Southeast
temples—the Loro Jonggrang at Prambanan (near Yogya-
Asia. Hinduism seems to have been global or at least transna-
karta)—was built in the ninth century CE. Hindu dynasties
tional. There seems to have been regular contact with traders,
ruled in Bali after the ninth century CE.
sailors, pilgrims, and migrants, and therefore continuing
Clear Indian influence is evident in the names of places
links between South and Southeast Asia.
and royalty. Many of the early kings in this region had
EARLY HISTORY AND ASPECTS OF HINDU CULTURE IN
Hindu Sanskrit names, such as Rudravarman, Bhavavarman,
SOUTHEAST ASIA. Historians believe exchanges of goods and
or Jayavarman. Almost all the early kings in Southeast Asia
ideas between India and Southeast Asia may have begun as
bore names ending with the royal varman, as was the custom
early as 350 BCE; such an exchange had certainly been estab-
in India, where, according to the dharma, names of ks:atriya
lished by the first few centuries of the Common Era. Traders,
should end with varman. There is also evidence of women
their families, and eventually priests came and settled in these
rulers; the earliest may have been Queen Kulaprabhavati in
lands and eventually intermarried with the local people. The
southern Cambodia in the fifth to sixth centuries CE. Queen
cultures of India may have spread in this way all over South-
Jayadev¯ı ruled in Cambodia in the early eighth century. The
east Asia. Some scholars, however, insist that local kingdoms
earliest capital in Cambodia was called “Hari hara alaya”—
exercised a great deal of control over what they imported
the sacred abode of Hari (Vis:n:u) and Hara (S´iva). Some of
from India, that Indian court culture was not a dominant
these names have lingered and have been modified in South-
culture imposed from outside on a passive Southeast Asian
east Asia.
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4012
HINDUISM IN SOUTHEAST ASIA
Coronation and consecration rituals referred to in the
at Bantei Srei in Cambodia, women were involved in the
inscriptions seem to follow Hindu texts. In Cambodia, after
consecration. The Prambanan temple in Yogyakarta, Indo-
the time of Jayavarman II (early ninth century), we hear
nesia, has temples to Brahma¯ and Vis:n:u, but the main shrine
about the “devara¯ja [god-king] cult.” Hiranyadama, the
is dedicated to S´iva.
royal guru¯, apparently conducted this rite, and it seems to
have established Jayavarman’s legitimacy. The Sdok Kak
Maha¯ya¯na temples included stupas, along with Bud-
Thom inscription (c. 1052) gives many details about the
dhist and Hindu deities. Thus, there is a stupa at the center
concept of devara¯ja and associates it with a particular temple
of Preah Khan (near Siem Reap), which was constructed by
(Rong Chen) and with specific kings. The concept of
Jayavarman VII (a Maha¯ya¯na king), as well as a very large
devara¯ja involved the concept of the king (ra¯ja) as a divine
S´iva lin˙ga on the western side of the structure. There is also
being (deva), perhaps centering the royal power in a particu-
a magnificent panel of Vis:n:u on Ananta, with Laks:m¯ı at his
lar icon of S´iva (a lin˙ga) and divine power in the kings. Per-
feet. Similarly, at the Bayon, which was built by the same
haps only kings whose hereditary legitimacy was in doubt
king, there are many panels depicting Vis:n:u, Laks:m¯ı, and
emphasized the devara¯ja concept.
S´iva.
HINDU DEITIES IN SOUTHEAST ASIA. S´iva, Vis:n:u, and the
ARCHITECTURE. Hindu traditions have been showcased
goddess Laks:m¯ı were all popular in Southeast Asia, but in
most prominently in Southeast Asia through architecture.
addition, Hari-Hara, an amalgamation of Vis:n:u and S´iva,
There are hundreds of temples in every country, the most fa-
was revered, particularly in Cambodia. Hari-hara, who is
mous being the Loro Jonggrang temple (c. mid-ninth centu-
seen in reliefs in the Badami caves (c. sixth century CE,
ry), popularly known as the Prambanan temple, in Indone-
Northern Karnataka in India), became popular after the sev-
sia, and the Angkor Wat (mid-twelfth century) in
enth century. He is mentioned in many inscriptions in Cam-
Cambodia.
bodia, and is represented in numerous icons. Icons of
The Prambanan temple complex is about 20 kilometers
Brahma¯, Vis:n:u, S´iva, Hari-Hara, Gan:e´sa, Skanda, Nandi (a
east of Yogyakarta, Java. It is variously attributed to a king
bull sacred to S´iva), Garud:a (the eagle mount of Vis:n:u), the
of the second Mataram dynasty, Rakai Pikatan, or to Bali-
nine planets worshiped by Hindus, and other deities have
tung Maha Sambhu. There are well over 250 smaller temples
been found all over Southeast Asia. The invocations in in-
in the Prambanan complex, which is spread out on the Pram-
scriptions also express reverence to amalgamated deities like
banan plain. The main temple to S´iva is about 47 meters
Ardhana¯r¯ı´svara (a combination of S´iva and the goddess
high. Vis:n:u had his own shrine (as did Gan:e´sa) and is repre-
Pa¯rvat¯ı). Several incarnations of Vis:n:u are carved in temples.
sented in the carvings of the Ra¯ma¯yan:a found throughout
S´iva was perhaps the best known deity in all of South-
the complex. A princess, Loro Jonggrang, who is sometimes
east Asia. In Cambodia, S´iva is usually depicted with two
identified with Durga¯, is also enshrined in this complex.
wives, Uma¯ and Gan:ga¯. Rivers in Cambodia were eventually
S´iva’s temple is flanked by shrines to Vis:n:u and Brahma¯.
considered to be holy like the Ganges, such as, after the elev-
While Brahma¯, the minor creator deity, is seldom worshiped
enth century, the rivers flowing from the hill Phnom Kulen
in temples in India, there are several icons to him in South-
to irrigate Angkor. The sacrality of these rivers was stated on
east Asia. Worship of the three deities (Vis:n:u, S´iva, and
carvings made on rocks on their banks, which emphasized
Brahma¯) probably came to Southeast Asia before Brahma¯
the identification of such rivers as the Kbal Spean with the
was reduced to a minor deity in the subcontinent. In India,
Ganges. While S´iva worship, particularly as represented by
sculptures depicting Brahma¯ survived long after he lost his
the creative symbol of the lin˙ga, was popular, the worship
importance in the texts.
of Vis:n:u also flourished across the region. Knowledge of the
Indian Vais:n:ava texts, including the two epics, was wide-
All the major buildings in the Angkor area of Cambodia
spread, at least among the elite. Long after S´aivism and other
emphasize Hindu principles of construction. Many of them
forms of Hinduism disappeared from Cambodia as living re-
are theologies in stone. Some of the early temples were built
ligions, knowledge of the Ra¯ma¯yan:a thrived through the per-
on a square or a rectangular foundation; in others, the inner-
forming arts. Starting with the endowments of Queen Kula-
most shrine was to be a square. Temples to S´iva frequently
prabhavati in the late fifth century, many endowments were
stand on artificial hills of five levels; the number five, associ-
made to temples of Vis:n:u in Cambodia. The walls of many
ated with the five-syllabled mantra “Om: namah: ´siva¯ya,” is
temples are carved with scenes from the Ra¯ma¯yan:a and the
prominent in all constructions to this deity. The Bakheng,
Pura¯n:as, and scenes from the Ra¯ma¯yan:a are carved on the
in Cambodia, has 108 towers; from any side, only thirty-
walls of the Prambanan temple near Yogyakarta, Indonesia.
three towers are visible. This is said to remind one of the thir-
ty-three devas or celestial beings that the Br:hada¯ran:yaka
Most temples in Southeast Asia emphasize one deity but
Upanis:ad speaks of—describes eight vasus, eleven rudras,
consecrate many others in the same place. S´iva, Vis:n:u, and
twelve a¯dityas, plus Indra and Praja¯pati. Recent studies have
Dev¯ı are commonly represented all in the same building.
shown that the details of the measurements of Angkor Wat
Women seem to have had an important role in consecrating
correspond to various Hindu deities and their stars, as well
deities in temples; both in Bakong and later in the temple
as to the Hindu calendar.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HINDUISM IN SOUTHEAST ASIA
4013
Many Cambodia kings built Hindu temples in conjunc-
the demons, consummate enemies, came together to churn
tion with irrigation systems, reservoirs, and the management
an ocean of milk in search of the nectar of immortality.
of water reserves, although the issue of water management
Vis:n:u, who is glorified in this story, initiated the action and
is a contentious topic among scholars. Udaya aditya-varman
then helped by taking the form of a tortoise upon whose back
constructed a vast reservoir on the western side of Angkor
Mount Mandara, used as a churning rod, rested. The snake
(the western Baray); it is about 5 miles wide and 1½ miles
Va¯suki served as a rope, and after the rising of initial poison,
in length. A temple to Vis:n:u was later built in the center of
which S´iva swallowed to protect the participants, various
this area. Angkor functioned as both a sacred temple city and
treasures emerged. Laks:m¯ı also appeared and chose Vis:n:u as
as the administration point of a vast irrigation system.
her husband. Compared to the thousands of sculptures in
India relating to Ra¯ma or Kr:s:n:a, the more important incar-
Su¯ryavarman II (r. 1131–c. 1150) built Angkor Wat
nations of Vis:n:u, the tortoise incarnation is marginal except
and dedicated it to the Hindu god Vis:n:u. The term angkor
in the performing arts.
comes from the Sanskrit word nagara (city), and the Bud-
dhists who occupied this building in later centuries called
Many temples in Southeast Asia had an astronomical
this a place of worship or wat, a word derived from the San-
and calendrical function. Scholars have shown that the posi-
skrit vatika (garden). It was one of hundreds of temples built
tioning of the Angkor Wat temple is coordinated with very
by the Khmers. Angkor Wat, regarded as the highest achieve-
precise astronomical configurations, and the measurements
ment of Khmer architecture, covers an area of 1,500 by
correspond to cycles in the Hindu calendar. In some cases,
1,300 meters (4,920 by 4,265 feet) and is surrounded by a
there is also a numerical correspondence, as between the
vast moat that is 180 meters (590 feet) wide. Balustrades in
numbers of celestial beings and demons in the large panels
the shape of giant na¯gas line the causeway leading to the tem-
and calendrical calculations.
ple. The Angkor Wat temple, which is built on three levels,
SOCIETY. Sectarian affiliation was flexible among the Hin-
has five main towers representing the five peaks of Mount
dus, and family members may have followed different sectar-
Meru. There are, of course, extensive sculptures throughout
ian traditions—S´aiva and Vais:n:ava—in considerable harmo-
the complex.
ny. Many inscriptions, especially in Cambodia, indicate that
royalty traced their descent both in matrilineal and patrilin-
Vis:n:u is the presiding deity of Angkor Wat. There are
eal lines. Importance was given to biological ancestry, and
many bas reliefs depicting stories from Sanskrit texts, includ-
pride was taken in important and learned ancestors who are
ing the Bha¯gavata Purana, Harivam:´sa, and Ra¯ma¯yan:a.
spoken of as brahmans and who were learned in the Vedas.
Scenes from the Ra¯ma¯yan:a appear on the northern side of
The title vrahmana (Skt., bra¯hman:a) is also attached to some
the western wall. The reliefs on the entire north wall and the
names in Khmer. However, although great respect was
north part of the east wall depict stories of celestial beings
shown to brahmans in Cambodian (as well as Thai) culture,
and gods fighting various demons. The largest bas relief in
the caste system as we know it in India did not exist here.
the world, on Angkor Wat’s eastern wall, depicts a story that
New castes were created by kings, who had the power to as-
seems to be the most popular in all of Hindu and Buddhist
sign caste names to subjects. Thus, the caste system existed
Cambodia, although it is relatively unknown in India—the
for brahmans and royalty, but beyond that we do not know
story of the churning of the ocean of milk and Vis:n:u’s incar-
whether it had much currency. It appears that although the
nation as a tortoise. The reliefs on the south wall depict vari-
caste (varn:a) system existed in Cambodia, the castes were
ous hells and heavens as described in the Pura¯n:as. Near the
probably largely ceremonial orders, and did not apply to the
front entrance, symmetrical to the Ra¯ma¯yan:a relief, there is
common people.
a battle scene from the Maha¯bha¯rata. Returning to the west-
ern wall, we first see the brave warriors on their chariots in
There seems to have been a strong matrilineal tendency
the battle scene. It culminates with a striking relief of
in Cambodia, but it is not possible to say whether it was a
Bh¯ısm:a, an elderly general lying on a bed of arrows with the
local phenomenon or was imported from South India. The
five Pa¯n:d:ava brothers near him. The story refers to the time
Sdok Kak Thom inscription, for instance, which is one of
when Bh¯ısm:a instructed Yudhis:t:hira, the eldest of the
the most important sources of Cambodian culture, speaks of
brothers.
many generations of kings and priests through a mostly ma-
trilineal descent. Many women apparently held royal office,
Reliefs of Vis:n:u reclining on his serpent Ananta are
and they certainly sponsored many pious and charitable proj-
common in Southeast Asia, and narratives from the
ects. The inscriptions also describe many queens—
Ra¯ma¯yan:a are seen in many temples in Thailand, Indonesia,
Indra-laks:m¯ı, Kambuja-ra¯ja-laks:m¯ı, and Jayaraja-dev¯ı—
and Cambodia. References to the churning of the ocean of
who wielded considerable power. Both men and women
milk appear in stylized panegyrics, as well as in art. For in-
made claims to the throne.
stance, such kings as Indravarman I (877–889) were com-
pared to Vis:n:u with Sri Laks:m¯ı, the goddess of good fortune.
It is not clear how the Hindu traditions died out in the
In South India the story of the churning of the ocean of milk
many kingdoms of Southeast Asia. Therava¯da Buddhism had
is commonly rendered in dance, but rarely in sculpture. The
a strong presence in Thailand, and, after several wars, Bud-
narrative, found in the Pura¯n:as, describes how the devas and
dhism became the religion of Cambodia. Islam became 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
4014
HINDU PHILOSOPHY
dominant presence in Indonesia after the fourteenth or fif-
Sharma, J. C. Hindu Temples in Vietnam. Noida, India, 1997. A
teenth century. Small pockets of Hindus have lived continu-
good study focusing on Hindu influences on the various re-
ously in some regions like Bali. Although there is a sense of
gions of Vietnam. This is a subject that has not been studied
cultural amnesia among Indian Hindus about the spread of
extensively. Good illustrations and maps.
Hindu traditions, the Hindu legacy is evident all over South-
Thierry, Zephir. Khmer: The Lost Empire of Cambodia. New York,
east Asia. Hindu narratives are depicted in the performing
1998.
arts throughout the region. Sanskritized names are still prev-
Woodward, Hiram. The Art and Architecture of Thailand. Leiden,
alent, even among Muslims in Indonesia. Brahmanical ritu-
2003.
als prevail during coronation celebrations in Thailand. His-
VASUDHA NARAYANAN (2005)
tories of Hinduism will have to take this transnational aspect
of the religion into consideration when assessing the region’s
culture and legacy.
HINDU PHILOSOPHY SEE INDIAN
PHILOSOPHIES
BIBLIOGRAPHY
Bernet Kempers, A. J. Monumental Bali: Introduction to Balinese
Archaeology and Guide to the Monuments. 2d ed. Singapore,
HINDU RELIGIOUS YEAR. The religious celebra-
1991.
tions of the Hindu year appear to be countless, and thus the
Coedes, George. The Indianized States of Southeast Asia. Honolu-
main difficulty in presenting them here is selecting a pattern
lu, 1968.
that is sufficiently comprehensive to take into account their
Creese, Helen. Women of the Kakawin World: Marriage and Sexu-
intricacy. The difficulty is met at two levels. First, diversifica-
ality in the Indic Courts of Java and Bali. Armonk, N.Y.,
tion occurs not only across broad regional areas, but
2004.
throughout subregions as well. Second, villagers of a particu-
de Casparis, J. G., and I. W. Mabbett. “Religion and Popular Be-
lar locality will share only a part of the series of annual festive
liefs of Southeast Asia before c. 1500.” In The Cambridge
observances, most of which vary according to caste, family
History of Southeast Asia, vol. 1, pt. 1: From Early Times to
custom, and sectarian bias. Moreover, even for a festival ac-
c. 1500, edited by Nicholas Tarling, pp. 276–339. Cam-
knowledged to be pan-Indian, local variations occur con-
bridge, U.K., 1999.
cerning the date and the particulars of ritual and mythologi-
Dumarçay, Jacques. The Temples of Java. Translated by Michael
cal background.
Smithies. Singapore, 1986.
Higham, Charles. The Civilization of Angkor. London, 2001.
Very often, in order to highlight sociological factors, an-
thropological studies give mere chronological listings of lo-
Jacobsen, Trudy. “Autonomous Queenship in Cambodia, 1st–9th
Centuries AD.” Journal of the Royal Asiatic Society 13, no. 3
calized festivals. From that perspective, however, the mean-
(2003): 357–375.
ing of rituals and of their dating is left open to question. One
must be content either with the functionalistic explanation
Jacques, Claude. Angkor: Cities and Temples. London, 1997.
of a fictitious solidarity supposedly reinforced by festivals, or
Jessup, Helene Ibbitson, and Thierry Zephir, eds. Sculpture of
with the obvious general purpose of every ritual, prosperity.
Angkor and Ancient Cambodia: Millennium of Glory. Wash-
ington D.C., and New York, 1997.
More sophisticated views have been elaborated to ac-
Kam, Garrett. Ramayana in the Arts of Asia. Singapore, 2000. A
count for the multiplicity of local traditions in relation to the
good introduction to the temple sculptures of the Ra¯ma¯yan:a
Sanskritic-Brahmanic “great tradition” (Srinivas, 1952;
and the living traditions of the epic in performing arts. Excel-
pp. 213–228) as well as for the “processes of universalization
lent illustrations.
and parochialization” that McKim Marriott has found to be
Kumar, Bacchan, ed. Glimpses of Early Indo-Indonesian Culture:
“generally operative in Indian civilization” (1955, p. 218).
Collected Papers of Himansu Bhusan Sarkar. Delhi, 2001.
Although these theories were initially expressed with careful
Mabbett, I. W. “Varnas in Angkor and the Indian Caste System.”
qualifications, later scholars have sometimes cited them in an
Journal of Asian Studies 36, no. 3 (1977): 429–442.
almost mechanical manner: The relationship between the
Mabbett, I. W., and David Chandler. The Khmers. Oxford and
“great” and “little” traditions has been reduced to the nine-
Cambridge, Mass., 1995.
teenth-century pseudohistorical understanding of an irrecon-
Majumdar, R. C. Inscriptions of Kambuja. Calcutta, 1953.
cilable dichotomy between Brahmanic religion and the so-
Majumdar, R. C. Kambuja-Desa or An Ancient Hindu Colony in
called autochthonous tribal, Dravidian (or even pre-Vedic)
Cambodia. Philadelphia, 1980.
ones.
Mannikka, Eleanor. Angkor Wat: Time Space and Kingship.
With the structural studies of myths and rituals, a re-
Manoa, Hawai’i, 1996.
newed interest has grown for the study of Hindu symbolism
Mazzeo, Donnatella, and Chiara Silvi Antonini. Monuments of
and, as an outcome, for the study of the Indian calendrical
Civilization: Ancient Cambodia. New York, 1978.
system. When one observes the popular use of intricate alma-
Narayanan, Vasudha. “Vaishnava Traditions in Cambodia: 5–
nacs (pañca¯n˙ga), one cannot but ascertain the all-inclusive
12th centuries.” Festschrift for Professor Dennis Hudson. Jour-
character of the Hindu conception of time in relation to effi-
nal of Vaisnava Studies 11, no. 1 (2002): 153–189.
cient activity and hence to religious celebrations.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HINDU RELIGIOUS YEAR
4015
THE HINDU CONCEPTION OF TIME. The year is the main
of the lunar month and the new moon, ama¯va¯sya¯, “when the
unit of time in so far as it is equivalent to a day of the gods.
sun and moon ‘dwell together,’” are more ambiguous and are
From this unit, time computation expands in two ways. The
often devoted to ancestor worship. Each lunar day (tithi) of
small units, that is, from the year downward, depend on as-
a fortnight is named in order by a numeral. Some of them
tronomical considerations and directly concern humans in
are consecrated to a specific god: For example, the fourteenth
this world. The great units given by the Puranic cosmogonies
of each dark fortnight in a year is consecrated to S´iva, but
are on the scale of the gods and have nothing to do with as-
among them, that of February–March is the most important
tronomy. However, the eschatological speculation of the cos-
and has been sometimes mythically associated with a
mogony not only teaches that time is basically cyclical in the
naks:atra, or lunar constellation. For in conjunction with the
very periodical succession of creation-degradation-
synodical revolution of the moon, the zodiacal belt, already
resorption, but it also institutes a homology among the cos-
divided into twelve ra¯´sis, is also divided into twenty-seven
mic periods, the levels of ultimate values, and the divine
segments, each taking the name of a naks:atra and each
manifestation for this world (Biardeau, 1981, p. 173). In
deemed to be ruled by a specific (Vedic) deity with a specific
other words, humankind is at the very center of the cosmos.
influence. Each lunar month is named for the naks:atra that
Because a human is the only being able to act with a goal
appears (though sometimes with a slight astronomical varia-
in mind, by ritual activity at the level of what is at issue on
tion) to be in regular conjunction with the full moon. When
the earth, humans alone are capable of sustaining the whole
the months are solar months, they have been given either the
sociocosmic structure with its two poles, that is, liberation
names of the lunar months, as in Tamil Nadu or Bengal, or
from transmigration and ultimate resorption into the Abso-
those of the ra¯´si, as in Kerala. Whichever the case, both solar
lute, as well as the very continuation of this world.
and lunar cycles with their related elements are taken into
Thus to refer to this world Hindu thought uses the term
consideration. However, there is a great diversity of regional
karmabhu¯mi “earth of (ritual) activity (or of transmigra-
calendrical systems; sometimes a particular holiday is cele-
tion)”; such activity cannot be but efficacious if the proper
brated on different dates in different regions. The variations
actions are observed at the right time and the right place. The
derive from several factors: Not only do lunar and solar
principle of appropriateness, which is especially emphasized
months coincide, but, depending upon the region, the lunar
in the Hindu medical texts, remains at work insofar as every
month is known either as “ending with the full moon”
important undertaking of daily Hindu life is related to an as-
(pu¯rn:ima¯nta) or as “ending with the new moon” (ama¯nta).
tronomical conjunction. It is not a mere question of choos-
Furthermore, each region has several almanacs based on dif-
ing a good date but of selecting a conjunction of time in
ferent textual traditions. As in the Western system, the seven
which two or more specified astronomical phenomena meet
planets (including the sun and the moon) are correlated with
and combine their effects; thus, one is reminded that time
the days of the week; to the seven are added two mythical
is not only cyclical but that it also introduces a rupture in
bodies, Ra¯hu and Ketu, which are said to cause eclipses. In
its apparent continuity.
addition, planets interfere at sporadic intervals throughout
the year.
THE HINDU CALENDRICAL SYSTEM. The Hindu calendar
combines the solar year with a lunar year, both systems being
For any given celebration, not only is a date fixed corre-
synchronized by adding or deleting lunar time units. A solar
sponding to an astral conjunction, but smaller units of time
month begins with the sam:kra¯nti (“entry”) of the sun from
are also assigned with separate values of their own. The deter-
one ra¯´si (zodiacal sign) to another (the twelve ra¯´sis have al-
mination of the specific moment (muhu¯rta) for the perfor-
most the same names as the zodiacal signs of the Western sys-
mance of an auspicious act involves highly sophisticated cal-
tem). Because this system disregards the precession of the
culations that must account for the fact that the different
equinoxes, the vernal equinox, which is supposed to occur
sidereal components of the date have varying durations. Ad-
when the sun enters Mes:a, or Aries, takes place around the
ditionally, there are seemingly endless values to these many
thirteenth day of April. In the same way, the great sam:kra¯nti
combinations that induce auspicious as well as inauspicious
of mid-January marks the Indian winter solstice and thus the
periods when no serious enterprises—especially religious
beginning of the solar year, when the sun’s course is north-
ones—can be undertaken.
ward (uttara¯yana); from mid-July its course is southward
It would appear, then, that in the Hindu calendrical sys-
(daks:in:ayana). The distinction between the two halves of the
tem each segment of time derives value from its relation first
year is one of the important structural oppositions of the
to the astronomical moment and by implication to the
Hindu conception of time.
cosmical time. Theoretically speaking, the significance of a
For the lunar months, the waxing and waning of the
religious event comes partly from its occurrence in conjunc-
moon provides the major opposition between a bright and
tion with different sidereal cycles and partly from the sym-
a dark fortnight. The very name of the full moon, pu¯rn:ima¯,
bolic meaning attached to each astral phenomenon. From a
conveys an idea of fulfillment; moonlight gives people
practical viewpoint, however, this is not so easy to ascertain.
strength, and the time of the full moon is thus auspicious for
But, considering that symbolic meaning always carries sever-
offering sacrifices to the gods. On the contrary, the dark half
al possible interpretations, the conception of time mainly
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4016
HINDU RELIGIOUS YEAR
provides for a series of distinctive oppositions—such as
ing the dark half of the lunar month assume special
bright and dark, pure and impure, and so forth—as a mental
significance. The three main such festivals are dedicated to
framework for (religious) activity.
S´iva, to Kr:s:n:a, and to the Festival of Lights, D¯ıva¯l¯ı. The sig-
nificance of these sacred tithis of the opposed bright and dark
Furthermore, the notion of a proper or auspicious time
halves of the lunar months is correlated to the structure of
would not be so significant if it did not correspond to the
the solar year.
notion of a proper place. If crowds gather every twelve years
at Praya¯ga (Allahabad) in northern India or at Kumbakonam
In many parts of India the New Year begins with mid-
in the South for ritual bathing (and with the intent of future
April, at the vernal equinox. In Andhra Pradesh the vernal
salvation), it is because at that very place waters of different
equinox is called Yuga¯di (“beginning of a cosmic cycle”) and
sacred rivers are said to mix together at the very time of a
it is often held that this is the time when Brahma¯ begins the
special astral conjunction. In a similar way, worship through-
creation. The time of D¯ıva¯l¯ı, however, which comes after the
out the course of the year takes place not at random but in
autumnal equinox, is also perceived as a beginning. The New
a delimited space, either in the home or at the temple or at
Year tends to be celebrated at the balanced time of the equi-
any temporary place that has been set aside according to rule
noxes, whereas both solstices mark an intersection between
for that purpose. Hinduism emphasizes the relationship of
opposing periods. If one remembers the equivalence of the
(sacred) time to (sacred) space; that is, the site of the temple
year to a day of the gods, the solstices are then the metaphori-
or of any home inscribes in its space the same values that are
cal sunrise and sunset, sensitive transitions that must be ma-
represented in the conceptual square diagram of the earth.
nipulated carefully, particularly in the case of the sunset,
The dimensions of space and the positions of the gods are
which is perceived as prados:a (“break in time,” or “fault”).
coordinated with the symbolic projections on earth of the
Makara (Capricorn) Sam:kra¯nti (“transiting”) of mid-
solar and lunar cycles and of other astronomical phenomena.
January, or the winter solstice, is a sacred date almost every-
The definition of space thus includes a definition of time ac-
where in India. It is especially celebrated in regions that ob-
cording to the specific values assigned to each orientation.
serve solar months, such as in the southern state of Tamil
Consequently, by delimiting a space—or only by facing a
Nadu, where the festival of Pon˙kal combines worship of the
specific direction—for worshiping a deity at a prescribed
sun, of the ancestors, and of cattle, with a ritual cooking of
conjunction of time, the worshiper reenacts a cosmos appro-
the new rice and prescribed gift-giving. However, even in
priate for his sacrificial relationship with the divine.
areas that observe lunar months, the period of the summer
STRUCTURE OF THE RELIGIOUS YEAR. Among the diverse
solstice, though not marked by a special day, is the beginning
kinds of religious celebrations, there is but a thin line demar-
of a period of intense religious activity. At this point seasons
cating vrata (religious obligation usually involving a fast, a
must be taken into account insofar as the summer solstice
purificatory bath, and special worship) from utsava (festival).
corresponds with the monsoon time of the tropical year.
They share many elements, and from a list of almost fifteen
Even in areas with regional climatic variations (in Tamil
hundred vratas and utsavas that Kane (1975) has compiled,
Nadu the rains do not come from the east until October),
twenty-two are still celebrated in various Hindu regions.
everywhere in India the agricultural year begins with the
monsoon approximately when the sun begins its apparent
At least one-fourth of these are observed by all Hindus
course southward. The very accumulation of natural events
throughout India and Nepal. There is also some difficulty
strengthens the symbolic cosmic drama at issue. Eda¯da´s¯ı (the
in distinguishing private from domestic observances, and
“eleventh day” of the bright fortnight) in July-August is rec-
popular festivals, celebrated at every level of society, are pos-
ognized as the time when Vis:n:u, the king and sustainer of
sibly associated with the temple festivals. Some of the largest
the world, goes to sleep for four months; that celebration is
temples may include in their festive calendar all the sacred
thus called the Ca¯turma¯sya (“four months”). The celebration
days of the Hindu year and other ones as well, according to
of Vis:n:u lying on the cobra Ananta (celebrated on the four-
the personality of the main deity and to the myths of the
teenth day of the bright fortnight of September–October),
place. A temple celebration may provide some Hindus for
is reminiscent of a pralaya, or a destruction of the world sub-
a reason to undergo a vrata, sometimes in connection with
merged by waters, just before a re-creation. This particular
a pilgrimage. In small, localized temples of goddesses or sub-
fortnight belongs to the pitr:s (“fathers”), and ancestors are
ordinate male gods the date of the festival, and eventually of
especially worshiped at the new moon of August–September
the vrata, may appear only minimally connected with the
and during the dark half of September–October in a ceremo-
general calendrical system. Such events do conform to their
ny called Pitr:paks:a, just before Navara¯tri. During these four
proper seasons and to long-lived tradition, and therefore
months, the asuras (demons) threaten to take the place of the
must be understood in relation to the specific regional pat-
gods and the earth is left to the power of the underworld be-
tern.
ings. Thus the nagas, or mythic cobras associated with water
Most religious celebrations are held during the bright
and fecundity, are propitiated on Na¯ga Pañcam¯ı, the fifth
half of the lunar months. The full moon is sacred and is ob-
day of the bright fortnight of August-September.
served, if not everywhere on each month, at least in one re-
Because it is felt that people must protect themselves
gion or another. The relatively few celebrations that fall dur-
from inauspicious forces, during the full moon of August–
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HINDU RELIGIOUS YEAR
4017
September the twice-born of the upper social orders
pouring water and throwing leaves of the bilva tree (which
(bra¯hman:a, ks:atriya, and vai´sya) reaffirm the close relation-
is associated with S´iva) on a buried lin˙ga, thus worshiped
ship to the divine that is theirs by virtue of the investiture
S´iva without knowing it and obtained salvation when he
of the sacred thread, the symbol of their second birth. In a
died. The narrative recalls that salvation through devotion
custom observed mainly in northern India, a “thread of pro-
to S´iva is possible for all people, even for those of the lowest
tection” (raks:a¯bandhana) is tied by the domestic priest to the
social order who have no access to sacred knowledge. It is
hand of his clients, or, more commonly, by a sister to that
reminiscent also of the fact that S´iva himself takes the form
of her brothers. During this period no marriage is allowed,
of a hunter in some myths. As regards the S´ivara¯tri celebra-
for it is felt that women are the best mediators for helping
tion, S´iva is believed to have originally appeared as an unend-
to pass through this crisis time, which is crucial to the fecun-
ing column of fire, affirming his supremacy over Brahma¯ and
dity of the earth and the continuation of the sociocosmic
Vis:n:u, thus recalling his relation to the fire of a cosmic de-
order. Women thus propitiate different forms of the God-
struction before the universal flood.
dess (from July to September) and undergo vratas for the
sake of their husbands on Harita¯lika¯, or T¯ıj, the third day
The fifth of the bright fortnight of February–March is
of the bright fortnight of September–October. S´iva’s son
dedicated to the beginning of spring, personified as Vasanta,
Gan:e´sa is worshiped in the fourth of the same fortnight
the “brilliant” companion of Ka¯ma, the god of love. The cel-
(with a renewed interest, since 1893, in Maharashtra), and
ebration of Vasanta seems to be to the season of love what
the r:s:is, the archetypal Vedic seers, on the fifth.
the worship of the na¯gas (six months previous, during Au-
gust-September) is to fecundity.
However, the birth of Kr:s:n:a on the eighth of the dark
fortnight in August–September, and that of Va¯mana, the
The beginning of spring also marks the beginning of the
dwarf incarnation of Vis:n:u, on the twelfth day of the bright
preparations for Hol¯ı, at the full moon of March–April.
half of September–October (the Onam festival in Kerala),
Hol¯ı is a very popular festival in northern India. Often de-
foretell the final restoration of the sociocosmic order. But the
fined as the festival of the ´su¯dra (members of the fourth and
main battle is left again to a feminine power, the goddess
lowest order of Hindu society), Hol¯ı is an occasion in which
Durga¯, who, after “nine nights” (Navara¯tri), from the first
normal, socially restrained behavior is momentarily forgot-
to the ninth of the bright fortnight in October–November,
ten; everyone engages in playful dousing with colored pow-
killed the buffalo demon. The final “victory of the tenth”
der and water and shares in the bonfire that symbolically de-
(Vijayada´sam¯ı) emphasizes the revival of dharmic kingly rule
stroys all of the world’s evil. In Bengal, Hol¯ı is associated
on earth. On the fourteenth of the dark fortnight in Octo-
with the worship of Kr:s:n:a. Hol¯ı is not known in South
ber–November light comes again with D¯ıva¯l¯ı, which cele-
India, but there the full moon of March–April is variously
brates Laks:m¯ı, the goddess of prosperity, with lamps, festivi-
celebrated, either with the burning in effigy of Ka¯ma, whom
ties, and the retelling of stories about Yama, the god of death,
S´iva burnt with his third eye, with the marriage of particular
and about the inevitable victory of the gods over the forces
gods, or with the worship of Skanda or other deities. The
of evil. At last, Vis:n:u awakes from his sleep on the eleventh
fires of Hol¯ı and Ka¯ma are counterpart to the waters on
of the bright fortnight of November–December.
which Vis:n:u sleeps lying upon the cobra Ananta, which oc-
curs six months later, on the day before the full moon of Sep-
In South India, the myth of the sleeping Vis:n:u is not
tember–October.
well known. Instead, the celebration of S´iva’s son Skanda,
a favorite god in Tamil Nadu, reflects a popular myth in
Spring merrymaking ends with the turning of the vernal
which Skanda is the slayer of the asura: On the sixth of the
equinox. Again with the bright half of April–May, a
bright half of November–December the mu¯rtis (images) of
Navara¯tri festival of nine days is held. This festival is the
Skanda and of the asura are taken out in procession, and the
counterpart of the autumnal Navara¯tri but is less elaborate—
priest (or another participant) holds the spear and symboli-
often only two or three days are consecrated to the Goddess.
cally kills the demon. The next full moon, called
However, the birth of Ra¯ma (an incarnation of Vis:n:u) on
Karttikaid¯ıpa, duplicates the lightings of D¯ıva¯l¯ı. Despite re-
the ninth echoes the royal restoration of the great Navara¯tri
gional variations, the second half of the solar year seems to
for the sociocosmic order. With the two next full moons,
be perceived everywhere in India as inauspicious and danger-
Yama (or, in Tamil Nadu, Yama’s attendant Citragupta, who
ous; it is a period in which the gods must assent to the under-
records the good and evil deeds of human beings) and the
ground, the demonic, and the feminine powers for the very
pitr:s (in Gujarat) are remembered. The full moon of May–
sake of the fecundity and continuation of the earth.
June is dedicated to terrible or warrior forms of the deity
(Nara¯´simha or Skanda). Formerly, on the third of the bright
The first part of the year is auspicious and bright, but,
half, a fast was held in some northern areas for Aks:ayya (“the
as a corollary, it is unfruitful. Early in the season, during
inexhaustible”); whatever was given on that day was said to
S´ivara¯tri (on the fourteenth of the dark fortnight in Febru-
become inexhaustible and undecaying. The vrata anticipated
ary–March), S´iva bestows salvation on his devotees, even if
the then threatening scarcity of food and water. On that date
they include hunters, who kill animals. As told by a popular
was also celebrated Vis:n:u’s avata¯ra as Parasurama (“Rama
tale, a hunter who spent the night of S´ivara¯tri in a forest,
with the axe”), who became incarnate in order to kill all
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4018
HINDU RELIGIOUS YEAR
ks:atriyas, because one of them had stolen his brahman fa-
dess; Hindi Religious Traditions; Hinduism; Hol¯ı; Indian
ther’s cow, the inexhaustible wealth without which no brah-
Religions, article on Rural Traditions; Kr:s:n:a; Kr:s:n:aism;
man can sacrifice. This mythical event indicates that some-
Kumbha Mela¯; Marathi Religions; Navara¯tri; S´aivism; S´iva;
thing has begun to go wrong in the sociocosmic order.
Tamil Religions; Temple, article on Hindu Temples;
Vais:n:avism; Vis:n:u; Worship and Devotional Life, article on
During the oppressive heat of the last month before the
Hindu Devotional Life.
summer solstice, people can do almost nothing but wait for
the rains. The Ganges River (Gan˙ga¯) is believed to have
B
come down to earth on the tenth of the bright fortnight of
IBLIOGRAPHY
June–July for the salvation of human beings. On that day
For the calendrical system as well as for the Hindu religious year,
P. V. Kane’s History of Dharmasastra, 2d ed., rev. & enl.
a bath in the Ganges or in a sacred river is prescribed for de-
(Poona, 1975), vol. 5, pt. 1, is the most scholarly and com-
stroying sins. This is considered a time of cosmic crisis, for
plete work, although not always easy to use. See also Jean Fil-
the sun is moving southward (an inauspicious direction), and
liozat’s “Astronomie” and “Notions de chronologie,” in
monsoon floods follow the burning sun of May–June, recall-
Louis Renou and Jean Filliozat’s L’Inde classique: Manuel des
ing the image of a cosmic dissolution (pralaya) in which de-
études indiennes (Paris, 1953), pp. 177–194 and 720–738.
struction by fire is followed by deluge. The month of June–
Madeleine Biardeau’s Études de mythologie hindoue, vol. 1,
July is called Jyestha (“eldest”); the feminine form of this
Cosmogonies puraniques (Paris, 1981), reprinted from Bulle-
name is Jyes:t:ha, indicating Laks:m¯ı’s “eldest” sister, Alaks:m¯ı,
tin de l’École Française d’Extrême Orient 54 (1968), 55
the goddess of nonprosperity or misfortune. On the full
(1969), and 58 (1971), is the only comprehensive study of
moon of Jyes:t:ha women renew their series of vratas by wor-
the significance of the cosmogonic time units. The concep-
shiping the goddess Sa¯vitr¯ı and the ever-growing banyan tree
tion of time in relation to the conception of space is given
for a never-dying husband.
in Stella Kramrisch’s The Hindu Temple, vol. 1 (1946; re-
print, Delhi, 1976). For a study of the influence of seasons
There are comparatively many more ascetic observances
through Sanskrit medical texts, see Francis Zimmermann’s
during the second half of the solar year than during the first,
“R:tu-Sa¯tmya: Le cycle des saisons et le principe
for during the first, bright half of the year the emphasis is
d’appropriation,” in Purus:a¯rtha (Paris, 1975), vol. 2,
rather on the direct relationship of human beings to deities,
pp. 87–105. Karen L. Merrey’s paper “The Hindu Festival
Calendar,” in Religious Festivals in South India and Sri Lanka,
and most of the festivals for family gods (kuladeva) and local-
edited by G. R. Welbon and Glenn E. Yocum (Delhi, 1982),
ity gods (gra¯madeva) seem to be held during that period.
gives useful and clear information about the calendrical sys-
These particular festivities have not been taken into account
tem and about the correspondence between the diverse com-
here because they vary so much from region to region. In-
putations. For South India, see C. J. Fuller’s “The Calendri-
stead, this article has emphasized the structure of the Hindu
cal System in Tamilnadu (South India),” Journal of the Royal
religious year with its complementarily opposed halves. The
Asiatic Society (1980): 52–63, and for Nepal, Marc Gabo-
author has also chosen to rely mainly upon the mythological
rieau’s “Les fêtes, le temps et l’espace: Structure du calendrier
background for these observances, which emphasizes their
hindou dans sa version indo-népalaise,” L’homme 22 (1982):
sociocosmic significance; on the village level, however, this
11–29, which gives an interesting interpretation of the Ca-
meaning is not always recognized, and the rituals serve main-
turmasya. For the Banaras region, see Judy F. Pugh’s “Into
ly pragmatic interests having to do with food, disease, fate,
the Almanach: Time, Meaning and Action in North Indian
and so forth. From this point of view, there is a correspon-
Society,” Contributions to Indian Sociology 17 (1983): 27–49.
dence between the different significant levels. Moreover, one
For the observances and festivals of the Hindu religious year, see
must not forget the importance of bhakti, pure devotion,
P. V. Kane’s book and several papers in the volume edited
which has a particular influence on worship at every level of
by G. R. Welbon and Glenn E. Yocum, both cited above.
society.
Margaret Sinclair Stevenson’s The Rites of the Twice-Born
(1920; reprint, New Delhi, 1971) remains one of the most
Finally, the religious calendar taken as a whole does not
interesting studies in general and specifically of the Saurash-
convey a sense of rigid sectarian bias. Emphasis on one deity
tra (i. e., Gujarat) brahman community. For the religious
or another appears to be primarily a regional matter.
year in Uttar Pradesh, see McKim Marriott’s “Little Com-
Vais:n:ava devotees, of course, will give more emphasis to cele-
munities in an Indigenous Civilization,” in Village India, ed-
brations of Vis:n:u, and S´aiva devotees, to those of S´iva. A few
ited by Marriott (Chicago, 1955), pp. 172–222; Oscar
exclusive sects may have their own specific festive dates more
Lewis’s Village Life in Northern India (Urbana, Ill., 1958);
and Susan Snow Wadley’s Shakti: Power in the Conceptual
or less grafted onto the general calendrical system. But in
Structure of Karimpur Religion (Chicago, 1975). For Madhya
general, the very complementarity of Vis:n:u, S´iva, and the
Pradesh, see Laurence A. Babb’s The Divine Hierarchy: Popu-
Goddess contributes to the balance of activities throughout
lar Hinduism in Central India (New York, 1975). For
the religious year.
Karnataka, see M. N. Srinivas’s Religion and Society among
the Coorgs of South India (1952; reprint, New Delhi, 1978).
SEE ALSO Bengali Religions; Cosmology, articles on Hindu
For Tamil Nadu, see M. Arunachalam’s Festivals of Tamil-
Cosmology, Jain Cosmology; D¯ıva¯l¯ı; Durga¯ Hinduism;
nadu (Tiruchitrambalam, 1980) and my own Les dieux et les
Ga¯n:apatyas; Goddess Worship, article on The Hindu God-
hommes: Tirunelveli (Paris, 1979). For Nepal, see Veronique
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HINDU TANTRIC LITERATURE
4019
Bouillier’s Naïtre renonçant: Une caste de Sannyasi villageois
then can he or she worship the deity and, through the pro-
au Népal Central (Nanterre, 1979).
longed practice of one-pointed meditation (sama¯dhi),
M
achieve his or her soteriological goal. As support of the
ARIE-LOUISE REINICHE (1987)
sama¯dhi, there developed a system of iconography, image
making, temple construction (and the science of their main-
tenance), and various classifications of worship programs,
HINDU TANTRIC LITERATURE. The genre of
such as daily worship, periodic worship, and special worship.
religious literature known as Tantra exists in all traditional
A deity is not only represented in image form but also as
South Asian religions—Hindu, Buddhist, Jaina, and folk re-
man:d:ala, yantra, and other aniconic forms. The practice of
ligions. The Hindu Tantras are also divided into S´aiva,
yoga also took special forms, such as laya yoga and kun:d:alin¯ı
S´a¯kta, and Vais:n:ava. The literature classed as Tantra is not
yoga. Esotericism is the main feature of these rituals, and the
a coherent group of texts, nor are the texts always comprised
ideology underlying access to the system is also exclusive: ini-
of any homogeneous materials. Sometimes the name Tantra
tiation is compulsory. Tantric literature comprises all these
is replaced by A¯gama, Nigama, and Sam:hita¯, especially when
ritual and supplementary materials.
the texts want to emphasize their affinity to the Vedas. There
Besides the two main streams, S´aiva and Vais:n:ava, there
is a convention that S´aiva Tantras are called A¯gamas,
are other streams worshiping deities such as S´akti as goddess,
Vais:n:ava Tantras are called Sam:hita¯s, and S´a¯kta Tantras are
Sun, Gan:e´sa, and Skanda. However, the method of ritual
known as Tantras. But there is no regularity in these divi-
worship of these deities more or less follows the earlier
sions. Therefore, Tantric literature must be defined as a the-
model. There are countless Tantras on the worship of the
istic literature mainly focused on the cult of one or several
goddess S´akti, designated as the S´a¯kta Tantras. Nevertheless
deities.
they should be categorized as S´aiva Tantras, because the god-
Sometimes a single godhead is the focal point of a group
dess S´akti is almost invariably connected with S´iva.
of Hindu Tantras, which gave rise to the categories of S´aiva
and S´a¯kta. The meaning of the term Tantra is extremely
The S´aiva canonical texts are divided into two catego-
vague; it can just be another name for ´sa¯stra—the canonical
ries, the higher path (atima¯rga) and the mantra path (mantra
literature of religious teachings and practices. But from the
ma¯rga). The higher path may have gotten its title from some
angle of religious history, the word Tantra means a particular
of the antisocial rites and observances followed by its adher-
genre of religious literature that the Maha¯bha¯rata (12, 349,
ents. Originally it was entirely followed by ascetics.
64) includes among the five authentic doctrines, namely the
There are two main branches of the higher-path litera-
Pa¯´supata and the Pa¯ñcara¯tra. (This group of five doctrines
ture. The first is Pa¯´supata texts, belonging to the sect known
includes Pa¯´supata, Pa¯ñcara¯tra, Sa¯m:khya, Yoga, and
by that name, and the second is called the L(N)a¯kul¯ı´sa
Veda¯ran:yaka.)
Pa¯´supata. The earliest text available is the Pa¯´supata Su¯tras,
Thus, Pa¯´supata and Pa¯ñcara¯tra were regarded as authen-
which is divided into five chapters. It prescribes for its adher-
tic traditional religions coming down from Vedic literature.
ents a strict ascetic life and, for a limited period, somewhat
It also proves that these two religions were different from the
antisocial behavior to attract the disapproval of society. This
Vedic tradition of religious practice and philosophy. These
limited period is followed by a period of practicing medita-
two names mentioned by the epic most probably included
tion in total seclusion. The final stage of the practice is car-
the two main streams of non-Vedic yet generally accepted
ried out at a cremation ground. One important compulsory
tradition, the S´aiva and the Vais:n:ava.
item of practice is the use of ash for bathing and for a bed.
Sa¯m:khya ontology and the Yoga method of meditation
The ultimate goal for the practitioner is salvation (moks:a),
are widely accepted by S´aiva and Vais:n:ava ritual literature;
which means a total cessation of suffering. Kaun:d:inya wrote
they mainly oppose the Vedic ritual systems and the ideology
a detailed commentary on this canonical text called
lying behind them. On the other hand, the early antagonism
Pañca¯rtha Bha¯s:ya.
of traditional Vedic practitioners probably induced these re-
No text of the La¯kul¯ı´sa Pa¯´supata system has survived.
ligions gradually to accept some of the Vedic rituals and in-
However, there is no doubt of its great prevalence in the early
corporate quite a number of Vedic mantras. As a result, tradi-
period. It must have influenced the emergence of the later
tional Vedic scholars like Kuma¯rila and S´am:kara did not
sects, the Ka¯la¯mukha, Ka¯pa¯lika, Siddha, and Na¯tha. Along
completely reject the S´aiva and Vais:n:ava ideologies.
with the original La¯kul¯ı´sa sect, all these sects believe in the
The ritual mainly advocated by Tantric literature is a
supreme importance of the human body; its culture (ka¯ya
system of worship in which, by internal and external ritual
sa¯dhana) leads to salvation in this life as well as to supernatu-
acts, the worshiper intends to establish his or her identity
ral powers. These later sects have produced many texts, such
with the deity worshiped. With a series of rituals conducted
as the Kaulajña¯na-nirn:aya and the Hat:hayogaprad¯ıpika¯. It is
by imagination and by physical actions, such as bhu¯ta´suddhi,
considered that Matsyendrana¯tha introduced the Kaula sys-
pra¯n:a-pratis:t:ha¯, and nya¯sa, accompanied by specific mudra¯s
tem of antinomian practices, and Goraks:ana¯tha the system
and mantras, the worshiper achieves self-apotheosis. Only
of Hat:ha Yoga.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4020
HINDU TANTRIC LITERATURE
The texts belonging to the mantra path, though having
(Trika). The Siddhayoge´svar¯ımata Tantra, the Ma¯tr:sadbha¯va
basically the same type of ritual system and soteriological
Tantra, and the Ma¯lin¯ıvijayottara Tantra belong to this early
concepts, admit both ascetics and householders. Among
triadic cult. The iconographic details of the supreme goddess
these texts are the canons of the S´aiva Siddha¯nta. These are
Para¯ indicate that she is the deity who is the supreme Gnosis
called A¯gamas and consist of ten S´iva-a¯gamas (such as
and is identified with self-realization.
Mr:gendra-a¯gama) and eighteen Rudra-a¯gamas (such as
Nih:´sva¯sa Tantra and Raurava Tantra). Important features of
The development of the Kaula system saw a waning of
these Tantras are (1) S´akti, as an embodiment of supreme
the ascetic ideology from the original Ka¯palika concepts. A
divine power, receives almost no attention; and (2) they do
text like the Kula¯rn:ava Tantra makes this clear. Though
not teach esoteric rituals. The central deity is S´iva.
dominated by S´akti, the cult accepts the transcendental
S´akti, Para¯, to be totally united with S´iva, and the pair is en-
In the corpus of esoteric Tantras, S´akti as goddess and
closed by the three ´saktis arranged in a triangle. There are
consort of S´iva occupies an important position. These are di-
two streams or lineages (kula) of the Kaula system, Ka¯likula
vided under two headings, those belonging to the seat of
and S´r¯ıkula. The former presents the cult of Ka¯l¯ı, and the
mantras (mantra p¯ıt:ha) and those belonging to the seat of
Kubjika¯mata Tantra belongs to this stream. It deals with the
vidya¯ (vidya¯ p¯ıt:a). The Tantras belonging to the mantra
cult of the beautiful goddess S´r¯ı. The Yogin¯ıhr:daya Tantra
p¯ıt:ha are called Bhairava Tantras. The dominant deity is S´iva
and the Nityas:od:a´sika¯rn:ava Tantra are among those that be-
bhairava (the terrifying). According to some traditions, there
long to this cult.
are sixty-four Bhairava Tantras. The Svacchandabhairava
Tantra is one of the most important texts of this group.
The Krama school of S´akti Tantras propagates the kaula
style of worship of Ka¯l¯ı. The Dev¯ıpañca´sataka belongs to this
The Tantras belonging to vidya¯ p¯ıt:a are often centered
school. This system later influenced many goddess cults and
on a dominant female deity, S´akti, and are divided under two
produced many Tantras, such as the Maha¯ka¯la Tantra.
headings, Ya¯mala Tantras and S´akti Tantras. Of these two
groups of Tantras, the former teaches the cult of a couple;
Two more streams must be mentioned: the Maha¯vidya
that is, the ferocious Bhairava and his consort S´akti, the fero-
Tantras and the C¯ına¯ca¯ra Tantras. The Tod:ala Tantra and
cious goddess Bhairav¯ı. Picumata-brahma Ya¯mala is one of
the S´aktisam:gama Tantra belong to the former group, where-
the important Tantras of this group. It teaches secret rites
as the Mahac¯ına¯ca¯ra Tantra and the N¯ılasarasvat¯ı Tantra be-
of a sexual type, and the position of S´akti and her human
long to the latter. The Siddha Avadhu¯ta and the Na¯tha sects
representative, the practitioner’s female partner, is exalted.
also continued to produce Tantras, such as the Datta¯treya
Although these Tantras have moved away from strict ascetic
Samhita¯ and the Goraks:a Sam:hita¯.
practices, the influence of the Ka¯pa¯lika tradition is quite con-
spicuous. The teaching is full of esoteric features; the skull
The Vais:n:ava Tantras generally belong to the
cup, disheveled hair, and other symbols point to the crema-
Pa¯ñcara¯tra sect. According to its own tradition, these texts
tion ground as the cult’s ideal location.
are divided into four categories, A¯gama, Mantra, Tantra, and
Tantra¯ntara. This early Vais:n:ava sect focused on the
Another interesting Tantra is the Jayadratha Ya¯mala.
Va¯sudeva form of Vis:n:u as the godhead. As the name sug-
This introduces the cult of the goddess Ka¯lasam:kars:an:¯ı, the
gests, Va¯sudeva is the patronymic of the god Kr:s:n:a, who was
“Destroyer of Time.” This deity is not terrible in form but
a human incarnation of Vis:n:u. The Pa¯ñcara¯tra philosophy
more like a warrior goddess, adopting the Ka¯pa¯lika symbol-
and ritual practice have influenced all Vais:n:ava sects. The
ism of holding a skull cup and wearing a deerskin. The Tan-
Maha¯bha¯rata records the sect’s three main features: aversion
tra then proceeds to describe more esoteric rituals and ico-
to animal sacrifice, the acceptance of Va¯sudeva as the su-
nography of the goddess Ka¯l¯ı. The text possibly represents
preme god, and unconditional loyal devotion to Va¯sudeva,
stages of the development of Ka¯l¯ı’s cult, including the twelve
the only way to remove all human sufferings. There are many
Ka¯l¯ıs.
Pa¯ñcara¯tra Tantras. The adherents of the sect hold three texts
S´akti Tantras are so called because of the ascendancy of
to be the earliest and the most important, the Sa¯ttvata
S´akti over S´iva, both in the iconography and in the main
Sam:hita¯, the Jayakhya Sam:hita¯, and the Paus:kara Sam:hita¯.
mantra of the central deity. Here is the esoteric worship of
The supreme god is the transcendent Va¯sudeva/Na¯ra¯yan:a,
S´akti in three hierarchic stages. The supreme one is the god-
and Laks:m¯ı is his inseparable S´akti. The fourfold emanation
dess Para¯ ´sakti. The ´sakti Para¯para¯ stands in the middle of
of Va¯sudeva, Caturvyu¯ha constitutes the essence of the
the hierarchy and possesses the characteristics of both the su-
Pa¯ñcara¯tra cosmogony.
preme S´akti and the lower ´sakti, who is the goddess Apara¯
´
sakti. The latter comes close to the empirical level. A fourth
SEE ALSO Tantrism, article on Hindu Tantrism.
one, who is both the aggregate of all three ´saktis and the one
who transcends them all, then joins this tradition of three
BIBLIOGRAPHY
´saktis. Of the three ´saktis, Para¯ is an aspect of the transcen-
Dyczkowski, Mark S. G. The Canon of the S´aiva¯gama and the
dent one. Para¯ heralds the advent of creation. These three
Kubjika¯ Tantras of the Western Kaula Tradition. Albany,
´
saktis constitute the core of this cult called the triadic cult
N.Y., 1988.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HIPPOCRATES
4021
Goudriaan, Teun, and Sanjukta Gupta. Hindu Tantric and S´a¯kta
Most of them date from the late fifth or fourth centuries BCE,
Literature. A History of Indian Literature, vol. 2. Wiesbaden,
but some are much later. The collection may have originated
Germany, 1981.
as the library of a medical school (perhaps that of Kos) that
Smith, H. Daniel. A Descriptive Bibliography of the Printed Texts
was brought to Alexandria in the third century BCE where it
of the Pa¯ñcara¯traa¯gama, vol. 1. Gaekwad’s Oriental Series no.
came to be attributed to Hippocrates. All the works are
158. Baroda, India, 1975.
anonymous and exhibit differences of style and approach. It
White, David Gordon. The Alchemical Body: Siddha Traditions in
is widely held today that none can be attributed with certain-
Medieval India. Chicago, 1996.
ty to Hippocrates. It is possible that he wrote some of them,
but there is no agreement on which, if any, are authentic.
White, David Gordon. Kiss of the Yogin¯ı. Chicago, 2003.
The Hippocratic treatises are the work of many hands and
SANJUKTA GUPTA (1987 AND 2005)
represent a variety of points of view, both lay and profession-
al. They include clinical, theoretical, and ethical writings.
The best known of the Hippocratic writings is the so-
HIPPOCRATES (460?–380? BCE) was a celebrated
called Hippocratic Oath. Exactly when it was written is un-
Greek physician, called the “father of medicine.” In spite of
certain. Although the earliest mention of it is in the first cen-
his reputation as the founder of scientific medicine, the em-
tury CE, it may date from as early as the fourth century BCE.
bodiment of medical wisdom, and the exemplar of the ideal
There is no evidence of its use in the pre-Christian era. Those
physician, little is known with certainty about Hippocrates’
who took the oath swore by Apollo, Asklepios, and other
life. There are only a few contemporary or near-
gods and goddesses of healing to guard their life and art “in
contemporary references to him. He is mentioned by Plato
purity and holiness.” Its religious tenor and some of its in-
(Protagoras 311b–c, Phaedrus 270c), Aristotle (Politics
junctions (e.g., prohibition of abortions, euthanasia, and per-
1326a14), and Aristotle’s pupil Menon (in Anonymous Lon-
haps surgery) suggest that it originated among a restricted
dinensis 5–6). He is said to have been a native of the island
group of physicians (perhaps the Pythagoreans, a philosophi-
of Kos, off the southwestern coast of Asia Minor, and to have
cal sect that emphasized moral purity, asceticism, and piety)
been an Asclepiad (the term may refer to a family or a guild
who lay outside the mainstream of Greek medicine. The oath
of physicians that traced their origin to Asklepios, the god
was later adopted by Christians, Jews, and Muslims, and
of healing, or may simply mean “physician”). He was, ac-
(with necessary changes) it gained wide use.
cording to these sources, a teacher of medicine whose fame
According to popular Greek opinion, disease and death
Plato compared to that of the sculptors Polyclitus and Phidi-
were sent by gods or demons. The Hippocratic writers, influ-
as. He taught that one cannot understand the body without
enced by the pre-Socratic philosophers, for the most part re-
taking into account the whole, and he explained disease as
jected this supernatural etiology of disease. Hippocratic med-
the result of air that forms in the body during the process
icine was both empirical and rational. It was empirical in
of digestion.
being based on meticulous clinical observation (its case histo-
A biographical tradition that began long after his life-
ries remained unparalleled until the sixteenth century), and
time incorporated additional details, many of them anecdot-
rational in rejecting magic and superstition and viewing dis-
al and legendary. Four short biographies are extant. The ear-
ease as the result of natural causes. The Hippocratic treatise
liest is attributed to Soranus, a medical writer of the second
On the Sacred Disease exhibits this rational approach to medi-
century CE, while the others were recorded in the Suda, a
cine. The writer does not accept the traditional view that epi-
tenth-century encyclopedia; by the twelfth-century Byzan-
lepsy is caused by divine possession. It is, he believes, no
tine poet and scholar Tzetzes; and by an unknown late Latin
more sacred than any other disease, and has a natural cause.
writer. It is uncertain how much of the information they
In rejecting a magico-religious etiology for a natural one,
contain is trustworthy. They relate that Hippocrates learned
Hippocratic writers did not display an antipathy to religion.
medicine from his father Heraclides, who was a physician;
Instead, they regarded all things (including disease) as both
that he studied under the atomist Democritus and the Soph-
natural and divine. Medicine itself was a divine art, in which
ist Gorgias; that he traveled extensively in Greece, visiting
the physician sought the assistance of the gods. “Prayer in-
Athens, northern Greece, and the Propontis (the present-day
deed is good, but while calling on the gods a man should
Sea of Marmara); that he taught medical students on Kos;
himself lend a hand” (Regimen 87). The Hippocratic physi-
and that he died at an advanced age at Larissa in Thessaly,
cians recognized the healing force of nature (vis medicatrix
where he was buried. Additional biographical material con-
naturae) and attempted to assist the body to heal itself.
tained in a collection of spurious epistles attributed to Hip-
There existed alongside Hippocratic medicine a tradi-
pocrates is almost certainly fictitious.
tion of religious healing centered in the cults of various gods,
There has come down to the present, under the name
demigods, and heroes. The most notable was the cult of Ask-
of Hippocrates, a large and heterogeneous collection of med-
lepios, who by the fourth century BCE came to be the chief
ical books, the so-called Hippocratic treatises, which consist
healing god of Greece, eclipsing all others as his cult spread
of some sixty different works, all written in the Ionic dialect.
throughout Greece. Sanctuaries of Asklepios were later estab-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4022
HIRATA ATSUTANE
lished throughout the Mediterranean world and attracted the
gued for the superiority of Shinto¯ and native Japanese insti-
sick, who sought miraculous healing from the god. Hippo-
tutions over all imported traditions. Atsutane was the fourth
cratic medicine and temple-healing coexisted apparently
son of O
¯ wada Tsugutane, a member of the warrior class. As
without antagonism. Temple-healing by Asklepios was re-
an adolescent he was trained in the reading of Chinese texts
garded as complementing secular medicine, particularly in
and in practical medicine. At twenty years of age he left his
chronic cases for which medicine could do little. Both secular
home province and came to live in Edo, the capital of the
and religious healing came from the same god, who assisted
Tokugawa government. There, he encountered great diffi-
physicians as well as the sick. Asklepios was the patron of
culty making a living, and was finally forced to do manual
physicians. Galen called himself a servant of Asklepios, and
labor until he was adopted by Hirata To¯bei, also a member
in Athens physicians offered sacrifices to the god for them-
of the warrior class. Thereafter, he went by the name Hirata
selves and their patients.
Atsutane.
The deontological treatises of the Hippocratic collection
In spite of his difficult financial situation Atsutane con-
are the earliest writings on medical etiquette. They seek to
tinued his studies. His first book, entitled Kamo¯sho (Scold-
create a distinct identity for the physician and to lay down
ings to a fool), was a criticism of Bendo¯sho (A discourse on
guidelines for professional conduct. In establishing a stan-
the way), a work by the famous Confucianist Dazai Jun. In
dard of behavior by defining the obligations of the physician,
it, Atsutane accused Dazai of misunderstanding the ancient
they created both a tradition of medical ethics and an ideal
“way” of Japan. Taking along a handwritten draft of this
of dedicated and compassionate practice, which were subse-
book, he made a trip to see Motoori Norinaga at his home
quently adopted in late antiquity and the Middle Ages by
in Matsuzaka in the hope of being accepted as a disciple.
Christian, Jewish, and Muslim physicians. They have contin-
However, it was only in 1803, two years after Norinaga’s
ued to influence the Western medical tradition down to the
death, that his discipleship was formally acknowledged by
present day and they remain the greatest legacy of Hippo-
the son of Norinaga. The next year he opened a small private
cratic medicine.
academy in Edo and began to devote himself to writing. He
produced two important works during this early period:
BIBLIOGRAPHY
Shinkishinron (A new discourse on Kami), a criticism of the
The complete critical edition of the works attributed to Hippocra-
Chinese understanding of the fate of the soul and an outline
tes, with French translation, remains Émile Littré’s Les
of his own conviction that the soul continues to exist after
œuvres complètes d’Hippocrate, 10 vols. (1839–1861; reprint,
Amsterdam, 1961). There is no English translation of the en-
death, and Honkyo¯gaihen (Additional teachings of the central
tire Hippocratic corpus. For a translation of many of the
tradition), a description of ideas regarding the imperial kami
most important treatises with accompanying Greek text, see
and life after death, which reveals the influence of Christian
Hippocrates, vols. 1–4, edited by W. H. S. Jones and E. T.
texts Atsutane had read in Chinese translation. These works
Withington (Cambridge, Mass., 1923–1931); vols. 5, 6, 8,
embody the basic attitudes and principles that guided his life
edited by Paul Potter (Cambridge, Mass., 1988–1995); and
thereafter: that truth is one, that Japan is the country in
vol. 7, edited by Wesley B. Smith (Cambridge, Mass., 1994).
which the original kami was born, and that therefore all reli-
On the problem of determining which treatises, if any, were writ-
gions should be interpreted in accordance with Japanese my-
ten by Hippocrates, see G. E. R. Lloyd’s paper, “The Hippo-
thology. Hirata also believed that the world of kami is the
cratic Question,” Classical Quarterly, n.s. 25 (1975):
primary, eternal one that controls this world and for which
171–192; and Ludwig Edelstein, “The Genuine Works of
one must prepare during this lifetime.
Hippocrates,” in Ancient Medicine: Selected Papers of Ludwig
Edelstein, translated and edited by Owsei Temkin and C. Lil-
In 1808 he was certified by the Shirakawa family to
ian Temkin (Baltimore, 1967), pp. 133–144. The volume
teach Shinto¯ priests. This gave him a source of income and
contains several important papers by Edelstein on Hippo-
made it possible for him to concentrate on teaching and writ-
cratic medicine, the Hippocratic Oath, the religious outlook
ing. His writings consist of lectures on ancient Shinto¯, popu-
of the Hippocratic treatises, and Hippocratic medical ethics.
lar Shinto¯, Confucianism, Buddhism, waka poetry, and so
A good general treatment of Hippocrates and all aspects of
Hippocratic medicine can be found in Jacques Jouanna, Hip-
forth. Some of his most important works were written in the
pocrates, translated by M. B. DeBevoise (Baltimore, 1999).
period beginning in 1811. Typically, Atsutane would ap-
On the Hippocratic tradition see W. D. Smith, The Hippo-
pend several commentaries to his text in order to avoid mis-
cratic Tradition (Ithaca, N.Y., 1979); and Owsei Temkin,
takes of interpretation. For example, to Koshi (Ancient histo-
Hippocrates in a World of Pagans and Christians (Baltimore,
ry) are appended two works, Koshicho (References to ancient
1991).
history) and Koshiden (Commentaries on ancient history). In
G
1812, the year his first wife died, he wrote another important
ARY B. FERNGREN (1987 AND 2005)
work entitled Tama no mahashira (The real pillar of the spir-
it), in which he interpreted the Japanese myth of the creation
of the universe in accordance with the principles of astrono-
HIRATA ATSUTANE (1776–1843) was a prominent
my. This methodology had first been attempted by Hattori
Japanese thinker and ardent nationalist who vigorously ar-
Nakatsune in Sandaiko¯ (A study of the three planets), a dis-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HIRSCH, SAMSON RAPHAEL
4023
cussion of the relationship between mythological deities and
biner of Oldenburg. In 1836 Hirsch wrote his Neunzehn
the sun, the earth, and the moon, based on knowledge drawn
Briefe über Judentum (The Nineteen Letters on Judaism),
from books imported from Holland. Atsutane’s work was in-
which has become a classic expression of Jewish Neo-
fluenced by the same line of thought, a major reason why
Orthodox philosophy. A year later, in 1837, he wrote
many of his followers lost influence among intellectuals in
Choreb, oder Versuche über Jissroels Pflichten in der Zerstreu-
the early Meiji period.
ung (Horeb: Essays on Israel’s “duties” in the Diaspora), his
In the early 1820s, having established an academic repu-
major work on the nature of Jewish revelation and law. These
tation in a somewhat narrow sense, Atsutane became inter-
works earned Hirsch a reputation as a champion of Ortho-
ested in ancient Japanese letters and the field of demonology.
doxy and a steadfast opponent of Reform.
His work on the latter subject is regarded today as the model
In 1841 Hirsch became rabbi of Aurich and Osnabrück
that inspired contemporary studies of folk beliefs. In the late
in Hannover (now Lower Saxony), and in 1846 he was ap-
1820s his studies turned to India and China in an attempt
pointed Landesrabbiner of Moravia. Hirsch’s affirmation of
to identify Japan as the ideal country mentioned in the an-
Jewish political emancipation, his wearing of a clerical gown
cient texts of those countries. During this period he also tried
during services, and his emphasis upon the study of the Bible
to make himself known to certain daimyo in order to secure
(rather than exclusive concentration on the Talmud) appear
official patronage. In 1830 he was granted a small stipend
to have alienated him from more traditional Orthodox ele-
from the Owari domain of one of the three collateral Toku-
ments in the Moravian community. In any event, he moved
gawa families.
to Frankfurt, where he served as rabbi of the Orthodox Is-
Toward the end of his life Atsutane explored the fields
raelitische Religionsgesellschaft from 1851 until his death.
of divination and metrology. He published Ko¯koku doseiko¯
Here Hirsch formulated his policy of Orthodox separatism
(Japanese Metrology) in 1834, much to the consternation of
from the rest of the Jewish community and implemented his
the government, which wanted to maintain strict control
conception of Jewish Neo-Orthodoxy through the educa-
over such matters. As a result, his stipend from the daimyo
tional and communal institutions he created.
of Owari was canceled. In spite of this, Atsutane began to
Hirsch soon became the leading Orthodox proponent
publish a study of the calendar in 1837, and in 1840 was
of the notion that traditional Jewish belief in the divinity and
again questioned by government officials. On the first day
the immutability of the written and oral laws could be com-
of the following year he was ordered to stop writing. He re-
bined with an affirmation of Western culture. He did oppose
turned to his home province shortly thereafter, all efforts he
Wissenschaft des Judentums, however, because he feared that
had made for the freedom to move and to write having come
it undermined traditional Jewish notions of revelation. Hir-
to naught. In the years of social change that followed his
sch detested Reform for its rejection of the oral law and
death, however, his disciples increased and contributed to
charged that it reformulated Judaism in accordance with the
the establishment of the new government in the Meiji resto-
demands of the age; against Reform he argued that the con-
ration a quarter century later.
temporary era had to be viewed in light of Judaism.
S
Like the Reformers, Hirsch proscribed neither secular
EE ALSO Kokugaku; Motoori Norinaga.
culture nor secular education. He saw Torah as increasing
humanity’s knowledge of the true nature of humankind,
BIBLIOGRAPHY
while he understood secular education as increasing humani-
Hirata Atsutane’s complete works are found in the twenty-one-
ty’s understanding of God’s will as it unfolds itself in both
volume Hirata Atsutane zenshu (Tokyo, 1977–1981). Studies
nature and history. In speaking about the relationship be-
of his life and thought include Miki Shotaro’s Hirata Atsu-
tane no kenkyu¯ (Kyoto, 1969), Muraoka Tsunetsugu’s
tween religious and secular knowledge, Hirsch wrote that
Norinaga to Atsutane (Tokyo, 1957), and Watanabe Kinzo¯’s
“both should be put on the same footing” (Gesammelte
Hirata Atsutane kenkyu (Tokyo, 1942).
Schriften, vol. 2, p. 450). Hirsch popularized this educational
philosophy through the saying found in Pirqei avot (Chap-
UEDA KENJI (1987)
ters of the fathers) 2.2, “Yafeh talmud torah Eim derekh erets”
(“An excellent thing is the study of Torah combined with
worldly occupation”). While derekh erets literally means
HIRSCH, SAMSON RAPHAEL
“worldly occupation,” Hirsch interpreted it as signifying
(1808–1888), was
modern culture; this saying became the rallying cry of Jewish
a German rabbi and the foremost ideologue of Jewish Neo-
Neo-Orthodoxy in the Western world.
Orthodoxy in the Western world. Hirsch was born in Ham-
burg and educated in an “enlightened-pious” family of Or-
In addition, Hirsch enthusiastically embraced the Jew-
thodox Jews who rejected the notion that secular culture is
ish emancipation. He saw it as a positive development be-
incompatible with traditional Jewish faith. Thus he contin-
cause it afforded Jews increased opportunities to fulfill their
ued his studies with Jacob Ettlinger and Isaac Bernays, rabbis
divinely ordained mission. He regarded the duty of patrio-
who were receptive to modern culture. He studied at the
tism as an obligation of love, and he charged that the Land
University of Bonn in 1829 and, in 1830, became Landrab-
of Israel “had seduced the people Israel from its allegiance
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4024
HISTORIOGRAPHY: AN OVERVIEW
to God” (The Nineteen Letters on Judaism, translated by Ber-
New Sources
nard Drachman, New York, 1960, Ninth Letter, p. 62). Isra-
Bailey, Stephen. Kashrut, Tefillin, Tzitit: Studies in the Purpose and
el’s union, for Hirsch no less than the Reformers, was a reli-
Meaning Symbolic Mitzvot Inspired by the Commentaries of
gious one. “Land and soil,” he wrote, “were never Israel’s
Rabbi Samson Raphael Hirsch. Northvale, N.J., 2000.
bond of union. That function was always fulfilled solely by
Koltun-Fromm, Kenneth. “Public Religion in Samson Raphael
the common task set by Torah” (ibid., Sixteenth Letter,
Hirsch and Samuel Hirsch’s Interpretation of Religious
p. 107). Jewish separatism was justified because of the uni-
Symbolism.” Journal of Jewish Thought and Philosophy 9
(1999): 69–105.
versal spiritual mission Israel was mandated by God to fulfill
“until . . . humanity as a whole might turn to God and as-
Trepp, Leo. “A Reappraisal of Samson Raphael Hirsch.” Journal
knowledge Him as the sole Creator and Ruler” (ibid., Sev-
of Reform Judaism 34 (1987): 29–40.
enth Letter, p. 55).
DAVID ELLENSON (1987)
Revised Bibliography
A prolific author, Hirsch articulated these ideals in
many other essays, articles, and books. Among the most fa-
mous are his commentaries on the siddur and the Penta-
HISTORIOGRAPHY
teuch. In these works, Hirsch argued that the purpose of
This entry consists of the following articles:
prayer and devotion is, in terms reminiscent of Kant, an edu-
AN OVERVIEW
cational one—that is, to prepare the individual philosophi-
WESTERN STUDIES [FIRST EDITION]
cally and psychologically for the universal ethical-religious
WESTERN STUDIES [FURTHER CONSIDERATIONS]
tasks of this world. Furthermore, Hirsch employed Hegelian
legal categories in these works and explicated the particular
HISTORIOGRAPHY: AN OVERVIEW
laws and statutes of the Jewish religion in a way that allowed
The English word history, as well as the French histoire and
him to identify them with universal concepts and principles
the Italian storia, stems from the Greek historia, which was
of rational thought.
used first to refer to a general inquiry into things and only
later to refer to history as it is now understood. Germans
These intellectual characteristics, the pure German liter-
speak of Geschichte (from geschehen, “to happen”); Chinese
ary style evidenced in his writings, his affirmation of emanci-
choose shih (meaning both “fact” and “history”); Hindus use
pation, his embracing of contemporary German standards of
terms such as itiha¯sa (tradition; lit., “verily thus it hap-
aesthetics, and his positive attitudes toward secular education
pened”) and pura¯n:a (ancient lore); and Arabs alternate
and culture all combined to gain him a great degree of prom-
tar Dikh (derived from the word for dating events), khabar
inence and to mark the emergence of a new type of Orthodox
(“report”), and Eibar (derived from the verb meaning “to pass
Jewish religious leader. He remains the most important ex-
on, through, over, or beyond”). Because the meanings of
ponent of Jewish Neo-Orthodoxy.
these terms are bound to cultures and periods, etymological
analysis does not provide a ready explanation for the univer-
BIBLIOGRAPHY
sality of the writing of history.
Breuer, Mordechai. The “Torah-Im-Derekh-Eretz” of Samson Ra-
An investigation of time as the basic dimension of
phael Hirsch. Jerusalem and New York, 1970. A thorough
human existence yields more profound insights. It demon-
analysis of Hirsch’s educational philosophy.
strates the relentless change from past to present to future
Hirsch, Samson Raphael. Judaism Eternal: Selected Essays from the
and how that change leads human beings to search for ele-
Writings of Rabbi Samson Raphael Hirsch. 2 vols. Translated
ments of continuity so as to reconcile their memories of the
from German and annotated by Isidor Grunfeld. London,
past with their experiences of the present and their expecta-
1956. Volume 1 of this two-volume work contains a com-
tions for the future. History is the endeavor that reconciles
plete list of Hirsch’s publications. It is probably the best in-
change and continuity by constructing such a unity of past,
troduction to Hirsch in English.
present, and future. That purpose links history to religion,
Liberles, Robert. Between Community and Separation: The Resur-
itself the affirmation of a continuity transcending the world
gence of Orthodoxy in Frankfort, 1838–1877. Westport,
and time. Indeed, the history of historiography is marked de-
Conn., 1985. An important analysis of the context from
cisively by the fate of that link between religion and histori-
which Hirsch emerged.
ography. In the mythological stage, sacred concepts alone de-
fined the unity in time, telling of the emergence first of the
Rosenbloom, Noah H. Tradition in an Age of Reform: The Reli-
cosmos and then of human society. In the subsequent stage
gious Philosophy of Samson Raphael Hirsch. Philadelphia,
of traditional historiography the ever more multitudinous
1976. The most comprehensive analysis of Hirsch’s life and
thought yet to appear in English. It has aroused a great deal
and complex human phenomena of the ongoing present and
of controversy, both because of Rosenbloom’s criticisms of
the expected future were linked to the sacred past (be it the
Hirsch and because of the charges that Rosenbloom over-
mythological core or the works of Confucius, the Buddha,
looked several important sources in constructing his portrait
Jesus, or Muh:ammad) and thereby given meaning. In the
of Hirsch.
later phases of traditional historiography, that creative pro-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HISTORIOGRAPHY: AN OVERVIEW
4025
cess of establishing continuity through reference to the sa-
to human reason. In all of this, the “authority of the past”
cred past became more complicated as human history re-
is dominant.
vealed more and more of its scope and some self-regulating
patterns. The less frequent direct linkage between the present
Indian traditional historiography. Indian historiogra-
and a sacred past resulted in a greater prominence of human
phy, which has its mythological anchor in the Vedic litera-
phenomena in the world’s traditional historiographies, a
ture, particularly the fourth Veda—the Upanis:ads—with its
prominence in many cases supported by a nascent rationalist
exhortation to focus human life on a union with the all-
undercurrent. Finally, in modern Western civilization, that
encompassing and changeless Absolute, gives little encour-
linkage snapped completely and a historiographical revolu-
agement to record the world’s changing phenomena. Indeed,
tion began that challenged the very link between religion and
it has been argued (too sweepingly) that because of this focus
historiography. The repercussions became worldwide.
Indian culture lacks a historical consciousness. While no
large body of ancient historical works exists, there is a body
For centuries, the mythical accounts of how the cosmos
of historical material in the Vedas, the Itiha¯sa. Among its his-
and human society were created shaped both the substance
torical genres, the Pura¯n:as contained genealogies and stories
and the tenor of historical works. Therefore, it mattered
of kings. The royal genealogies were kept by a special court
whether the world was perceived as going through endlessly
official, the su¯ta and later the ma¯ghada; the genealogies traced
recurrent cycles (ancient Indian accounts) from which
the king and his family back to the mythological period.
human beings strove to escape into a state of timelessness;
Other lists showed the proper priestly succession. These were
or as the onetime creation by an all-powerful creator (the
important because the link to sacred antiquity gave legitima-
three monotheistic religions), which demanded of human
cy to priests and kings. The Itiha¯sa-Pura¯n:a tradition also
beings lives of decision with reference to a Last Judgment at
contained stories with clear lessons on conduct. Narrative
the end of time; or as depending on the mythological age
historiography, as epic history, found an outstanding exam-
mainly for the substance and legitimacy of its moral and po-
ple in the Maha¯bha¯rata (uncertain date; some parts extant
litical order (Chinese and Japanese accounts).
in the seventh century) and the popular genre of a¯khya¯na.
Of even greater import to traditional historiography
By 300 CE ancient Indian historiography had found its en-
were accounts of the foundation of human society, most
during form. From then on, largely undisturbed by the Mus-
often formulated in terms of a loss of perfection. Ancient In-
lim and European hegemonies, it offered chronicles of the
dian texts spoke of a decline from the Golden Age, first to
various feudal states and biographies of outstanding persons
one marked by a need to eat and engage in sex, shortening
in the form of the carita. All of these manifest the basic char-
the human life span, and then, crucially, to one of agriculture
acteristics of Indian historiography: a lack of interest in pre-
and private property that necessitated restraints on power
cise dating; a lack of desire to distinguish clearly between leg-
and violence through law and government. The process had
end, fantasy, and fact; a love of poetry; a preference for the
four stages (yugas): the ideal stage, the kr:tayuga; the begin-
idealized over the realistic; and the absence of a method for
ning of degeneration in the treta¯yuga; the dva¯parayuga; and
establishing the congruence of text and preceding text or of
the present, destructive stage of kaliyuga. In the Jewish and
text and observable world. All of these characteristics are con-
Christian traditions human society resulted from an act of
sistent with the emphasis on achieving union with the Abso-
disobedience—Adam and Eve trying to partake of God’s full
lute and reflect the resulting relative inattention to the story
knowledge. Expulsion from the Garden of Eden brought the
of human phenomena for their own sake. Thus, history was
new human world of toil and suffering but also the possibili-
seen as the outward manifestation of an inner drama, whose
ty of joy and prosperity contingent on the proper relation-
logic was not to be found in mechanical cause-and-effect re-
ship between God and human beings. Chinese, Greeks, and
lationships but in karman, a structure by which punishments
Romans spoke of a decline in more general terms: Confucian
follow wrong deeds and rewards follow good ones.
scholars saw decay as an ever-present threat (if the proper
Into this historiography was fitted, with some consider-
precepts were not obeyed); Greeks knew of the five consecu-
able modifications of the ancient tradition, both the Bud-
tive ages (or races) of declining quality suggested by Hesiod;
dhist and Jain histories. In their basic tenor these traditions
and Greek and Roman writers repeated tales of a lost Golden
too placed strong emphasis on individuals escaping from the
Age. Each of these fundamental views left its imprint on tra-
transient world, although they offer somewhat more encour-
ditional historiography.
agement for an involvement in that world. Their radically
TRADITIONAL HISTORIOGRAPHIES. Historiographies in the
new feature was the reanchoring of history in the teachings
traditional manner prevailed in the West until the eighteenth
and examples of persons who had actually lived in history.
century and outside of the West for two more centuries. Tra-
Buddhist historiography anchored in the Tripit:aka, with its
ditional historiography established for all events their conti-
account of episodes in the Buddha’s life (566–486 BCE), the
nuity with the sacred past by authorizing what constitutes
formulation of his teachings, and the founding of the sam:gha
proper memory, by interpreting the why and how of events,
(“community”). Thus, Maha¯na¯ma’s famous Maha¯vam:sa
and by using a methodology that stresses the consensus of
(Chronicle of Ceylon) was written in the traditional Indian
continuing texts rather than verification measured according
manner, but, while acknowledging the Vedic core, it stressed
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4026
HISTORIOGRAPHY: AN OVERVIEW
the Buddha’s life and teachings and the teacher Mahinda’s
Japanese traditional historiography. Beginning with
work in Ceylon; none of this was intended to reconstruct ac-
the early Nihonshoki or Nihongi (Chronicles of Japan; 720
curately the past but to edify readers and listeners. Jain histo-
CE) and its cruder predecessor the Kojiki (Record of ancient
riography varied Hindu tradition by introducing a succes-
matters, 712 CE), Japanese historiography carried the imprint
sion of twenty-four jinas (saints), the last one being
of the well-developed Chinese historiography. But while the
Vardhama¯n:a Maha¯v¯ıra (d. 476?), and by deemphasizing
Confucian linkage of virtue and fortune was present in them,
some supernatural explanations in favor of rational ones.
the stronger feature was the Shinto¯ assertion of an unbroken
sequence of emperors originally descendant from the sun
Chinese traditional historiography. Given to the con-
goddess. This sacred imperial line made superfluous the Chi-
crete and the particular rather than the supernatural and ab-
nese concept of the mandate of Heaven and its rationale for
stract, Chinese historiography had as its narrow mythological
dynastic change. Yet, from the eleventh to the seventeenth
base the mandate of Heaven (tian-ming), which required the
century there were no imperial histories, because that histori-
emperor to organize and maintain a social order according
ography did not fit a society in which the power was held
to moral precepts. The mandate deified the emperor without
by noble families. The Japanese prose writings, the Rekishi
making him a god, but also sanctioned his overthrow if the
monogatari (Historical tales) and the Gunki monogatari (Mil-
order was either not maintained or failed to conform to the
itary tales), recorded the powerful lords’ deeds and their rela-
moral code. Heaven provided for the authority of the ruling
tionship with the imperial family. The dominance of noble
dynasty but also for revolution and the subsequent establish-
families, ruling for and through the emperor, raised the issue
ment of a new dynasty. That view accorded well with the
of legitimate authority. Works by imperial partisans, such as
fifth-century Chunqiu (Spring and autumn annals) of the
the fourteenth-century Jinno¯ sho¯to¯ki (Chronicle of gods and
state of Lu. This work, comprising typical annals of military
sovereigns) by Kita¯batake Chikafusa, extolled the divine/
campaigns, events at court, and unusual occurrences, became
human position of the emperor as the descendant of the sun
in the edition attributed to Confucius an instrument of
goddess, a mode of thinking characteristic for the whole “loy-
moral and social teaching. Thereafter, the dependence of the
alty to the emperor” school, which centuries later (in 1868)
fortunes of individuals and dynasties on conformance to the
was instrumental in the restoration of imperial power.
moral code and its correlate political wisdom remained a
theme in Chinese historiography. The close connection be-
Historians sympathetic to the feudal overlords found—
tween the mythical mandate, history writing, the state, and
in the Confucian manner—the dominance by feudal families
the moral structure of life was maintained when, after 221
legitimate if the law and thus harmony was effectively main-
tained and—in the Shinto¯ manner—if a genealogical link
BCE, a strong imperial government emerged. Even the de-
struction by imperial decree (213
with the imperial line could be established. In either case the
BCE) of all previous histori-
cal materials emphasized that link: these records fostered the
traditionally sanctioned authority of the emperor remained
survival of memories dangerous to the new order. History
above the rise and fall of political power. The Buddhist priest
writing was affirmed with the establishment of a commission
Jien’s Gukansho¯ (1219) illustrates well the complexity of in-
to collect ancient texts (136
terpretation in Japanese traditional historiography. Although
BCE) and a “grand college” (124
written with an ostensibly political purpose it called upon the
BCE), and above all through the sponsorship of the Zhengshi
Shinto¯ concept of the direct divine descent of emperors, the
(Standard histories). The pioneering work, the Shiji (Records
Confucian linkage of virtue, order, and harmony, and a pro-
of the historian) by Sima Tan (d. 110 BCE?) and his son Sima
fusion of Buddhist organizing concepts: kalpas (cycles with
Qian (c. 145–85 BCE), contained composite annals (mostly
a first half of decadence and a second one of recuperation);
court accounts), genealogical tables of the imperial family,
the tripartite scheme of True, Imitation, and Final Law (the
lists of ministers of state, and a biographical section devoted
last being the worst, when even Buddhist teachings were cor-
to famous statesmen and scholars. Later, such histories were
rupted); and finally, interwoven into all of these, the Princi-
created by the official history office (shi guan). In accordance
ples (impersonal shaping forces, one for each age). In the end
with the principle of orderly succession—the manifestation
all of these schemes were subject to the Buddhist doctrine
of the triumph of peace and harmony over chaos—it became
of continuous universal decline despite temporary respites,
the duty of each dynasty to compose the history of the pre-
a message that fit the pessimism of a difficult period. With
ceding one, always mindful of linking authority to ancient
the reemergence of a strong central (although not imperial)
times and of offering proper lessons from the past. Thus a
government under the Tokugawa shoguns (1600–1868), the
stable historical record, sustaining and reflecting traditional
Chinese historiographical model emphasizing centralized
China, spans the period to the end of the monarchy in 1911.
power became once more attractive and shaped the late sev-
Even Chinese Buddhism with its sense of universal equality
enteenth-century Honcho¯ tsugan (Comprehensive mirror of
and compassion for all human beings, its longing for release
Japan). It stressed the political lessons of history interpreted
from this life, and sense of decline in human history, was ad-
according to the now strongly encouraged Confucianism.
justed in its historiography to Chinese traditionalism and—
partially because of intermittent coercion by the state—never
Greek and Roman historiographies. Greek and
developed a true alternative to the official view of the past.
Roman historiographies were in their entirety traditional, as
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HISTORIOGRAPHY: AN OVERVIEW
4027
they were never decisively shaped by the rationalism and
upon, it is implied, the cycle begins anew with monarchy.
skepticism of their own cultures and, of course, never by that
For Polybius this was a cycle only Rome could escape, be-
of modernity. The Homeric epics were the mythological core
cause only Rome had mixed the three ideal forms in one
of Greek historiography, and their heroic history befitted the
composite constitution. Decadence also concerned Polybi-
ideals of the Greece before the city state (polis) and organized
us’s contemporary Marcus Porcius Cato the Elder, who con-
record keeping. The Greece of the polis preferred an “unhe-
demned the Greek influence as destructive of traditional
roic” history, although the lessons of honor and noble pas-
“Old Rome.” This theme persisted, the idea that the “Old
sions derived from the narratives of the struggles and tragic
Rome” of tradition, where people practiced ancient religious
fates of heroes were never forgotten. The prose histories with
rituals and civic virtues and rendered public service willingly,
a human dimension, often structured by crude chronologies
was being corrupted. But as much as the great Roman histo-
(generation counts, lists of officeholders, priests, and priest-
rians between 86 BCE and 120 CE (Sallust, Livy, and Tacitus)
esses), offered grand inquiries into cultures (Herodotos,
spoke of decadence, none of them suggested a truly cyclical
c. 484–c. 425 BCE) or wished to serve the citizens of the polis
view of history, because the gods had pronounced Rome
(Thucydides, c. 460–c. 400 BCE). The Homeric gods who
eternal.
had so frequently and directly interfered in battles and indi-
vidual lives receded soon into a lesser role, punishing those
The Roman state and historiography alike remained
immoderately in love with money or power (Herodotos) or
linked to the traditional core, and Roman historians never
yielding all influence to the human drive for power (Thucyd-
speculated in an abstract manner about general forces and
ides). The exact role of the often-mentioned Tyche (fate or
patterns shaping events, as some Greeks had done (e.g., Thu-
fortune) was never clear. Yet many traditionalist historians,
cydides, Polybius, and the Stoic Posidonius of Apameia). In
despite their admiration for human deeds, still gave proper
the main, Greek and Roman histories focused on individual
credit to the gods. The uncertain role of gods and mythology
events and deeds, which they judged according to moral pre-
continued in Greek historiography after the latter had lost
cepts and public benefits. For Romans, decadence stemmed
its city-state focus, in the Macedonian monarchy and subse-
from the failure to affirm the ancient virtues; hence the im-
quently in the monarchical Hellenistic states. Universal his-
portance of the Roman antiquarians, particularly Marcus
tory, attempted in the fourth century
Terentius Varro (116–27 BCE). Such history in support of
BCE by Ephorus of
Cyme, proved impossible in a tradition that lacked any in-
tradition conformed to Aristotle’s dictum that history dealt
gredient conducive to the linking of non-Greek and Greek
only with individual phenomena and not with universals (as
records into a universal history. Traditional historiography,
did poetry and philosophy); hence the firm link of history
most often local in nature, received support from the anti-
to rhetoric (as the art of persuasion) rather than to philoso-
quarians, who composed critical histories of ancient religious
phy (as the endeavor to explain).
legends and rituals, hoping to use the increasingly rationalist
Jewish historiography. Jewish historiography ex-
ideal of accuracy for the support of tradition.
pressed a unique sense of history—history as sacred memory,
Early Roman historiography was really Greco-Roman.
telling of God’s great acts throughout time and the Jews’ re-
One of Rome’s mythological roots reached back to Aeneas,
actions to them, most importantly God’s choice of the Jews
the Trojan refugee who came to Italy and was linked genea-
as the instrument for the fulfillment of his purpose. In the
logically to the seven legendary Roman kings. The first of
covenant that affirmed God’s choice of the Jews as the instru-
these, Romulus, the founder of Rome, was also part of an-
ment for the fulfilling of his purpose, God promised Abra-
other mythological tradition, that of a Vestal Virgin’s two
ham to make the Jews numerous and give them land in re-
sons, of Romulus and Remus, set out to die and nursed by
turn for their obedience and faithfulness. Joined to this was
a she-wolf. Elaborated at great length, these mythological tra-
the Deuteronomist account of the pre-covenant period.
ditions constituted Rome’s ancient heritage. A non-
God’s creation of the world; Adam and Eve’s loss of paradisi-
mythological ritual tradition had a more direct impact on
acal existence, leading to human life in its present form; and
Roman historiography: the Annales Maximi kept for each
another overreaching deed, the building of the Tower of
year by the high priest (pontifex maximus) fixed the days
Babel toward heaven, with the subsequent sudden appear-
when sacred law permitted business and court transactions
ance of many languages and nations. In the world of the cov-
(the dies fasti), and thus began a strong annalistic genre that
enant, the Jews attempted to fulfill their demanding mission.
recorded much of the public Roman life. But until the sec-
Thus, in the kingdom period (David and Solomon), they
ond century BCE the influence of late Greek historiography,
had to translate that mission into actions that satisfied both
speculative in nature and detached from Roman tradition,
God’s will and the needs of state policies. When as a people
was overpowering. Histories in Greek predominated, reach-
possessing free will they often failed, prophets recalled them
ing their peak in the Histories of Polybius (c. 200–118 BCE),
intermittently to their great purpose. Then, in the time of
with its cyclical philosophy of history in which each ideal
the Babylonian exile, with no Jewish state left, the eschato-
government form first decays into corruption and then is re-
logical aspect of the Jewish faith (the concern with the last
placed by another ideal form: monarchy moves to tyranny;
things) was stressed, leading to the apocalyptic views of late
aristocracy to oligarchy; then democracy to mob rule, where-
Jewish history (the prophet Daniel).
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4028
HISTORIOGRAPHY: AN OVERVIEW
It was important for the fate of the Jews that an authori-
world eras were known, a fact that prepared the way for link-
tative version of this whole sacred history was conveyed by
ing faith and chronology through the presently used scheme
the Hebrew scriptures (Old Testament), a compilation of
of reckoning history from the incarnation, which preserves
many sources that had undergone redactions by skilled com-
the sacred nature of time without insisting on the substantial
pilers (such as the Deuteronomist, Yahvist, and Chronicler)
unity of the past.
until it was put into canonical form in 100 CE. After the de-
In early Christian historiography the world’s duration
struction of the Second Temple in 70 CE, Jewish historical
was often given as six thousand years (six days of creation
writing became insubstantial except for Josephus’s The Jew-
times one thousand, since “one day is with the Lord as a
ish War (75–79 CE) and Jewish Antiquities (93? CE). Jewish
thousand years,” 2 Pt. 3:8). Each millennium formed a world
thought in the Diaspora (the state of being scattered) became
age (aetas mundi), demarcated by prominent biblical figures
ahistorical. The Jewish state, whose fate had offered the pos-
or events, such as Adam, Noah, Moses, Abraham, David, the
sibility of tracing God’s will and acts in time, had disap-
peared. Now Jewish jurisprudence, philosophy, and Qab-
building of the Temple, the restoration of the Temple, and,
balah were perceived as surer guides to pious wisdom than
always, Christ. The scheme of world ages, used by Origen,
history. But the unique Jewish sense of history, with its total-
Augustine, Isidore of Seville, Bede—with or without the
ly sacral concept of time, became decisive for Western civili-
one-thousand-year spans—became a favored periodization
zation in its Christian interpretation.
scheme for world chronicles. It found a rival in the Christian
adaptation of a Jewish apocalyptic vision: Nebuchadrezzar’s
Christian traditional historiography. Christian histo-
dream about a statue and its eventual destruction by a boul-
riography also had as its basis a historical record, the biblical
der, interpreted by the prophet Daniel (2:32–41) as the suc-
account (in the Old and New Testaments) of the entrance
cessive appearance in history of four empires, followed by
of God himself into history. Such a rupture in continuous
God’s kingdom. Such a transfer of power from empire to
human time at first retarded the formation of a Christian his-
empire (translatio imperii), known to ancient writers, was
toriography, as some Christians (the chiliasts), expecting the
used by Paulus Orosius (fl. 414–417) in his Histories against
imminent second coming of Christ, denied a historical fu-
the Pagans. He stipulated a sequence of Babylonian, Macedo-
ture, while other Christians (the Marcionites), emphasizing
nian, Carthaginian, and Roman empires; the latter, blessed
the newness and uniqueness of Christ’s first coming, rejected
by Christ’s life and work and being the instrument of the
the Old Testament and thereby denied a meaningful past.
universal mission, would endure to the Last Judgment. Au-
As time went on, however, Christians accepted history as the
gustine (354–430) mentioned various age schemes but sug-
process of universal redemption through the gradual educa-
gested a detachment of Christian views of history from all
tion of mankind. Time was the space in which God worked
such rigid and earth-bound schemes in favor of a dynamic
his purpose, and the end would come when “time was ful-
perspective: history is seen as the battlefield of the forces fu-
filled.” Into that process fitted Paul’s reinterpretation of Jew-
eled by the love of God (City of God) and those propelled
ish Christianity in the direction of a universal Christianity
by the love of self and the world (City of the Earth). No enti-
and the formulation of a positive view of the Roman Empire.
ties or persons in this world belonged wholly to one or the
Rejection of the empire had come easily because of Rome’s
other of the two communities; all of them were of a mixed
pagan mythology and religion and her persecution of Chris-
state, with the separation and the victory of the good only
tians. The positive view of Rome pointed to a divine purpose
occurring at the Judgment. Augustine’s dynamic view found
in the Augustan empire, as its peace, order, and communica-
few adherents in medieval historiography with its usually
tions network facilitated Christian missionary work. When
close attachment to secular institutions. When, after 1100,
in 313 Christianity became tolerated and then later the fa-
cultural change accelerated in the West, some new periodiza-
vored faith, its linkage to the empire (and subsequently to
tion schemes followed the trinitarian pattern: the old one of
other secular states) brought about a flourishing traditional
“prior to the law,” “under the law,” and “under God’s glory”
historiography, one that sacralized history, wished to encom-
or the new one after the Trinity proper—periods of the Fa-
pass all nations and times, and shared certain forms.
ther, Son, and Holy Spirit. In each case the most recent peri-
od was seen as the one most “advanced” and also closest to
The unity of all nations and times found its grand ex-
the end (Adam reborn). Joachim of Fiore (c. 1130–1202)
pression in chronology. In his chronological tables Eusebius
spoke of the age of the Holy Spirit as the final one of univer-
of Caesarea (c. 263–339) compiled lists of rulers and events
sal brotherhood, with monks as the spiritual leaders, while
from many ancient cultures and synchronized them with the
Hugh of Saint-Victor (d. 1142) perceived a gradual develop-
dominant Judeo-Christian line. While his chronology pre-
ment from natural law to written law to the time of grace,
vailed in the medieval period, discrepancies in the figuring
a development marked by progress from a primitive under-
of world eras—the counting of all dates from creation,
standing of ritual and sacraments to an ever fuller sacramen-
Adam, or Abraham on—arose early because scholars used
tal union with God through Christ.
different versions of the Old Testament, a work devoid of
dates (years elapsed from Adam to Christ ranged from 3952
In traditional Christian historiography divine provi-
to 5500). By the late sixteenth century at least fifty different
dence worked through portents, miracles, the never-ending
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HISTORIOGRAPHY: AN OVERVIEW
4029
cycle of sin and punishment, and the divinely instituted
Muh:ammad’s bringing of the QurDa¯n constituted the
church. Histories of the church began with Eusebius’s
center of human history, when God had communicated his
Church History, which with its continuations was compiled
will to the human race for all time. Thus, the full meaning
into the widely used Historia Tripartita (sixth century). But
of history was ascertainable from the s¯ırah, a biography of
as long as the church was integrated into the total life, ecclesi-
the Prophet. Of historical material it included the Old Testa-
astical histories reached far beyond the confines of the insti-
ment account to Ishmael (strong on genealogies), the events
tution proper. In the histories of the integration of new peo-
in Arabia before Muh:ammad (legends and genealogy of
ples into Latin Christendom (Germans, Slavs, Danes,
Muh:ammad), and the life’s work of Muh:ammad (with many
Normans), and of Byzantium’s mission to the Slavs and the
magha¯z¯ı, that is, histories of the expeditions, their leaders,
peoples of the Near East, the church appeared clearly as
purposes, and major participants). Traces of pre-Islamic ele-
God’s means of accomplishing the universal mission. The
ments, such as a fondness for the inclusion of poetry and nar-
church also was central in the histories of the Crusades, those
rative reports and a love for biography, appear in the sacred
attempts to regain the Holy Land for the Christian world,
literature of Islam. The reliability of accounts was ascertained
although the later Crusades already reflect the ascendancy of
by isna¯d, a critical method parallel to that used in Islamic
political and economic motives over the zeal for sacred en-
theology and law for inclusion of records into the h:ad¯ıth (tra-
deavors.
dition in the specific sense of verified tradition). It concen-
The Christian view of the past was put forth in a num-
trates on establishing an unbroken series of trustworthy
ber of often ill-defined genres. The biographies of emperors
transmitters and not on the verification of content. Thus, Is-
and kings, as well as the gesta (“deeds”), which dealt with a
lamic traditional historiography could not corrode the sacred
whole series of officeholders (abbots and bishops), gave
core as it was linked to it in method and content.
much praise to individuals. That offense to Christian humili-
The task of traditional historians was facilitated by the
ty was justified by the inspiration the works offered for prop-
unity of the Islamic community in the caliphal state with its
er Christian behavior. The most prevalent genres, however,
combined secular and religious authority. With the empire
were the annals and chronicles, often difficult to distinguish
as its given scope, the time flow as its organizing principle,
from each other. Both fit well the Christian image of time
its chronology firmly anchored in the Hijrah (Muh:ammad’s
rushing toward its fulfillment (the word chronicle derives
emigration from Mecca to Medina, 622
from chronikos, “belonging to time”). Particularly the world
CE), and with room
for narrative, the annalistic chronicle became the prevalent
chronicle, reaching from creation to the contemporary peri-
genre of traditional historiography, reaching its highpoint in
od and divided according to world ages, represented tradi-
al-T:abar¯ı’s chronicle, the first comprehensive account of Is-
tional Christian thinking about history at its best. It there-
lamic history, reaching to about 915.
fore was a sign of trouble when, from 1100 on, more and
more world chronicles dropped the sacred story (at least up
While in al-T:abar¯ı’s history the united empire served
to the incarnation) and could no longer master the ever-
as an integrating factor, it was that empire, with its diverse
increasing data by the usual schemes of world ages and four
peoples and cultures (of particular impact were Iraq, Syria,
empires. By the fourteenth century the traditional world
and Persia), that gradually made Islamic historiography
chronicle also was losing its nourishing base with the decline
broader but less homogeneous. The continuing contacts
of monasticism. When its once clearly perceived structure of
with the outside world and the internal political disintegra-
the human story collapsed, the world chronicle became ency-
tion also strengthened the centrifugal influences in Islamic
clopedic and, while it was still a source of inspiration (partic-
historiography. Universal histories slowly became less the
ularly for Franciscan preachers), it conveyed more in the way
conquering story of Islam, starting from the sacred core, and
of information than of a sense of the grand sacred develop-
more the story of various cultures, such as in the Muru¯j al-
ment—a signal for severe problems to come.
dhahab (Meadows of gold) by al-T:abar¯ı’s contemporary
Islamic traditional historiography. Islamic historiog-
al-MasEu¯d¯ı (d. 956?). In these histories, although they re-
raphy had its firm anchor in the life and teachings of
tained many elements of traditional historiography, the cen-
Muh:ammad (570–624 CE). The earlier tribal society left its
tral principle of unity was often a philosophical idea, uncon-
historiographical traces through the epic Battle Days of the
nected with the religious tradition and the unified Islamic
Arabs (reports on events and persons) and the genealogical
state. The spreading doubt and uncertainty provoked a con-
records. But Islamic historiography used also the Old Testa-
scious traditionalism that caused a reemphasis of traditional
ment narrative to account for the period before Muh:ammad,
ways in historiography but also a deemphasis of history in
seen as a time of numerous corruptions of faith reversed at
favor of theology and religious law, which were perceived as
certain points by prophets, each of whom pronounced a new
more stabilizing. Historians, for their part, tried to gain a
shar¯ı Eah (law) and founded a new community of the faithful:
broader theoretical basis for Islamic historiography. After
Adam, Noah, Abraham, Moses, Jesus, and the final one,
1000 CE, as traditional Islamic historiography was being
Muh:ammad, who had to establish true Islam against the
challenged by the increasing rationalism and skepticism ema-
most recent falsifications of faith by the followers of Moses
nating from the study of Greek philosophy and science, his-
and Jesus.
tories quite often began with introductory remarks 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
4030
HISTORIOGRAPHY: AN OVERVIEW
theory of history that went well beyond the range of ques-
development as periods of religious corruption. In the bitter
tioning permitted by isna¯d.
struggle over the true tradition, Protestants affirmed a new
historical continuity by linking the present directly with the
The resilient non-Western traditional historiogra-
(ideal) apostolic church, while Catholics defended the con-
phies. In comparison with biblically based historiographies,
tinuous tradition. The geographical discoveries created a
particularly the Christian one, other historiographies were
global world whose great variety of people had to be integrat-
considerably more stable. They did not reject their mytho-
ed into traditional universal history. At stake were the unitary
logical and religious heritage, largely because their historio-
origin of humankind in Adam and the central position of
graphical truth-finding process never assigned a truly correc-
Jewish history in the course of world history. Thus, accord-
tive or intrepretive critical role to reason. Indian historical
ing to the Jesuit José de Acosta (late sixteenth century), the
writing did not draw a sharp line between fact and legend.
American Indians were linked to biblical origins by a migra-
Chinese (and with it Japanese) methodology expected from
reason a careful refinement of the records of the past but not
tion across the Bering Sea. More audaciously, the seven-
a reinterpretation of the past. Chinese scholars considered a
teenth-century pre-Adamite theory of Isaac de la Peyrere sep-
record true if the sources agreed or a documented contradic-
arated the general (pre-Adamite) creation of all people from
tion was absent (not, as in the West, if multiple independent
the subsequent story of the Jewish people beginning with
confirmation were obtained), a standard that assured a high
Adam, a view unacceptable to Christians because it left most
degree of accuracy with a minimal corrosion of tradition.
people without a link to Adam and biblical history.
This standard served historians well who strove for the con-
These challenges further eroded the already weakened
sensus of an ongoing tradition and saw history as the succes-
traditional universal history. Although that history was much
sion of separate, identifiable, and observed events subject to
cultivated at the new Protestant universities, its specifically
no abstract concept of wholeness and with no structure of
Christian features receded gradually into ecclesiastical histo-
a philosophical nature. In Greek and Roman historiogra-
ry. From the late sixteenth century, schemes appeared that
phies any radical challenge to tradition was checked by histo-
separated human history from sacred history. The latter in-
ry’s divorce from philosophy, its tie to rhetoric, and its role
creasingly became ecclesiastical history and lost ground
as public servant. Challenges to Islamic traditional historiog-
steadily to the human history that concentrated on the
raphy were more serious. After 1000, under the influence of
world’s immanent concerns. In turn, human history soon ex-
ancient Greek philosophy and science, attempts were made
perienced difficulties in structuring its accounts similar to
to reformulate history’s purpose and to construct histories of
those difficulties Christian historians had encountered when
interconnected phenomena at a distance from sacred tradi-
dealing with the period after Christ, a period (the sixth world
tion. The highpoint of these attempts came with the Kita¯b
age) that lacked easily identifiable biblical “markers.” The
al- Eibar (History) by Ibn Khaldu¯n (1332–1406), which re-
new world historians, having abandoned the sacred struc-
lies on human reflection, not traditional authority, searches
tures although still accepting the biblical story for the early
universal history for timeless patterns in human conduct as
period, experimented with various structures that gave order
the core to a theory of culture, and aims not at constructing
and unity to their accounts. Finally, in the 1690s, Christo-
a theoretical image of reality but at assisting in the realization
pher Cellarius suggested the still popular division into an-
of an ideal society in given circumstances. The Kita¯b al- Eibar
cient, medieval, and modern periods, which in effect ex-
stood between traditionalism and rationalism, as would
pelled the Christian story from its central place. The sturdily
much of Islamic historiography from then on.
traditional Roman Catholic historiography never experi-
THE AGE OF ANTHROPOCENTRIC HISTORIOGRAPHY. Be-
enced these problems because it yielded the place of honor
tween the 1300s and the 1700s Christian traditional histori-
to systematic theology and its less mutable categories and
ography disintegrated slowly but relentlessly and to a degree
lessons.
unprecedented in other cultures. In their quest for authentic
Finally, traditional historiography was drawn into the
texts, Renaissance humanists developed a sophisticated text
seventeenth-century battles over epistemological questions.
criticism that stripped layers of later “deposits” from the orig-
Francis Bacon’s empiricism appreciated history as the memo-
inal texts, beginning the diminution of the aura of ancient-
ry of data for observation. But advocates of the new sciences,
ness that so far had given weight to tradition and preparing
along with René Descartes (1596–1650), downgraded histo-
for the view that texts are not the manifestation of universal
riography for not being able to deliver uncontestable general
wisdom but merely the reflection of thought in a particular
truths. They found history trivial because it did not deduce
culture at a given point. Eventually, and with radical conse-
its insights from a few a priori principles. In response, the
quences, even the Bible would become the object of such
erudite historians avoided interpretations and restricted their
critical analysis. Humanist histories also shifted their focus
work to establishing an unassailable record of the past
to the world of states and secular individuals, where the reli-
through a rigorous criticism of ancient texts and documents.
gious dimension was secondary.
Churchmen, particularly the Jesuit Bollandists and Benedic-
In the Reformation, Protestants obliterated parts of tra-
tine Maurists, did pioneering in order to ward off a wholesale
ditional history when they rejected centuries of ecclesiastical
rejection of traditional history; indeed, the Maurist Jean 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
HISTORIOGRAPHY: AN OVERVIEW
4031
billon wrote the De re diplomatica (1681), which remained
ous century, the latter had found its last prominent advocates
the handbook for historical studies for two centuries.
in Sir Walter Raleigh (1554–1618) and Jacques-Bénigne
Bossuet (1627–1704). Now, as interpreted by a philosophy
Adaptation and change of traditional Christian his-
(as opposed to a theology) of history, world history became
toriography. From the 1400s to the late 1800s, Western his-
the story of humankind’s emancipation through the progres-
toriography saw attempts to reconcile the traditional Chris-
sive ascendancy of reason. At first suppressed by ignorance
tian view of history with developments that favored a secular
and superstition, rationality increased under the pressure of
vision of history. They included the cyclical interpretation
human unhappiness until by the eighteenth century it
of history, the appreciation of ages and cultures on their own
reached maturity in some Western nations, a pattern that
merit (historicism), a simple updating of tradition, stipula-
was expected to be repeated universally. Christian faith and
tions of a unitary process including God and the world, and,
its views on history were seen as manifestations of an earlier,
finally, development of a historical science that still left room
less developed stage and was valued only for the church’s
for the Christian interpretation of history.
preservation of learning. The meaning of history was entirely
God and the organic pattern. The cyclical model of or-
immanent, anthropocentric, and entirely determined by the
ganic life, particularly its decadence phase, had been part of
imagined perfect future, a total reversal of the Christian view
the classical tradition and recently had been revived as an in-
of the meaning of history as transcendent, God-centered,
terpretive view to replace the traditional Christian interpreta-
and dependent on the sacred past. History was no longer the
tion of history. Then, in the early 1700s, Giambattista Vico,
working out of God’s will leading to the transcendent king-
who accepted biblical history up to the Flood, put forth a
dom of God but the demonstration of progress, with all ages
systematic cyclical view of history for the time afterward,
being stepping stones toward the perfect future age—a secu-
when human society was formed through the rituals of burial
lar kingdom of God (although some proponents of the prog-
and worship, and the regulation of sex. Divine providence
ress view, such as Voltaire, were skeptical of the idea of uni-
prescribed for history a pattern of corso and recorso (“cycle”
versal perfection).
and “recurrent cycle”). Each cycle had three successive
This radical challenge to the traditional Christian view
stages—the eras of gods, heroes, and men—and was charac-
of world history called forth Christian responses along the
terized by its own type of life, thought, language, and arts.
lines of either rejection or adaptation; the challenge was felt
The last stage, although most advanced, was not superior to
most intensely in the German-speaking world, where, in the
the others, because in a paradoxical development the more
early nineteenth century, the historical approach in the
humane a society became the more subject it became to
search for truth became supreme. There, romantic and ideal-
decay, making the high point of humaneness the beginning
ist adaptations to the progress view were based on a funda-
of a new barbarism as well. Also using the organic model, Jo-
mental reinterpretation of God’s relationship with the world.
hann Gottfried von Herder (1744–1803) stressed God’s spe-
cial care for the Volk, an organic unity of people with its own
In the eighteenth century, under the influence of rational-
language, arts, thought, and literature. History told the sto-
ism, God, still perceived as a person, was seen to govern a
ries of Völker, none superior to the other because all were
human history in which human beings could, through the
equidistant from God, although Herder eventually dropped
education of their reason (one akin to God’s reason), im-
the mere sequence of nations for a hazy developmental
prove the world materially as they simultaneously enhanced
theme—the increase of Humanität (a refined civility). Her-
themselves spiritually. History was God’s education of man-
der stood at the beginning of historicism when he endowed
kind to an ever fuller comprehension of God (a progress en-
each historical phenomenon with its own value, thus refusing
tailing even the overcoming of some biblical concepts that
to measure the value of historical ages on the scale of prog-
could be considered outdated) until the spiritual, rational,
ress. The affirmation of the Christian tradition, including di-
and historical worlds would be identical. In the nineteenth-
vine providence, saved early historicism from the radical rela-
century idealist and romantic concepts of history, God no
tivism inherent in the assertion that each historical
longer governed the world from “outside” but rather was im-
phenomenon must be appreciated on its own terms. In the
manent in it as Urgrund (primal, eternal cause) or as a dy-
nineteenth century, that historicism pervaded the historical
namic spiritual principle. God and the world formed a dy-
science of the Lutheran Leopold von Ranke (1795–1886).
namic whole. The kingdom of God referred simply to the
But after 1850, all religious affirmations were removed from
spiritual perfection in and of this world, making all of history
historicism, laying bare its inherent relativism and skepticism
Heilsgeschichte (“history of salvation”). Thus, in the philoso-
toward all schemes of meaning beyond the affirmation of the
phy of history of Georg Wilhelm Friedrich Hegel (1770–
uniqueness of each phenomenon; this in turn initiated in the
1831), the complex relationship of creator and creation in
1880s a fervent search for historical truth and meaning.
time was transformed into the self-realization of the all-
encompassing Idea (pure thought), a process reflected in the
Progress, a radical challenge. The eighteenth century
increasing identity between the universal and the particular
brought a revolution in the interpretation of universal histo-
and the potential and the actual. The process was driven by
ry as the theme of historical progress triumphed over the tra-
the dialectical struggle of the existing against its inherent ne-
ditional scheme of Christian universal history. In the previ-
gation and directed toward the creation of the new. 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
4032
HISTORIOGRAPHY: AN OVERVIEW
grand unitary process, the cosmos including God was in mo-
their part, Christians continued to reconstruct the traditional
tion toward its goal—not happiness or rationality but the
Christian view of history.
fully realized Idea (complete actualization and freedom).
Impact on traditional historiographies. Strains appeared
Idealist adaptations of the Christian theology of history
in traditional historiographies even before the impact of the
reduced the meaning of many traditional elements: the bibli-
Western critical theory of history. It proved increasingly dif-
cal story became relevant for its own time only; the transcen-
ficult to integrate the many and varied phenomena of the
dent kingdom of God was transformed to the end stage of
changing world into a tradition developed from a sacred
the immanent world process; the Christian faith was now
core. The strains showed first in methodology, the endeavor
only one (although superior) explication of the universal reli-
charged with devising ways to find and affirm truth. Prior
gious truth, with Jesus being one (although special) explica-
to 1900, some Chinese scholars had attempted to make his-
tor. History changed from a dramatic struggle between the
torical methodology (mainly text analysis) more accessible to
forces of light and darkness into a dialectically evolving se-
rational arguments without weakening the tradition so essen-
quence of stages of ever-greater spirituality. In a few cases this
tial for social stability, continuity, and dynastic legitimacy.
mode of thought even affected Roman Catholicism. In the
Then, when Western intrusions ended the isolation of China
1830s, Johann Adam Möhler stipulated the reconcilability
and the revolution of 1911 overthrew the monarchy, Chi-
of tradition with progress as Christians helped the seeds of
nese historiography’s continuity and stability were shattered,
faith mature by constantly overcoming the time-bound man-
too. Chinese historians began their search for a new sense of
ners of understanding faith and tradition.
continuity by stressing those genres of traditional historiog-
raphy most akin to the modern spirit (histories of scholar-
Tradition and historical science. The drive toward a his-
ship, institutions, statecraft); by adapting the old methodolo-
toriography, not based on traditional authority but on rigor-
gy to the Western model, which meant going beyond text
ous documentation through critically verified sources begun
criticism and partially accepting the modern Western world-
by erudite historiography, owing a great debt to classical phi-
view; by dethroning the classical tradition, such as turning
lology, and enhanced by the eighteenth-century Göttingen
Confucius from a sage for all ages into a “forward”-looking
professors of historical, legal, and political studies, finally
reformer for his own period only; by fusing Western liberal-
produced nineteenth-century German historical science.
ism and its view of progress to the traditional sequence of
However, its leading figure, Leopold von Ranke, still consid-
Chaos, Peace, and Harmony, identifying the last with de-
ered history God’s work, accomplished through the “ideas”
mocracy; and, finally, by adopting a version of Marxist his-
as guiding forces and intelligible to historians through an in-
torical materialism, totally hostile to traditional views of the
tuitive process (Ahnen). But the Rankean compromise col-
past.
lapsed, because the new methodology demanded the aban-
Japanese traditional historiography knew no rationalist
donment of all transcendent elements and because
undercurrent, although a critical attitude toward past records
historicism could see in the Christian tradition no more than
was not absent as the work of Motoori Norinaga (1730–
one of many traditions. Christian scholars who eventually
1801) showed. Yet he analyzed the language and the ideas
applied text criticism to the Bible in the hope of securing
of ancient Japanese texts not in the interest of a rationalist
faith through a text properly verified and congenial to mod-
ideal but in accord with the Shinto¯ restoration of the Toku-
ern minds in effect brought about a rapid diminution of the
gawa period that attempted to cleanse these texts of all Chi-
biblical core of traditional historiography. Typical was the at-
nese and Buddhist accretions. After the opening toward the
tempt to reestablish the authority of the Christian faith in
West in 1868, the Japanese were first convinced that minor
a modern manner through a critically verified biography of
adjustments in their traditional views on history would suf-
Jesus that would reveal what Jesus actually said, did, and
fice. At the College of Historiography a record collection
taught (see the nineteenth-century “natural” histories of the
began in 1877 as a basis for the ongoing Dainippon hennenshi
“prophet” Jesus or Ernest Renan’s popular biography of
(Chronological history of Japan), a work written after the
Jesus). Yet, this endeavor failed, because in only a few in-
Chinese pattern. But during the following decades Japanese
stances could the Christ of dogmas, miracles, and prophecies
historians came to know German historical theory and En-
be penetrated and make visible the historical Jesus—a prob-
glish historical monographs; this led to the founding in 1889
lem of great consequence for subsequent attempts to recon-
of the Historical Society of Japan, which was dedicated to
cile history and faith.
the Western historiographical model. Yet both the Chinese
Religion and a radically anthropocentric historiogra-
and the Western historiographical models soon found resis-
phy. Beginning in the 1880s two developments marked the
tance in a new Japanese traditionalism—nationalism. In
history writing on various continents. Historical science in
1895 Dainippon hennenshi was abandoned because of its
its secular and tradition-eroding form exerted its impact on
Chinese character, and while many Japanese works in the
the remaining traditional historiographies of the world,
Western manner appeared, pro-imperial traditionalist histo-
while in the West a not-yet-concluded internal struggle
riography received increasing support.
began to gain a firm critically verified basis for historical
Islamic historiography has experienced the coexistence
truth, including a new secular interpretation of history. For
of traditional and Western critical historiography, so 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
HISTORIOGRAPHY: AN OVERVIEW
4033
mon to many modern societies. Attempts to fuse Western
modation to modernity seemed more promising than its re-
historiography with the traditional concepts of Islam coexist
jection.
with calls from fundamentalists for a return to a strictly tradi-
Enamored by the spirit of progress through the sciences
tional historiography. Relative to Islam, however, only Indi-
and the Enlightenment, the Jesuit Pierre Teilhard de Char-
an historiography has preserved more of its traditional histo-
din (1881–1955) formulated a Christian view of history full
riography. Traditional chronicles were written in the state of
of hope closely akin to the modern “religion of the earth.”
Maratha well into the twentieth century. The absence of a
As a biologist he spoke of salvation as the evolution of con-
true methodological tradition aiming at the “certain fact” de-
sciousness to higher and higher levels approaching Christ’s
nied Western influence a logical point of entry. Western his-
perfect consciousness. A modern social reformist spirit
torical science had to create a separate body of historiograph-
shaped the American turn-of-the-century Social Gospel
ical works.
movement, and, since the 1960s, Hegel’s and Marx’s visions
of an immanent kingdom of God on earth have reverberated
Christian historiography and the triumph and crisis of
in liberation theology, with its call to Christians to make
historical science. By the 1880s, history perceived as a science
common cause with the poor and oppressed of the develop-
had triumphed in Western historiography. Modest success
ing nations. Here the end of time is not only defined as the
had come to the “natural science” school of historiography
ultimate union of human beings with God but also as the
that had started in the 1830s with Auguste Comte’s three-
communion of human beings with each other. It is not clear
stage interpretation of history as first theological, then meta-
whether the process is an ongoing one (ever-new identifica-
physical, and finally positive. This last, the fulfillment of all
tions with ever-new poor and oppressed) or a state of perfec-
of history, recognized no absolutes and essences, only laws
tion following a onetime liberation.
governing relationships between phenomena. But no such
positive historical laws have been found. German historical
Rejecting all easy adaptations to secular philosophies of
science, the attempt to unite history and science without de-
history, Reinhold Niebuhr’s Faith and History (1949) put
stroying history’s autonomy, had become prevalent. It was
forth a Christian view of history that took into account the
just as destructive of traditional historiography, because by
achievements and the horrors of the twentieth century, a pe-
rejecting the traditional views and interpretations of history
riod whose widespread ignorance of biblical tradition con-
it converted pre-nineteenth-century works into mere pools
trasted with the affirmation of the “goodness” of human na-
of source materials. In turn, from the 1880s on, the trium-
ture and a belief in progress. Niebuhr demonstrated the
irony in history of the best human intentions turning to ill
phant scientific history was forced to embark on a search for
effects and pointed to the greater realism of the Christian his-
a new logic of historical inquiry, safely distant from religion
torical interpretation, which praises human genius but also
or metaphysics, but able to forestall the anarchy of opinions
is aware of evil, the limitations of the rational mastery of the
that in the absence of a body of traditional truth threatened
world, and the futility of a life of immanence. History, in
the very endeavor of history. Since the 1930s that search has
which the sacred and profane could never be fully united, is
accelerated: neo-idealists advocated the process of mental re-
creative but not redemptive.
construction of the past (R. G. Collingwood); admirers of
the creativeness of life saw historical truth as everchanging
In this period of fundamental changes, Christian schol-
with life (Benedetto Croce); neo-positivists looked for laws
ars continued to try to reestablish the authority of the Chris-
covering large numbers of phenomena (Carl Hempel); ana-
tian tradition by making its core impervious to modern criti-
lytical philosophers found the structure of history in the lan-
cism. For many Protestant scholars this meant reducing the
guage structure of historical works; and finally there have
biblical component to a small historically, scientifically, or
been scholars who saw in a consistent, densely reasoned,
existentially validated core. Rudolf Bultmann and Paul Til-
and well-documented narrative the proper basis for histori-
lich held the intrusion of eternity (God) into time (human
ography.
history) to a minimum. For Bultmann the only historical
event of sacred character was the Easter event; all other bibli-
With much of the Christian historiographical tradition
cal stories were myths (human images of otherworldly phe-
rejected and historical science more certain of its ability to
nomena). The kerygma, the challenge to faith in Christ, ema-
reconstruct the factual past than of its ability to interpret that
nated from an understanding of the Easter event and led to
past, grand ideologies filled the void: liberalism with its faith
timelessly recurring decisions to faith. There was neither a
in inevitable progress; Marxism with its interpretation of his-
base nor a need for a Christian interpretation of history. Til-
tory as the story of the dialectical overcoming of all exploit-
lich, who doubted that any religious statement could be
ative societies in favor of the socialist/communist society; and
more than symbolic (that is, could directly depict divine real-
fascism with a militantly nationalist interpretation of the
ity), acknowledged the role of the historical Jesus as demon-
past, linked to a romantic notion of the concentration of the
strating human existence without worldly distortions and
“national soul” in a leader. They all in their own ways neu-
calling all people to a “new being.” But since much of human
tralized religion and other elements of traditional historiog-
activity reflected to various degrees an “ultimate concern”
raphy. Those concerned with Christian historiography
with the “ground of being,” he considered all cultural history
found the competition fierce and to many of them accom-
to be sacred or religious history.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4034
HISTORIOGRAPHY: AN OVERVIEW
Other scholars found the price of such a harmonizing
patterns, and aims immanent to this world. Thus there is the
with the modern spirit—the abandonment of much of the
suspension of moral judgment in historical methodology, an
biblical story as the basis of historiography—too high to pay.
endeavor of great sophistication that has not only expunged
Among these scholars were the Protestant fundamentalists,
superficial or false interpretations but also the ascertaining
who restored biblically based prophetic history to the center
of meaning in history. None of the new models or narratives,
of Christian historical accounts. In the Augustinian and
brilliant as they are, has as yet been able to match the public
Kierkegaardian vein, Karl Barth (1886–1968) sharply sepa-
role of traditional history. On the other hand, various at-
rated time and eternity, insisting that only in biblical times
tempts to continue the traditional historiographies in a man-
did God reveal himself and not in the course of history, prog-
ner acceptable to scientific historiography have had only
ress, or culture. Christian faith and wisdom rise from the de-
temporary success. In this crisis the age-old link between reli-
cision individuals make when confronted, in the biblical re-
gion and history writing is at stake. Religion is threatened
cord, with the story of Christ, and not from the study of the
with becoming irrelevant to interpreting history, doomed to
history of cultures and societies. For Barth, history, even ec-
an ahistorical, recurrent reliving of the sacred past by individ-
clesiastical history, is therefore no more than an auxiliary tool
uals, while the writing of history, supported by a sophisticat-
of theology.
ed methodology, remains a technical endeavor given to the
reconstruction of aspects of the past. In such a situation nei-
Large-scale attempts to write the history of cultures
ther religion nor history is able to master the reconciliation
from a Roman Catholic viewpoint have been made (Christo-
of the past, present, and future that in centuries past has en-
pher H. Dawson, Martin C. d’Arcy). But since the 1960s
abled them, in conjunction with each other, to serve a public
such attempts have focused on Roman Catholic Church his-
purpose and give meaning to the flow of life.
tory, one of the last bastions of traditional Christian histori-
ography. While Protestant historiographical arguments have
SEE ALSO Ages of the World; Chronology; Cosmogony;
focused on how much of the Bible could be used in a scientif-
Cosmology; Enlightenment, The; Evolution, article on Evo-
ic age as a foundation for interpreting history, Roman Cath-
lutionism; Myth, article on Myth and History; Sacred
olic arguments now concentrated on the unique sacred role
Time; Tradition.
of the Catholic Church in history. In the 1950s, the tradi-
tional view still prevailed that the church, like Christ, repre-
BIBLIOGRAPHY
sented a unique presence of eternity in time (Jean Daniélou,
Two useful books on the phenomenon of time are The Philosophy
Henri-Irénée Marrou, Hubert Jedin). At its core, all interpre-
of Time: A Collection of Essays, edited by Richard M. Gale
tation of history was explication of doctrine. Then, Vatican
(Garden City, N.Y., 1967), which focuses on interpretations
II deemphasized the conception of the church as the corpus
of time, and Stephen Toulmin and June Goodfield’s The
mysticum (mystical body of Christ) in favor of the church
Discovery of Time (1965; Chicago, 1982), which narrates the
conceived as the people of God through time. Some Catholic
Western revolution in the view of time since the Middle
scholars took this change to mean that the dependence of
Ages. There is a great deal of literature on the interpretations
historical interpretation on theology could now be broken.
of history within the West; less material is available for other
They attempted to turn church history into a sociological
cultures. The most comprehensive and up-to-date account
study of an institution or an analysis of the changing behav-
of Western historical interpretations is my Historiography:
ior of believers in time. With the abandonment of all claims
Ancient, Medieval, and Modern (Chicago, 1983). It includes
a most useful thirty-five-page bibliography. More informa-
for a special status of the church in history, its history would
tion on specific periods can be found in Harvey H. Guthrie’s
become one special history among many.
God and History in the Old Testament (Greenwich, Conn.,
Outlook. The near future should see the beginnings of
1960); L. G. Patterson’s God and History in Early Christian
Thought (New York, 1967); Beryl Smalley’s reliable Histori-
a solution to the dilemma in historical interpretation, now
ans in the Middle Ages (London, 1974); Alan Richardson’s
global in scope. For centuries the ancient myths and then the
History: Sacred and Profane (Philadelphia, 1964), a fine treat-
great religions had created and supported the schemes for ex-
ment, although occasionally difficult for the general reader;
plaining and organizing history and, with it, meaning. Also,
and God, History, and Historians: An Anthology of Modern
traditional historical interpretations were part and parcel of
Christian Views of History, edited by C. T. McIntire (New
the traditional social and political order; thus their diminu-
York, 1977). There is a dearth of readings in non-Western
tion in strength meant more than just the fading of some
historical interpretations. Most useful, although a bit awk-
opinions. Their challenger, modern Western historical sci-
ward for the person looking for a general survey, are the pub-
ence, too, is an integral part of a larger whole—the scientific-
lished papers of the 1956–1958 conferences at the School for
technological Western culture the achievements of which
Oriental and African Studies at the University of London.
The following volumes are eminently readable and offer gen-
have radically increased the human potential for good and
eral introductions to scholarly debates: Historians of India,
evil and which for the first time has linked all human socie-
Pakistan, and Ceylon, edited by Cyril Henry Philips (Lon-
ties into an interdependent network. As part of the new “reli-
don, 1961); Historians of China and Japan, edited by W. G.
gion of the earth,” historical science rejects all sense of mys-
Beasley and E. G. Pulleyblank (London, 1961); and Histori-
tery and demands that interpretations of history use forces,
ans of the Middle East, edited by Bernard Lewis and P. M.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HISTORIOGRAPHY: WESTERN STUDIES [FIRST EDITION]
4035
Holt (London, 1962). Information on Islamic historiogra-
outside my present consideration. I shall here be concerned
phy can also be found in Franz Rosenthal’s A History of Mus-
basically with the examination of religion within the Hellen-
lim Historiography, 2d ed. (Leiden, 1968), a useful survey of
ic tradition.
the genres of traditional Islamic history (includes some trans-
lated texts); Muhsin Mahdi’s Ibn Khaldu¯n’s Philosophy of His-
HISTORICAL AND PHILOSOPHICAL DICHOTOMY. A signifi-
tory (Chicago, 1969), which also deals with the cultural con-
cant distinction was imposed by the very nature of the Greek
text of later Islamic historiography; Abdallah Laroui’s The
perspective: philosophical examination and historical exami-
Crisis of the Arab Intellectual: Traditionalism or Historicism?
nation of religion became two distinct branches of knowl-
(Berkeley, 1976); and Yvonne Haddad’s Contemporary Islam
edge. Indeed, it is characteristic of Greek thought to distin-
and the Challenge of History (Albany, 1982). The last two
guish in general (at least from the fifth century BCE onward)
works cited offer insights into the current struggle for a re-
between philosophy and history. No doubt philosophical
newed and appropriate Islamic view of history. For tradition-
criticism operates inside a historical or antiquarian examina-
al Indian historical views, Anthony K. Warder’s An Introduc-
tion of religion, and, reciprocally, the empirical knowledge
tion to Indian Historiography (Bombay, 1972) offers a good
of cults and myths collected by historians or antiquarians as-
section on the Vedic core together with regional summaries.
For the period of westernization, Historians and Historiogra-
sists philosophical criticism of religion. But the two sub-
phy in Modern India, edited by Siba Pada Sen (Calcutta,
jects—philosophical and historical evaluations of religion—
1974), gives sketches of historians and their works. Access to
are seldom fused or, at least, seldom confused.
Chinese and Japanese interpretations is most limited for the
To indicate the depth of this dichotomy in Western
general reader. Charles Sidney Gardner’s Chinese Traditional
thought, it is enough to mention David Hume, who was one
Historiography (1938; reprint with corrections, Cambridge,
Mass., 1961) is still useful, particularly for the understanding
of the most radical eighteenth-century thinkers about reli-
of Chinese methodology. Also useful is George Macklin Wil-
gion—perhaps one of the most radical thinkers about reli-
son’s article “Time and History in Japan,” American Histori-
gion of modern times. Hume approached religion from both
cal Review 85 (June 1980): 557–571.
the historical and the philosophical points of view. In his
Natural History of Religion (1757) in which he treats religion
New Sources
Ankersmit, F. R. History and Tropology: The Rise and Fall of Meta-
in historical terms, he states, “As far as writing of history
phor. Berkeley, 1994.
reaches, mankind, in ancient times, appear universally to
have been polytheists.” Findings about modern tribes only
Breisach, Ernst. Historiography: Ancient, Medieval, and Modern.
confirm for him the facts adduced by the ancients about the
Chicago, 1994.
original polytheism of mankind. In the Dialogues concerning
Clark, Stuart. The Annales School. New York, 1999.
Natural Religion, which appeared three years after his death
Fulbrook, Mary. Historical Theory. New York, 2002.
in 1779, Hume discusses religion from a philosophical point
Gossman, Lionel. Between History and Literature. Cambridge,
of view. His concern is not the evolution of religion but the
U.K., 1990.
validity of religion. He contends that the argument from de-
Kelley, Donald R. Fortunes of History: Historical Inquiry from Her-
sign for the existence of God is of doubtful value. It is gener-
der to Huizinga. New Haven, Conn, 2003.
ally recognized that Hume took Cicero’s On the Nature of
the Gods as a formal model for his Dialogues concerning Natu-
Marincola, John. Greek Historians. New York, 2001.
ral Religion. There is no obvious ancient model for his Natu-
Munslow, Alan. Deconstructing History. New York, 1997.
ral History of Religion, but he must have carefully considered
Poster, Mark. Cultural History and Postmodernity: Disciplinary
Diodorus Siculus’s Historical Library, book 1 (of the first
Readings and Challenges. New York, 1997.
century BCE) and was familiar with the work of Herodotos
Smith, Bonnie G. The Gender of History: Men, Women, and His-
and Lucian.
torical Practice. Cambridge, U.K., 1998.
THE ANCIENT GREEKS. After Herodotos (fifth century BCE),
ERNST BREISACH (1987)
history in Greece tended to be confined to what we would
Revised Bibliography
call political and constitutional history, although doctors like
Galen use the word historia to mean a compilation of medical
reports in literature. Other aspects of the past such as reli-
HISTORIOGRAPHY: WESTERN STUDIES
gious ceremonies, festivals, or sacrifices, were more frequent-
[FIRST EDITION]
ly examined in monographs that were sometimes generically
designated archaiologia (in Latin, antiquitates). Biography
Within the Jewish and Christian traditions, the origin of
was a separate literary genre: if the subject of a biography was
philosophical and historical examinations of religion lies in
a religious personality (a religious reformer, a priest, a holy
the works of the ancient Greeks. This is equivalent to saying
man, or even a superstitious politician), biography was a con-
that the point of departure for these traditions’ philosophical
tribution to the history of religion. Within Christianity such
and historical self-examination is Greek thought. Other atti-
biographies were written to recount the lives of saints.
tudes toward the development of religion are undoubtedly
to be found in Egypt, Mesopotamia, India, and China before
Poetry. Two well-known features of Greek Archaic po-
Greek thought intervened, but these attitudes will remain
etry had consequences for the study of religion. The poetry
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4036
HISTORIOGRAPHY: WESTERN STUDIES [FIRST EDITION]
of Hesiod, especially his Theogony, shows a marked tendency
done with him” (4.95–96). Herodotos influenced Greek,
to treat the world of the gods as a historical world. In Hesi-
and later, Roman writers who explored the customs of for-
od’s poetry there is a succession of generations of gods in
eign countries and who also, as natives, explained to Greeks
which older gods, without necessarily dying, lose their power
and Romans the characteristic features of their own coun-
in confrontations with younger gods. The society of gods is
tries. Accounts by non-Greeks became particularly frequent
perceived as a society to which new members are added and
after Alexander the Great. These non-Greeks, who had
in which members gain or lose power. There is not only a
adopted the Greek language, include Manetho (fl. third cen-
change of human attitudes toward gods, but there is also a
tury BCE), Berossus (fl. 290 BCE), and later Josephus Flavius
change in the attitudes of the gods themselves. In Hesiod,
(c. 37–100 CE). Incidentally, Josephus’s writings on the Jews
myth already incorporates the notion of a succession of lead-
comprise the only complete ancient account of a “barbarian”
ing gods: myths are presented as a sort of history of religion.
religion by a native to be preserved—although they were pre-
Another important feature of Greek Archaic poetry is its fre-
served through Christian, not through Jewish, tradition. Po-
quent criticism of the gods. Such criticism often radically re-
sidonius (c. 135–51 BCE) of Apamea in Syria deserves special
pudiated commonly held views about the gods. For example,
note insofar as he was both a Stoic philosopher of somewhat
Xenophanes (fl. 500 BCE) remarked that just as the Ethiopi-
mystical inclinations and a universal historian who purport-
ans imagine their gods to be similar to themselves, so horses,
ed to be a continuator of Polybius; he was, however, more
if they could paint, would paint their gods as horses.
anthropologically oriented than his predecessor.
Philosophy. The critical opinions about the gods in
Greek and Roman historians tended to ignore religion,
Greek Archaic poetry encouraged and inspired philosophical
especially when they dealt with Greek and Roman history.
critiques of religion and historical research on the diversity
Consequently, most of what we know about Greek and
of religions among the nations. Philosophers tended to sepa-
Roman cults is derived from specific monographs on reli-
rate God from mortals to the point of making God almost
gious subjects (e.g., Plutarch on the Delphic oracle and Lu-
unintelligible except as the first mover or as a celestial body.
cian on the Syrian goddess), accounts by travelers and geog-
The Stoics used allegorical interpretation (which had been
raphers (e.g., Strabo and Pausanias), or, finally, works by
current in explaining away embarassing episodes of the Iliad)
Christian polemicists (e.g., Lactantius and Augustine).
to turn mythology into a confirmation of their pantheistic
Books on religion during the Hellenistic and Roman pe-
materialism. In the handbook Theologiae graecae compendi-
riod reflect contemporary perspectives and interests. In the
um by Cornutus (c. 50 CE), one finds a systematic summary
third century BCE, the ruler cults were developed by Alexan-
of Stoic allegory with some interesting statements about the
der and his immediate successors. Ruler cults had, of course,
religious attitudes of primitive humans. Only Epicurus
existed before in and outside of Greece; but this new expan-
(341–270 BCE) insisted on believing in the existence of the
sion was far more powerful and, at least for Greek speakers,
traditional gods; his position did not allow the gods to exer-
involved delicate balances of power between men and gods.
cise any influence on men, and he found in their happiness
Persaeus, the pupil of Zeno the Stoic, and others reminded
a model for the happiness of philosophically minded men.
their contemporaries that past benefactors and kings had
It is surprising how few references are made to the gods in
been divinized (cf. Cicero, On the Nature of the Gods
the extant works of Aristotle; passages about them are almost
1.15.38). Hecataeus of Abdera (c. 300 BCE) distinguised two
marginal remarks (On the Heavens 2.1.284a; Metaphysics
categories of gods: the celestial and the terrestrial. The sec-
1.2.982b, 11.8.1074b). Hence, in later Greek thought, espe-
ond category was comprised of benefactors. (Diodorus
cially among Neoplatonists, mystical practices were intro-
Siculus in his Bibliotheca historica 1.12 probably reflects his
duced to supplement the scanty information about gods in
teaching.) In his Sacred History, Euhemerus (fl. 300 BCE)
the discussions of the philosophic masters.
claimed to have discovered on the island of Panchaia an in-
scription revealing that Zeus had been a mortal king who had
Historical research. Supported by visits to sanctuaries
received divine honors for his contribution to civilization;
and by travels to foreign countries and remote localities, his-
Zeus was born and died in Crete. Whether Euhemerus
torical research provided both the raw material and the guid-
thought that all the gods had been men like Zeus is uncer-
ing principles for alternative historical interpretation. As a
tain. Though Euhemerus shocked many with his ideas and
keen traveler and as one adept in the comparative method
his forgeries (the latter being the object of a virulent attack
(which contemporary doctors used to explain climatic differ-
by Eratosthenes), his ideas had success: his book was translat-
ences), Herodotos provided a model for research on religion.
ed into Latin by Ennius in the second century BCE, and was
He explained similarities between Greek and Egyptian gods
summarized by Diodorus in the first century BCE. Antoine
by claiming that the Greeks had derived their gods from
Banier’s La mythologie et les fables expliquées par l’histoire (3d
Egypt. His account of the Scythians shows his awareness of
ed., 1738–1740) shows that scholarship continued to be eu-
the difference between reporting and believing. Even more
hemeristic even in the eighteenth century.
telling of this awareness is his conclusion of the story of Sal-
moxis: “Whether there was a man called Salmoxis, or this be
In the second and first centuries BCE, many erudite
a name among the Getae for a god of their country, I have
Greek works tried to preserve the memory of ceremonies that
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4037
were becoming obsolete. Most of these works were lost, ex-
ism and Christianity). The most difficult pagan writers to as-
cept for what may have passed into later lexicons, such as the
sess are those who composed their books when Judaism and
so-called Suda. A conspicuous model, known to the Latins,
Christianity were well known, and yet ignored or gave only
of this erudition was the work about Athens by Polemon of
perfunctory attention to these religions. There is perhaps no
Ilium (fl. 200 BCE). In Italy Alexander Polyhistor (d. late first
great antiquarian lore behind such writers, but they wrote
century BCE) gained a reputation for systematic compilations
primarily as historians, rather than as philosophers. It is not
of this kind of information about foreign countries.
very clear why Plutarch (c. 46–after 119) writes what he
ROMAN THOUGHT. The Latins of the first centruy BCE had
writes about Isis and Osiris and other religious subjects. The
a state with a vigorous religious tradition of its own; this tra-
same can be said about Pausanias’s Description of Greece (sec-
dition was considered to be the foundation of and the justifi-
ond century CE) with its great attention to the history of cults
cation for Rome’s enormous power. Roman religion had be-
in various parts of Greece. It is also difficult to separate auto-
come a constitutive aspect of Roman prestige among her
biography from antiquarian lore in some of the religious
subjects. On the other hand, Greek philosophy had penetrat-
speeches by Aelius Aristides in the same century. With Lu-
ed Roman thought: antiquarian devotion to the religious
cian (c. 120–after 180) we are indeed on the threshold of di-
past was in conflict with rationalistic and irreverent tenden-
rect polemics with Christianity (“The Passing of Pere-
cies. In this context a distinction among the theologies of
grinus”), though his main contributions to the history of
poets, philosophers, and statesmen, probably borrowed from
religion are his study of his contemporary Alexander of Abo-
Greek philosophers, became popular in Rome. This distinc-
nuteichos, the false prophet, and his description of the cult
tion was formulated by the Roman lawyer and pontiff Q.
of Dea Syria in Hierapolis, which was composed in an ar-
Mucius Scaevola and was accepted by Marcus Terentius
chaizing style inspired by Herodotos.
Varro and (by implication) by Cicero. Mucius Scaevola pre-
CHRISTIAN–PAGAN POLEMICS. Though polemics between
ferred the theology of statesmen, finding even the theology
Christians and pagans became common in the second centu-
of the philosophers dangerous. The hesitation is conspicuous
ry, Judaic circles (as judged from preserved works) were no
in Cicero who, however, is chiefly the protagonist of the in-
longer inclined to discuss religious differences either philo-
troduction of systematic philosophical criticism into the in-
sophically or historically. A possible exception is the recently
terpretation of Roman religion. Others were oriented toward
published letter by “Anna” to Seneca, which may be a piece
a guarded defense, or reconstruction, of Roman religion,
of Jewish propaganda on monotheism that was written not
though they were aware of philosophical argument. Even in
later than the fourth century (see Bernhard Bischoff, Anec-
Rome Varro was something of an exception when he pro-
dota novis–sima, Stuttgart, 1984). The Christians had to ex-
duced and dedicated to Julius Caesar his Divine Antiquities,
plain to the pagans why paganism, that is, polytheism, exist-
a systematic description of Roman religion. Varro had reser-
ed and was deplorable. This involved an element of historical
vations about the traditional religion of Rome, but he was
explanation. The pagans, on the other hand, did not have
mainly interested in saving what was in danger of being for-
to explain their own existence: it was sufficient for them to
gotten and in propounding it to the ruling class: unknowing-
defend the rationality of their beliefs, as Celsus did, for in-
ly, he was preparing the ground for the restoration accom-
stance, by explaining the function of polytheism in a plurina-
plished by Augustus. His work (which, much later,
tional world. Thus, in this exchange, there was more histori-
Augustine made the foundation of his criticism of Roman
cal interest on the Christian side, a point worth
paganism) immediately became more authoritative than that
remembering, as the Christian view prevailed. Whether the
of his contemporary Nigidius Figulus, who was strongly
Christian view attributed polytheism to demonic influences
committed to religion. There was a great deal of antiquarian
or to the adulation by human beings of human beings, as the
doctrine on Etruscan, Persian, and Egyptian religions—not
pagan Euhemerus had suggested, there was an element of
to mention Greek cults—in Figulus’s books (e.g., On the
historical conjecture in the Christian point of view. Indeed,
Gods). If Varro wanted a reasonable preservation of the
Christian writers used pagan erudition to support their argu-
Roman past, Nigidius Figulus seems to have been more ag-
ment. It is enough to point to the use made of Varro by Au-
gressively in favor of a personal synthesis. He emphasized the
gustine in the City of God; before Augustine, Varro’s work
power that religious practices give to the individual, not to
was used by the Christian writers Arnobius and Lactantius.
the state. Varro and Nigidius could hardly ignore their Epi-
Furthermore, Augustine (and he was not alone in this) ap-
curean contemporaries, such as Lucretius, who preached an
plied to the evolution of Jewish religion the biological
almost religious escape from religion.
scheme of the transition from infancy to maturity that he
Traditional Roman religion could never be simply taken
had met in pagan historians (City of God 10).
for granted after the Caesarian age. Though Augustus put an
SECOND TO FOURTH CENTURIES. It would be idle to pre-
accent on conservation of the past, the writers of the imperial
tend that the polemics between pagans and Christians in the
age, even under Augustus, were explicitly or implicitly condi-
second to fourth centuries represented more than a second-
tioned by new religious currents. Some writers remained
ary contribution to the historical study of religion. Actual
within the frame of paganism (“Oriental cults”); others
historical work is rather to be found in two other types of
preached a god who was incompatible with other gods (Juda-
writing. One is biography of holy men, both pagan and
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HISTORIOGRAPHY: WESTERN STUDIES [FIRST EDITION]
Christian, which was common in this period of conflict be-
in histories. This is true also of what Jews and Muslims wrote
tween paganism and Christianity. For example, the biogra-
about religion: the former, in any case, had little historiogra-
phy of Apollonius of Tyana by Philostratus (c. 170–c. 245)
phy. Jews, Muslims, and Christians shared monotheistic pre-
precedes the biography of Antony of Egypt by Athanasius (c.
suppositions. The differences between the three faiths were
293–373). Biographical exploration now becomes an essen-
debated theoretically rather than investigated historically.
tial way of describing and understanding religion. Next to
There was even less urgency among Jewish, Muslim, and
it, and hardly less important, is a new form of ecclesiastical
Christian thinkers to understand polytheistic religions. Even
history with its peculiar techniques for following up the
Thomas Aquinas tended to follow the most unhistorical as-
growth of the church or churches. There is a question about
pects of patristic thought in explaining the existence of poly-
the relation between Eusebius’s Church History, the proto-
theism. This tendency is also apparent in Jewish thought. Ye-
type of the genre, and the Gospels and Acts of the Apostles.
hudah ha-Levi (c. 1075–1141) portrays the king of the
It is enough here to underline the fact that, within the tradi-
Khazars discussing his own conversion with a rabbi without
tion of Greco-Roman historiography, first the Gospels and
any serious reference to data derived from ordinary historical
then the Church History introduce new and revolutionary
or ethnographical sources. Even Maimonides (Moses ben
types of historiography of religion. Acts is, within this literary
Maimon, 1135/8–1204), who claimed that he had read all
genre, less original. There is, furthermore, the wider question
he could in Arabic sources about the heathens and who had
of whether what we now call pseudepigrapha intended to
a keen sense of the social conditions of religious life, confined
provide historical information about past situations. This
himself to philosophical or theological arguments. Some
question can be put to such different texts as 4 Maccabees,
Muslim, Jewish, and Christian thinkers explained changes in
the Martyrdom and Ascension of Isaiah, and the History of the
religion by reference to astral influences (Abu¯ Mashar,
Rechabites; it can even be put to what to us is a novel, the
Avraham ibn Ezra, William of Auvergne, etc.) The Bible was
story of Joseph and Aseneth.
of course the enormous exception; it was quoted by both
Jews and Christians as a source of historical information.
THE MIDDLE AGES. Insofar as lives of saints and ecclesiasti-
Though it would be wrong to underrate the medieval (espe-
cal histories remained extremely fertile genres of historiogra-
cially Jewish) contribution to biblical criticism, the Bible as
phy in the Middle Ages, there was no shortage of recordings
a sacred text was kept isolated from profane historiography.
of religious events between the sixth and the fifteenth centu-
ries. Furthermore, the ordinary chronicle was adapted to reg-
The first beginnings of a different, more historical ap-
ister events inside religious institutions (e.g., monasteries or
proach to religion, and especially to polytheism, is to be
cathedral churches), and it may be difficult to distinguish
found in Islamic, Christian, and Jewish works of the eleventh
this chronicle from a local ecclesiastical history. Histories of
to twelfth centuries that report on the religious situation in
wars had to take into account wars that had overwhelmingly
countries visited either by the authors or by their informants.
religious meanings, such as the Crusades. Conversely,
Examples of this new approach are found in the writings of
Ordericus Vitalis (1075–1142?) was not the only chronicler
al–B¯ıru¯n¯ı on India, Adam of Bremen on northern Europe
to worry about the encroachments of secular history on that
(as seen from the diocese of Bremen–Hamburg), and Benja-
ecclesiastical history that he had meant to write in the early
min of Tudela on the Jews of various parts of the world. This
twelfth century.
approach was developed further by Christian writers in the
middle of the thirteenth century and coincides with the re-
However mixed in character the single events reported,
markable attempt of Christianity to come to terms with the
a definition of new religious experiences emerged every-
Mongolian Empire as a potential ally against Islam. Giovan-
where. It is obvious in the “spirit of the Crusades,” though
ni del Pian dei Carpini (John of Plano Carpini) and William
one must remember that there were also crusades against her-
of Rubrouck belong to this current, to which one can add
etics. These crusades had their historians (though not many,
Marco Polo. (An English translation of the reports by del
unfortunately, on the side of the heretics). Our notion of
Pian dei Carpini and W. Rubrouck is found in Mission to
monastic life would be poorer without the autobiography by
Asia, trans. Christopher Dawson, Toronto, 1980.) Knowl-
Abelard and the answer that Héloïse gave to it. The appear-
edge gained through exploration and diplomacy restored pa-
ance of anchorites among the debris of rural Anglo-Saxon so-
ganism as a relevant part of the contemporary world and sup-
ciety after the Norman conquest is made vivid by the autobi-
plemented classical accounts of polytheism. At least one
ography of Christina of Markyate, the recluse of the twelfth
writer, the Icelandic historian Snorri Sturluson (1179–1241)
century. And, of course, there is the assiduous utilization of
in the thirteenth century collected the pagan myths of his
prophecies by historians of every kind, even by such a hard-
own country. The accumulation of the new information on
boiled historian of the late twelfth century as Giraldus Cam-
pagan countries must have modified Christians’ awareness of
brensis (Gerald de Barri).
their own pagan past in Christian countries. More research
These chronicles and biographies, however, seldom ana-
is needed if we are to fully understand the effect of this accu-
lyzed the religious phenomena they described. In the Middle
mulation of new data on polytheism in the late Middle Ages.
Ages, understanding of religious diversity, if it was even at-
THE RENAISSANCE. Fifteenth- and sixteenth-century hu-
tempted, is in sermons or philosophical treatises rather than
manism and the Renaissance would have been inconceivable
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4039
without this double awareness of external and internal pa-
and with a philological skill that had been unknown to earli-
ganism. Ancient mythology, ancient religion, and ancient
er authors. Though ecclesiastic history by Matthias Flacius
historiography acquired a new relevance in countries like
Illyricus and his collaborators (the so-called Centuriae Mag-
Italy because the pagan past seemed to require reinterpreta-
deburgenses, 1559–1579), represents the Protestant point of
tion. In Italian humanism (one may start with Giovanni
view, and Cesare Baronio’s refutation, the Annales ecclesiastici
Boccaccio’s Genealogia deorum gentilium, 1351–1360), the
(1588–1607), represents a Catholic version, Flacius and
task of describing the pagans is inseparable from the task of
Baronio have more or less the same critical method. The new
explaining the existence of paganism. Even writers whose
style of collecting and sifting evidence became more conspic-
goal was the conversion of the infidel (and who used public
uous as religious polemics became less sharp in the seven-
theological controversy increasingly in efforts to convert
teenth century and tended to peter out (or rather to be affect-
Jews) sought more information about paganism. Arabic and
ed by Deism or by skepticism) in the eighteenth century.
Hebrew were studied by Christians in order to dispute with
This is already manifest in the Vitae sanctorum (Lives of the
and convert Muslims and Jews. Foreign sacred texts, includ-
Saints) of the Bollandists, in the many works dedicated to
ing the Talmud, were perused. An interest in Indian lan-
the history of Christian institutions in given countries (for
guages was born, though it did not fully emerge until the dis-
instance, Fernando Ughelli’s Italia sacra, 1642, and William
covery and serious study of the sacred texts of India in the
Dugdale’s Monasticon Anglicanum, 1655). The Benedictine
eighteenth century. The discovery of America opened up the
erudition in France and Italy of the late seventeenth century
exploration of a new pagan world in which Hebrew survivals
and early eighteenth century is the crown of this method.
were suspected.
SEVENTEENTH AND EIGHTEENTH CENTURIES. In the seven-
The old interpretative models remained valid: euhemer-
teenth and eighteenth centuries, pagan antiquities were stud-
ism, demonic tricks, allegory, and the theory of successive
ied in an effort to understand how the pagans preserved ele-
revelations. But the new information acquired a value and
ments of the revelation to the Jews: the Phoenicians were
created alternatives to the old models. First, the aim of in-
assumed to be the transmitters. This is the subject of Samuel
forming readers about the religions of the world was in itself
Bochart’s Geographia sacra seu Phales et Chanaan (1646),
a novelty. One finds, for example, Johann Boemus’s Omni-
G. J. Vos’s De theologia gentili (1647), Theodore Gale’s The
um gentium mores, leges et ritus, which appeared in 1520 and
Court of the Gentiles (1669–1677), and Pierre–Daniel Huet’s
had successive editions, partly with additions by other au-
Demonstratio evangelica (1690). At the end of the seven-
thors, during the sixteenth century. His work was followed,
teenth century, the notions that Homer mirrored the age of
for instance, by Lilio Giraldi’s De deis gentium varia et multi-
the patriarchs (Gerard Croese, Homeros Hebraios, 1704) and
plex historia (1548) and by Alessandro Sardi’s De moribus ac
that the religion of Delphi preserved traditions of the age of
ritibus gentium (1557). Second, new speculations about lan-
the Judges (Edmund Dickinson, Delphi phoenicizantes,
guages and nations began to undermine the traditional pic-
1655) were not unusual. This type of research went on for
ture of the early history of mankind. When, for instance,
the whole of the eighteenth century. (See, for instance, Jacob
Jean Becan von Gorp made public his discovery that Dutch
Bryant, A New System, 1744–1746.) In fact one of the most
had been the primitive language of mankind and that Cimbri
telling titles appeared as late as 1786: Guérin du Rocher’s
had taught wisdom to the Greeks (Origines antwerpianae,
Hérodote historien du peuple hébreu sans le savoir (1786). At
1569)—one of the many discoveries about the primitive lan-
the same time, it was argued at great length and with great
guage of mankind—the oddity of the claim was in itself an
erudition that God had thought it wise to give the Hebrews
indication of change.
pagan rites made venerable by antiquity (for example, in
John Spencer’s De legibus Hebraeorum ritualibus eorumque
The new intellectual nationalists of the divided Europe
rationibus, 1685). Others, especially Spaniards such as Fray
of the sixteenth century could almost simultaneously sympa-
Bernardino de Sahagún in his Historia general de las cosas de
thize with their pagan ancestors and accuse their enemies
Nueva España, wanted to insert the new American experience
(most frequently Roman Catholics) of preserving pagan ritu-
into the context of the old pagan world. But Sahagún’s at-
als. Such controversial literature is reported in J. A. Fabrici-
tempt, conducted between 1569 and 1582, was obviously
us’s Bibliotheca antiquaria (2d ed., 1716); a prototype, with
premature: his book remained unpublished until 1820. Jo-
a physiognomy of its own, is Apologie pour Hérodote (1566)
seph-François Lafitau returned with greater maturity to the
by Henri Estienne. The relation between paganism and
same subject in 1724. His Mœurs des sauvages américains com-
Christianity then became a question of historical continuity
parés aux mœurs des premiers temps was not only published
or discontinuity between specific aspects of paganism and
but found an immediate audience. Yet its importance as a
Christianity. Conversely, elements in paganism that were
pioneer work in anthropological research was not recognized
judged to be true were ascribed to the survival within pagan-
until the twentieth century.
ism of early revealed truths.
The gradual apprehension of the religions of India and
An important feature in all these works, notwithstand-
China with their sacred texts remains one of the great
ing the concern with immediate doctrinal issues, is an exami-
achievements of Western scholarship between the end of the
nation and analysis of the evidence with an attention to detail
sixteenth and the end of the eighteenth century. For research
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HISTORIOGRAPHY: WESTERN STUDIES [FIRST EDITION]
on China, Juan González de Mendoza’s Historia de las cosas
owed much even in its title to the Natural History of Supersti-
mas notables . . . del gran Reyno de la China (1585) is consid-
tion (1709) by John Trenchard. The intention behind these
ered epoch making. For scholarship in the next century, I
systems was not necessarily anti-Christian, though there were
shall mention only Athanasius Kircher’s China illustrata
writers who were inclined to straight materialism, such as C.
(1663) because the author, a Jesuit, was also the author of
F. Dupuis during the French Revolution. One of the most
Oedipus Aegyptiacus (1652–1654), a pioneering attempt to
radical and isolated thinkers, Giovanni Battista Vico, was a
decipher the Egyptian hieroglyphs and to reconstruct Egyp-
devout Catholic who tried to save the ancient Jews from the
tian religion. Kircher’s work typifies the dual interest in an-
suspicion of myth making that he saw as essential to ancient
cient and modern pagan civilizations. Kircher was already in
paganism. The overall result of this philosophical historical
possession of a Sanskrit grammar, but it was not until the
movement was to present schemes of human progress that
late eighteenth century that the first successful interpretation
theologians had to face. For the first time, philosophers and
of basic Iranian and Indian texts was achieved. The transla-
historians joined forces in presenting religion as something
tion of the Zand Avesta by A.-H. Anquetil-Duperron ap-
that had a history. It was an uneasy collaboration between
peared in 1771 (later Anquetil–Duperron turned to the
philosophers and historians, but it was a new and significant
Upanis:ads), while Charles Wilkins’s translation of the
one. It was even capable of transforming cultural events into
Bhagavadg¯ıta¯ appeared in 1785. William Jones gave the first
religious experiences, as in Antoine Court de Gébelin’s Le
clear formulation of the relations between Indian religion
monde primitif (1773–1784).
and Greek and Roman paganism (1784; see Jones’s Works,
NINETEENTH AND TWENTIETH CENTURIES. But what is this
vol. 1, 1799, pp. 229–280). It is well to remember, however,
religious experience? What is religion? It is here that pre-
that the distribution in Europe in the 1760s of the transla-
Romantic and Romantic thought came out decisively, even
tion of a text called Ezur Vedam (True Veda) delayed the un-
against the Enlightenment, to restate the autonomy of reli-
derstanding of early Indian religion and misled Voltaire; the
gion as an emotion and as a need within the human experi-
text was a concoction by Christian missionaries with native
ence. From G. E. Lessing and J. G. Herder to Friedrich
help. Chinese wisdom had the greater appeal for the rational-
Schleiermacher and F. L. J. von Schelling, the main effort
ists and theists of the eighteenth century. It was left for the
was to rediscover religion as an emotional experience rather
Romantic movement, especially in Germany and France, to
than as a culturally conditioned social manifestation. The
appreciate the religions of India. But there are other works
philosophers parted company again with the historians, for
that confirm the eighteenth-century contribution to collect-
whom the search for the social roots of religion remained a
ing the evidence about the religious history of distant coun-
permanent bequest from the eighteenth century. Research in
tries and sects, such as Thomas Hyde’s Historia religionis
the field of religion during the nineteenth and twentieth cen-
Veterum Persarum (1700) and Isaac de Beausobre’s Histoire
turies reveals an interaction between these two main ap-
critique de Manichée et du manichéisme (1734).
proaches: the exploration of religious experience as such and
THE RISE OF MODERN HISTORIOGRAPHY. The factual, em-
the quest for a historical typology of religious attitudes and
pirical, almost antiquarian attitude of the historians of reli-
practices. The two currents seldom run parallel to each other;
gion in the late Renaissance and in the Baroque age was
more often they cross each other, but never achieve conflu-
transmitted to the historians of the Enlightenment and of the
ence. This interaction can be seen in the continuity from
Romantic period. No doubt, as Hume and Voltaire show,
Schleiermacher and Benjamin Constant de Rebeque to, say,
erudition was often conspicuously avoided for the sake of
Gerardus van der Leeuw and the Chicago school of Joachim
philosophic generalization. But erudition was always kept
Wach (with its German roots) in the effort to create a her-
within reach even by the most dedicated philosopher. If there
meneutic of religious experience. Though this effort must
was a shift it occurred not in erudition itself, but rather in
not be confused with that of the various psychological
the purpose of erudition, which was increasingly used to sup-
schools that have studied religious phenomena, such as Wil-
port Deism (Edward Herbert of Cherbury), tolerance (Pierre
liam James’s pragmatism and the psychoanalytic doctrines of
Bayle), and religious emotions when contemplating nature,
Freud and Jung, it shares with the psychological schools a
in preference to dogmas.
search for the roots of the religious experience as such. The
relevance of such psychology or philosophy to theology is
A new approach to religion emerged that can be de-
direct.
scribed as typical of the Enlightenment: the attempt to deter-
mine and describe the various stges of the development of
On the other side, the historical exploration of specific
religion in mankind at large. In this approach new stages
religions displayed unprecedented sophistication of methods
were identified, such as fetishism, that is, the adoration of
and techniques. The deciphering of hieroglyphics and cunei-
objects, which was defined, after several predecessors, by
form conditioned the modern research on Egyptian and
Charles de Brosses in 1760, and animism, which was first
Mesopotamian religions, and even the partial interpretation
tentatively postulated in various memoirs by Nicolas Fréret,
of Etruscan texts added a new dimension to the knowledge
while Banier resurrected the old euhemerism. It is here that
of ancient Italian religions and helped to disentangle Roman
Hume’s insistence on the priority of polytheism over mono-
from Greek religion. Knowledge of Buddhism, especially
theism belongs. Hume’s Natural History of Religion (1755)
outside India, changed dramatically, and new information
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4041
about so-called primitive tribes affected our knowledge of
his work opened up the path to the so–called science of Juda-
(and indeed the terminology we apply to) so-called advanced
ism (Wissenschaft des Judentums) of the nineteenth and early
religions (consider, for example, the scholarly fortunes of the
twentieth centuries (Leopold Zunz, Solomon Munk, Hein-
Melanesian term mana). The discovery of new texts such as
rich Graetz, Ismar Elbogen, etc.). Other Jews contributed
the Dead Sea Scrolls modified the physiognomy of familiar
significantly to the understanding of other religions (James
religions.
Darmesteter on Persian religion, Ignácz Goldziher on Islam)
and to the comparative study of religion (Salomon Reinach).
To these changes, one has to add radical new methods
It should also be remembered that Durkheim brought a rab-
and points of view regarding the examination of traditional
binic education to his sociology.
texts. The succession (or rather superimposition) of source
criticism, comparative studies (especially within Semitic
At present there seems to be a definite preference for so-
studies), form criticism, redaction criticism, canon criticism,
ciological interpretations of circumscribed aspects of reli-
deconstruction, and so on, transformed our understanding
gion: something less ambitious, say, than the phenomenolo-
of the Bible.
gy of van der Leeuw and Wach, and also less theoretically
sophisticated than the sociology of Weber. This preference
The problem that arose and that dominated the study
is due to the realization that many subjects (e.g., the position
of religion since the early nineteenth century was how to es-
of women in religion, the function of holy men in different
tablish a real connection between theories on the nature of
societies, the behavior of sectarians within the “greater socie-
religion (with their hermeneutics of religious experience) and
ties,” and even apocalyptic and messianic movements) have
the new “factual” acquisitions about individual religions. So-
been studied without sufficient consideration of their social
lutions have differed according to intellectual climate and in-
context. This preference for the social aspects of religion may
dividual preferences. At the beginning of the nineteenth cen-
well be a transitory fashion. The tension between the discov-
tury, for example, G. F. Creuzer tried to create a systematic,
ery of facts about individual religions and the need adequate-
symbolic interpretation of ancient mythology (1810–1812).
ly to define religion itself is bound to continue. History and
During the middle of the century, F. Max Müller began to
philosophy of religion are likely to go on disturbing each
develop what he called a “science of religion” on a model of-
other, and theology will go on facing both. The triangle of
fered by the new Indo-European linguists such as Franz
history, philosophy, and theology is still with us.
Bopp, and English anthropologists, such as E. B. Tylor, tried
to improve on their eighteenth-century predecessors by using
Darwinian concepts of evolution. The writings of Marx and
BIBLIOGRAPHY
Engels about the dependence of religion on the economic
Still fundamental to the study of the historiography of religion are
foundations of society should be mentioned here as well. At
the following works: Louis Henry Jordan’s Comparative Reli-
gion: Its Genesis and Growth (Edinburgh, 1905); Otto Grup-
the turn of the twentieth century, Wilhelm Wundt devel-
pe’s Geschichte der klassischen Mythologie und Religionsgesch-
oped his “psychology of the nations.” Émile Durkheim, fol-
ichte (Leipzig, 1921); Henri Pinard de la Boullaye’s L’étude
lowed by his nephew Marcel Mauss, presented religion as the
comparée des religions, 2 vols. (Paris, 1922–1925); and Raff-
internal transfiguration of society that keeps society going,
aele Pettazzoni’s Svolgimento e carattere della storia delle reli-
and Max Weber, followed by Ernst Troeltsch, proposed a so-
gioni (Bari, 1924).
ciology of religion with an inherent typology of religious ex-
Among more modern books, special note should be made of
perience as an answer to the never rigorously developed
Gustav Mensching’s Geschichte der Religionswissenschaft
Marxist interpretation of religion.
(Bonn, 1948); Jan de Vries’s The Study of Religion: A Histori-
Two aspects of this process of connecting history of reli-
cal Approach (New York, 1967), reprinted as Perspectives in
the History of Religions (Berkeley, 1977); J. D. Bettis’s Phe-
gion with philosophy of religion deserve special notice. One
nomenology of Religion (New York, 1969); Michel Meslin’s
aspect can be presented with the mere name of Ernest Renan.
Pour une science des religions (Paris, 1973); Eric J. Sharpe’s
Though he was a radical critic of the Christian tradition, he
Comparative Religion: A History (London, 1975); Giovanni
communicated genuine religious sentiments in his books and
Filoramo’s Religione e ragione tra Ottocento e Novecento
exercised a decisive influence in the formation of modernist
(Rome, 1985); and Joseph M. Kitagawa’s The History of Reli-
currents within Catholicism. (He was, incidentally, also a pi-
gions: Retrospect and Prospect Two very useful anthologies are
oneer in the study of Semitic epigraphy, which renewed our
Burton Feldman and Robert D. Richardson’s The Rise of
knowledge of Semitic religions.)
Modern Mythology, 1680–1860 (Bloomington, Ind., 1972)
and Jacques Waardenburg’s Classical Approaches to the Study
The other aspect is the increased scholarship of Jews in
of Religion, 2 vols. (The Hague, 1973–1974).
a field that had previously been dominated by scholars in the
For broad studies of the sixteenth through eighteenth centuries,
Christian tradition. In the late sixteenth century, the original
see Giuliano Gliozzi’s Adamo e il nuovo mondo (Florence,
scholar EAzaryah dei Rossi, the author of Me’or eiyneyim
1977), Sergio Landucci’s I filosofi e i selvaggi, 1580–1780
(Light of the Eyes), remained almost unknown to non-Jews
(Bari, 1972), and Dino Pastine’s La nascita dell’ idolatria
and little known to Jews themselves. He was recognized as
(Florence, 1979). Studies focusing on the eighteenth century
a pioneer in the study of Judaism by Jews of the generation
include Frank E. Manuel’s The Eighteenth Century Confronts
of Moses Mendelssohn in the late eighteenth century, and
the Gods (Cambridge, Mass, 1959), Michèle Duchet’s 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
4042
HISTORIOGRAPHY: WESTERN STUDIES [FURTHER CONSIDERATIONS ]
thropologie et histoire au siècle des lumières (Paris, 1971), and
the faculties of theology) and the fact that a group of small
Alfonso M. Iacono’s Teorie del feticismo (Milan, 1985),
countries not in the forefront of research in other scientific
which is also relevant to Marx. For studies of the nineteenth
fields have produced scholars who are undisputed leaders in
century, volume 3 of Nineteenth-Century Religious Thought
the field of religious historiography. As great philologists and
in the West (Cambridge, 1985) is the most relevant to our
prominent specialists of various religious traditions (ancient
topics. Also, see Kurt Rudolph’s Die Religionsgeschichte an der
European paganism, Islam, India, Iran), the Dutch Jan de
Leipziger Universität und die Entwicklung der Religionswissen-
Vries (1890–1964) and the Swedish Tor Andrae (1885–
schaft (Berlin, 1962). For German antiquities, refer to Frank
L. Borchardt’s German Antiquity in Renaissance Myth (Balti-
1947), Henryk Samuel Nyberg (1898–1974), Stig Oscar
more, 1971). For American societies, see Antonello Gerbi’s
Wikander (1908–1983), all shared a special instinct for com-
La natura delle Indei Nove (Milan, 1975). For Eastern reli-
parison and hermeneutics.
gions, see also Raymond Schwab’s La renaissance orientale
Very different from each other were three other major
(Paris, 1950) and Wilhelm Halbfass’s Indien und Europa
(Basel, 1981). Joachim Wach’s The Comparative Study of Re-
figures, usually collectively labeled as phenomenologists,
ligions (New York, 1958) helps to bridge German and Amer-
who played a decisive role in the foundation of the Interna-
ican studies. For Jewish studies, see Karl Wilhelm’s Wissen-
tional Association for the History of Religions (IAHR), of
schaft des Judentums im deutschen Sprachbereich (Tübingen,
which they were respectively first president, third president,
1967).
and general secretary. Among them the best known is Ge-
rardus van der Leeuw (1890–1950), who is widely regarded
ARNALDO MOMIGLIANO (1987)
as the incarnation of religious phenomenology with an obvi-
ous theological concern conditioned by the Protestant expe-
riential tradition. It is important to note here that, in spite
HISTORIOGRAPHY: WESTERN STUDIES
of the breadth and depth of his erudition in many fields of
[FURTHER CONSIDERATIONS ]
humanities, the works he composed as a specialist of ancient
Egypt are hardly utilized in current scholarship. The Swede
In the Western world the study of religion is normally carried
Geo Widengren (1907–1996) has been the champion of a
out—with a few exceptions—at universities and other aca-
historically oriented phenomenology and has been one of the
demic institutions located in Europe, America and Oceania.
few scholars to combine a theory of religion (and a method
To outline the various approaches of the scholars who have
of research, broadly inspired by his teachers Andrae and Ny-
described and interpreted religious phenomena, it is expedi-
berg, as well as by the Italian Raffaele Pettazzoni [1883–
ent to group them according to their countries of origin and
1959]) with an imposing scientific production dealing with
the respective academic traditions (which are profoundly in-
crucial issues of Near and Middle Eastern religious history
fluenced by the dominating religious confession: Catholic,
(Iran, Old Testament, syncretism). His studies, with their
Protestant, Orthodox, or secular). The scope of this survey
emphasis on patternism and scrupulous philology, are (in
includes the scholars who are active at present or were still
spite of the haunting ghost of Iran) still a source of inspira-
active at the end of World War II. The first section deals
tion for specialized scholars.
with that generation of scholars (born between 1880 and
1920) whose education took place before World War II. The
Claas Jouco Bleeker (1898–1983) was a churchman and
second section deals with scholars (born between 1920 and
a phenomenologist like his compatriot van der Leuuw, but,
1950) educated either during the war or immediately after
like his close friend and collaborator Widengren (with whom
it at the time of the break-up of Europe’s colonial empires
he published a Handbook for the History of Religions, Leiden,
across four continents. The traditional arrangement of the
1969–1971, designed to emphasize structural similarities in
matter according to the various approaches (historical, phe-
the religions of the world), he consciously took up the histor-
nomenological, anthropological, sociological, psychological),
ical study of a specific religious tradition (in his case the
which is best suited to more wide-ranging works, do not do
Egyptian one). In several studies he combined historical em-
justice to the achievements of the scholars who are commit-
piricism with phenomenological usage of Husserlian princi-
ted to grasping the dynamics of religious realities with the
ples of epoché (suspension of judgment) and eidetic vision
minimum of hermeneutic preconceptions and the maximum
(i.e. search of the essence and meaning in a religious phe-
of disregard for cultural fashions.
nomenon). Also worth mentioning is the second major rep-
THE WESTERN STUDY OF RELIGION IN THE AGE OF EURO-
resentative of the flourishing Uppsala School, Carl-Martin
CENTRISM AND EPISTEMOLOGICAL SELF-ASSURANCE.
Edsman (1911–), who, based on a first-hand expertise in var-
ious fields such as New Testament exegesis, patristics, and
Scandinavia and the Netherlands. The Netherlands
folklore, gave notable contributions as a wide-ranging, meth-
and the four Scandinavian countries (with the partial excep-
odologically alert comparatist.
tion of Finland) share the Germanic linguistic stock and the
adherence to the Protestant Reform. There is evidently a di-
Germany. A half-Catholic and half-Protestant country,
rect link between the predominance of this specific religious
which at the beginning of the century had monopolized the
tradition (and the consequent establishment—after some
field of philology and theology, Germany was apparently the
initial resistances—of the teaching of history of religions in
ideal place for achieving outstanding results in the field 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
HISTORIOGRAPHY: WESTERN STUDIES [FURTHER CONSIDERATIONS ]
4043
religious studies. Actually, despite their quantity and quality,
mund Husserl (1859–1938) and Otto, but much more he
the works produced in all the domains of religious historiog-
was under the spell of Wilhelm Dilthey’s (1833–1911) her-
raphy have hardly left a mark in the development of Reli-
meneutics and Max Weber’s (1864–1920) “comprehending
gionswissenschaft (German for history of religions, whereas
sociology.” Despite his insistence that the starting point of
Religionsgeschichte—without further qualifications—means
the history of religions was the empirical study of single reli-
“religious history”). This is due perhaps to the unsolved ten-
gions, he wrote virtually nothing in this specific field. His
sion between the historico-philological approach and various
methodology is based on lucid theoretical premises and per-
hermeneutic preconceptions. The works indulging to daz-
sonal intuitions which have a limited value for the progress
zling cross-cultural comparisons by two Jewish scholars, the
of history of religions as a scholarly discipline.
outsider of the Warburg School Robert Eisler (1882–1949)
and the orthodox Jungian Eric Neumann (1905–1960), have
Great Britain. Great Britain apparently had the poten-
always raised suspicions among academic historians and are
tialities for promoting influential trends in the study of reli-
currently absent from scholarly debate. Paul Tillich (1886–
gion: a worldwide colonial empire offering ideal conditions
1965) became famous for his conception of religion as the
for anthropological fieldwork and an educational system for
state of being grasped by something of ultimate concern.
the ministers (and prospective missionaries) of the Church
Ernst Benz (1907–1978) came to the fore for his usage of
of England more tolerant and open to doctrinal pluralism
parapsychology as a hermeneutic tool. Both were engaged as
and modernity than is anti-modernistic Catholicism domi-
systematic theologians, and so it is no surprise that they have
nating in southern Europe or pietist North European Lu-
been disregarded by positivist historians.
theranism. In fact, the functionalist approach advocated by
the two leaders of British religious anthropology in the peri-
On the basis of their wide-ranging ethnographic re-
od between the two World Wars, Alfred Reginald Radcliffe-
searches in Eurasian and Melanesian societies respectively,
Brown (1881–1955) and Bronislaw Kaspar Malinowski
Karl Meuli (1891–1968) and Adolf Ellegard Jensen (1899–
(1884–1942)—an approach based on the method of partici-
1965) built daring cultural historical models to explain the
pant observation as regards investigation and on the empha-
origin of cult and civilization from particular kinds of prehis-
sis on social structures and functions as regards interpreta-
toric sacrifice (comedy of innocence, dema deity) that have
tion—proved to be of great fertility in empiric research. The
been influential in religio-historical research (Walter Burkert
following developments of the British school of social an-
[1931–], Károly Kerényi [1897–1973] and the Roman
thropology, even in a direction with a conscious historical
School of history of religions) and subsequently came under
concern, as in the case of Edward Evan Evans-Pritchard
fire of intense criticism. On the other hand, very limited in-
(1902–1973) cannot be tackled here.
fluence was exerted outside Germany by scholars, contrasted
even in their home country, who adopted a phenomenologi-
Despite its sociological and ahistorical (if not anti-
cal approach as professors of religious studies in top German
historical) stress, functionalism gave impetus to subsequent
universities such as Marburg, Munich, Bonn. Moving from
historiographic work. In this period, the main representatives
an impressive cross-cultural study of prayer as the central
of comparative religion in Britain (holders of chairs in Cam-
phenomenon in the history and psychology of religion, Frie-
bridge, London and Manchester) were all Anglican clergy-
drich Heiler (1892–1967) developed a personal version of
men: A.C. Bouquet (1884–?), Edwin Oliver James (1888–
religious phenomenology which was theologically oriented
1972), S.G.F. Brandon (1907–1971), Geoffrey Parrinder
to the search of essences and meaning and regarded ecumeni-
(1910–?). None of them made any notable contribution to
cally all religions as manifestations of the same basic truth.
the methodological debate and—with the partial exception
of Brandon—the style of their comparisons hardly meets the
Though more empirically founded in its insistence on
requirements of a historiography founded on philological
the wealth of historical phenomena, the typology of religion
principles. Characteristically, the British scholar of religion
elaborated by Gustav Mensching (1901–1978) is aimed to
whose work has been most influential in the successive histo-
the recognition of the ultimate unity in the diversity of reli-
riographical debate was a representative of the English pug-
gions and loyal to the ideas of his mentor Rudolf Otto
nacious Catholic minority: the prominent Orientalist (with
(1869–1937) even in his definition of religion as experiential
a profound insight into Indian and Iranian matters) Robert
encounter with the sacred. As a convinced supporter of a
C. Zaehner (1913–1974). Despite the various criticisms lev-
phenomenological approach based on a systematic study of
eled at his theory of mysticism and at his assertive loyalism
religious forms (and also on his experience as scholar of Re-
to the Catholic faith, Zaehner’s outstanding contribution to
naissance Platonism), Kurt Goldammer (1916–) has raised
the comparative and historical study of religions remains un-
bitter objections by scholars with historical orientation.
disputed.
The best-known of these German scholars educated in
North America. The United States is a country ob-
a theological milieu was Joachim Wach (1898–1955), a de-
sessed with religion. Even the harshest critics of the Ameri-
vout Protestant layman from a Jewish family, who had to flee
cans’ pervading religious attitude appear quasi religious in
to the United States where he founded a thriving school of
their iconoclastic zeal. Americans were reported by nine-
history of religions in Chicago. He felt the influence of Ed-
teenth- and twentieth-century European observers as the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4044
HISTORIOGRAPHY: WESTERN STUDIES [FURTHER CONSIDERATIONS ]
most religious people in the world, in the same way as the
caution and outstanding brilliance. Despite his avowed aver-
Egyptians and the Etruscans used to be described by Greek
sion to theory and generality, he had his own (functionalist)
or Roman observers in ancient times. Belief in God is the
definition of religion and a sort of empathy in approaching
bedrock of American identity and supplies a kind of cultural
his subject.
cement for society, but at the same time the First Amend-
ment to the 1789 Constitution (“Congress shall make no law
Theodor Herzl Gaster (1906–1992), a British-born
respecting an establishment of religion, or prohibiting the
scion of a dynasty of rabbis and scholars, traced the myth-
free exercise thereof”) fixes the separation of church and
ritualist scenario based on the seasonal drama reenacted by
state—so-called religious “disestablishment.”
the divine king’s sacrifice through the Ancient Near East. He
differentiated himself from James Frazer (1854–1941) and
The second paradox is that in the United States the
the other ritualists by stressing the function of myth in trans-
multiplicity of religions (five religious groups have been con-
lating the real into terms of the ideal, in a sort of metaphysi-
stitutive: Native Americans, Jews, Roman Catholics, English
cal plane. Many feel much more at home with the work of
Protestants, and African Americans) coexists with the one-
his coeval antagonist, the classicist Joseph Fontenrose (1903–
ness of religion. In fact, a kind of religious unity and the con-
1986), who, after having dismantled the dogmas of the
sequent cultural cohesion of the American is ensured by the
“myth-ritual” school, returned to the empirical study of
identification of public (civil) religion with the Protestant
Greek oracles, paying the due attention to the variety in re-
tradition which has perpetuated its hegemonic position since
current patterns.
its early Calvinist and Puritan settlement. This unique social
and educational context has created very favorable and at the
Joseph Mitsuo Kitagawa (1915–1992), a Japanese Epis-
same time peculiar conditions for the study of religion, in
copal minister who spent all his professional career at Chica-
a regime—as it were—of delimited pluralism. Another con-
go, where he had studied history of religion under Joachim
stitutive factor of the American approach to religious studies
Wach, represents at its best the Chicago approach to the
has been the presence of pre-modern styles of religiosity as
study of religion, called “history of religions.” He was con-
a living tradition among Native Americans.
scious of the leading role played by this approach, following
in the footsteps of his mentor Wach and his senior colleague
In effect, the American scholars of religion who contrib-
Mircea Eliade (1907–1986). The history of religion has both
uted the most seminal ideas to the theory and method in the
a historical and a systematic dimension, and needs herme-
study of religion were anthropologists from the school of
neutics and comparative analysis. His methodology, insisting
Franz Boas (1858–1942). A list of names must include: Alex-
correctly on the unity of humankind’s experience, was not
ander A. Goldenweiser (1880–1940), for his influential de-
very original, but he made a durable contribution to under-
construction of the category of totemism; Robert H. Lowie
standing the religious tradition of his native country. The
(1883–1957) and Clyde K.M. Kluckhohn (1905–1960), for
only significant threat to the dominance in North America
their sober and insightful criticisms of any univocal theories
of the Chicago approach to the study of religion came from
of primitive religion; Paul Radin (1883–1959), for his ambi-
a Canadian (from Toronto) theologian and Islamist brought
tious if controversial adoption of categories from analytical
up in a devout Presbyterian and Methodist background:
psychology (the trickster as an archetype); Ruth Fulton Ben-
Wilfred Cantwell Smith (1916–2000). His view of religion
edict (1887–1948), for her invention of fortunate, though
as a blend of personal faith (out of the scope of historical in-
historically unfounded, patterns of (religious) culture; and
quiry) and cumulative tradition which is subject to change
Margaret Mead (1901–1978), for her challenging views of
and the object of historical research, entails dropping the
the interrelation between culture and personality.
usage of the word “religion” inasmuch as the external tradi-
tion is concerned. Theological issues (transcendence of pure
In the study of ancient Mediterranean religions, four
religiousness, inter-religious dialogue) are certainly present in
scholars had a strong historiographical consciousness and
Smith’s approach, but his claim that a dialogical attitude to
dominated their respective ambits of research. Erwin Ram-
the adherent of a religious tradition is basic to a scientific un-
sdell Goodenough (1893–1965), a professed pagan in spite
derstanding poses a serious challenge even to an empirical-
of his Protestant upbringing, taught history of religion at
oriented historiography.
Yale for forty years. His theory that Judaism was deeply helle-
nized before the birth of Christianity, supported on the in-
France. Contrary to expectations based on historical re-
vestigation of a vast body of archaeological materials hitherto
alities, the dominant religion of France is not Catholicism
unexploited, has been seminal to successive research. Goode-
(not even in its Gallican version). On the one hand the rate
nough’s imposing scholarly work is enlivened by his concern
of religious observance is one of the lowest in Europe; on the
with contemporary religious life in the light of scientific
other hand the real dominant “political” religion in France
progress (psychoanalysis). Arthur Darby Nock (1902–1963),
is laicism. As a consequence, the study of religion as an au-
a Briton who taught history of religions at Harvard for thir-
tonomous discipline is considered “theology” and is virtually
ty-five years was the dominant figure in the study of Greco-
excluded from the curricula of university education. The
Roman religions for the whole span of his life. In his work
only exception is Strasbourg because of the Protestant influ-
he combined in a unique way immense erudition, extreme
ence due to its past belonging to the German Reich.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HISTORIOGRAPHY: WESTERN STUDIES [FURTHER CONSIDERATIONS ]
4045
In practice the study of the single religious traditions is
pects of Greek religion (esp. sacrifice and images). His ap-
intensely pursued in the fifth section of the “École pratique
proach has been called “historical anthropology,” but in fact
des hautes études” and, occasionally, a professorship of histo-
it is placed on the periphery of history.
ry of religions can also be activated at the University of Paris
Italy. Italy is notoriously a Catholic country, even if the
Sorbonne or at the related Collège de France. Moreover,
religious sentiment is not so interiorized as in other strong-
since the historical sciences in France are dominated by an
holds of Catholicism such as Poland or Ireland. However,
epistemology based on empirical and idiographic principles,
from its see in Rome the supreme authority of the Catholic
every indulgence to systematic or typological interpretative
Church has always heavily conditioned the ways of education
schemes is overtly stigmatized as philosophical and the delin-
in religious matters. In the primary and secondary schools
quent scholar is ostracized from the historical guild. Only
the teaching of religion has always been reserved for the cler-
three scholars have succeeded in overwhelming this strong
gy or for laypersons licensed by the ecclesiastical authority
resistance, and the impact of their theories has proved to be
(and in practice identified with the teaching of a popular
groundbreaking. The fascination of Georges Dumézil’s
form of Catholic theology). By contrast, after the closing of
(1898–1986) work lies in a powerful idea that—apart from
the faculties of theology in 1876, in the state universities the
his original intentions—has been seductive in a postwar at-
teaching of biblical sciences is virtually interdicted; instead,
mosphere dominated by a strange blend of materialist (post-
despite some resistances from both the Catholic establish-
Marxist) basic ideas and remythologizing nostalgias (post-
ment and the academic milieu (permeated by the historicist
Christian): the interconnection between the tripartite socio-
views of the philosopher and historian Benedetto Croce
economical organization of men (Indo-European) on earth
[1866–1952]), a few professorships of history of religions
and the tripartite organization of gods (Indo-European) in
and even fewer programs of religious studies have been
heaven. In spite of the fallacy of the linguistic arguments and
founded and have been able to survive. In these peculiar con-
the hypostatization of the structures, Dumézil’s work has re-
ditions, two scholars came forth, who in their respective
vivified the study of specific ancient (Indo-European) tradi-
spheres of competence have been perhaps the most presti-
tions. Scholars of Indian, Iranian, Germanic, Celtic and
gious historians of religions of the twentieth century.
Roman religions had to come to terms with his neo-
comparative historical approach. The durability of his con-
Raffaele Pettazzoni (1883–1959) was the dominant fig-
tribution to religious historiography is due to the strength
ure among the comparative religionists of his own times and
of his philology, which rendered his wide-ranging produc-
the founder of an influential school. He was, in the words
tion palatable to specialists who are accustomed to basing
of Mircea Eliade, the last of the encyclopedists: he dared to
their historical works on philological arguments.
draw analogies between the spread of Christianity through-
out Europe and the spread of Buddhism throughout Asia,
Instead, the works of two other representatives of Pari-
but he had also the historical and philological equipment to
sian structuralism are conspicuous by the absence of histori-
point out the specific differences. His theory of religion was
cal consciousness and philological accuracy. Claude Lévi-
not particularly sophisticated. In his view there is no insur-
Strauss (1908–) would hardly be worth mentioning here if
mountable dualism between the history of religions (con-
it were not that his thought has been so influential on several
cerned with individual data and development) and the phe-
self-styled historians of religion and has attracted so much
nomenology of religion (concerned with the essences): they
criticism from other historians. He taught religious ethnolo-
are simply two interdependent instruments of the same sci-
gy but was an arm-chair anthropologist for most of his life.
ence, whose unity corresponds to that of its subject, namely
In his work on mythology he was philologically utterly inac-
religion in its two distinct components, interior experience
curate. As a storyteller more than a historian, he neglected
and exterior manifestations. In his own far-reaching research
empirical data and used a deductive procedure. Being the
on the most varied topics (monotheism, confession of sins,
grandson of a rabbi and a convinced atheist, he candidly pro-
religious history of Greece and Iran, mystery cults), he em-
fessed his aversion to religious forms. Many historians and
ployed a solid method which seems especially suited to coun-
anthropologists who did real fieldwork consider his view on
teract the opposite dangers of reductionism, structuralism
myths (the structure of which is supposed to be synonymous
and phenomenology, and obtained results which represent
with its meaning) the dream of a Western philosopher advo-
still a challenge for present-day scholars.
cating the ultimate reconciliation of thoughts and reality. A
partly different case is that of Jean-Pierre Vernant (1914–),
Giuseppe Tucci (1894–1984) was not a comparative re-
who, having received—like Lévi-Strauss—a philosophical
ligionist, but his achievement was not less significant than
education, adopted Dumézil’s trifunctionalism in the inter-
that of his long-time colleague at the University of Rome.
pretation of Greek mythology and then elaborated a personal
Indeed, he was the greatest Orientalist of his times, display-
hermeneutics under the influence of the sociological and psy-
ing a prodigious activity as a philologist, archaeologist and
chological approaches of his mentors Louis Gernet (1882-
anthropologist at the same time. His contribution to the his-
1960) and Ignace Meyerson (1888–1983). This hermeneu-
tory of Asiatic religious traditions (from India to Japan,
tics has been influential on the study of ancient religions and
through China and Tibet) is immense, not only for his out-
has been applied by his followers to the study of various as-
standing scholarly writings but also for the far-reaching influ-
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4046
HISTORIOGRAPHY: WESTERN STUDIES [FURTHER CONSIDERATIONS ]
ence of his teaching: not only on his numerous disciples who
literate societies, with particular concern for the interplay be-
became all prominent specialists in their respective fields but
tween religion and economy as well as for issues of cultural
also on personalities of high caliber such as Mircea Eliade.
change and acculturation caused by the encounter between
His approach to the study of religions was sympathetic but
the traditional values of third-world societies and the cultural
also strictly critical, very distant from both cold positivism
innovation imposed by Western settlers and missionaries.
and crypto-theological phenomenology.
His dialectic-dynamistic approach, revealing the influence of
Marxism and, at a more basic level, of his previous education
Two younger scholars affiliated with the school of Pet-
as an agricultural scientist, has borne his best fruit in the
tazzoni were considerably influenced by Pettazzoni’s two-
study of phenomena eminently interactive, such as modern
ways approach to the study of religion. The older of the two
messianisms and millenarisms throughout all the continents.
was Ernesto De Martino (1908–1965), who, being the pupil
of the ultra-historicist Adolfo Omodeo (1889–1946), tried
Despite his professed laicism, Lanternari’s theory of religion
to integrate the results of various disciplines and approaches
(and the consequent interpretation of historical phe-
(Croce’s absolute historicism, Antonio Gramsci’s new sci-
nomena) is conditioned by his quasi-theological socio-
ence of folklore, psychoanalysis, existentialist philosophy, et-
political options.
hnopsychiatry) into a sort of metahistory labeled as “re-
Hungary and Romania. The two neighboring coun-
formed” or “historical” ethnology and based on a method of
tries of Hungary and Romania, in various ways antagonistic,
“differentiating comparison” and “critical ethnocentrism.”
gave birth to two famous scholars of religion who had analo-
De Martino’s definition of religion as a means of overcoming
gous life experiences and worldviews but opened quite dis-
the crisis of presence is a synthesis of materialism and psy-
similar routes in the academic study of religion. Károly
chologism in a Heideggerian frame of reference. This overtly
Kerényi (1897–1973) came from Hungary, a Catholic coun-
hermeneutical presupposition based on a biased selection of
try with a significant Protestant minority and deeply perme-
historical data makes his production particularly seductive
ated by a middle-European atmosphere. Soon after his expa-
for some anthropologists and historians but invalidates seri-
triation to Switzerland in 1939 he became an internationally
ously the explanatory value of his scientific project.
recognized authority on the Greek and Roman religions. His
The other scholar is Angelo Brelich (1913–1977). Orig-
contacts with the hermeneutist of Greek religion Walter
inally a pupil of the classicist Károly Kerényi, he was deeply
Friedrich Otto (1874–1958), the psychoanalyst Carl Gustav
influenced by Pettazzoni’s comparative historical method,
Jung (1875–1961) and the Frankfurt ethnological school of
but also by Malinowski’s functionalism and Jensen’s cultural
Leo Frobenius (1873–1938) and A. E. Jensen were decisive
morphology. His main concern was a precise, historical defi-
in the formation of Kerényi’s influential hermeneutics of
nition of the main religious types (religion itself, myth, ritu-
myths as archetypical images. In spite of the accusations of
al, superhuman beings) and of the tasks of the history of reli-
irrationalism and psychologism frequently leveled against
gions as an autonomous discipline, based on the comparative
him, Kerényi’s intuitions—nourished as they are by a pains-
method. This discipline is considered by him one of the most
taking philological and archaeological erudition and a deep
efficient tools for the making of “a new type of integral hu-
humanistic insight—are still to be reckoned with. From the
manism” (Brelich, 1966, p. 70), aiming—in his particular
perspective of general history of religions, his attempt at con-
view—to social revolution (Brelich, 1979, p. 222). In stark
ciliating the viewpoints of psychology, anthropology and his-
opposition to phenomenology and any other irrationalist ap-
tory by formulating a dialectic between an archetypical ele-
proach, Brelich stresses the omnipresence of history as a fac-
ment and a cultural-typical one (a dialectic which is basic to
tor of total explanation, a concept that in his illusory persua-
the process of historical individuation) should be taken into
siveness is clearly conditioned by a positivist mentality. We
consideration on a par with other theories based on histori-
find, instead, the legacy of functionalism in his tenet that in
cist or social scientific premises.
front of a religious complex a historian must pose the ques-
The roots of Mircea Eliade (1907-1986) are Romanian,
tion “what is it for?,” not “what does it mean?.” Brelich’s
even if he was a cosmopolite throughout his life. From his
considerable production is strongly concerned with issues of
Romanian heritage he absorbed a romantic attachment to
cultural change and new religious formation, and it has been
the rural dimension of life, the sensation of being located at
stimulating for the scholars of ancient Mediterranean reli-
the frontier between the East and the West, the so-called ter-
gions by pointing out the importance of the history of reli-
ror of history, and a peculiar ritualistic view of Orthodox
gions approach for the interpretation of cultural phenomena
Christianity. But he was at home in Italy, the land of Renais-
(polytheism, initiation, human sacrifice) of crucial impor-
sance, in India, the land of world-transforming asceticism
tance. His work is characterized by great brilliance and me-
and “cosmic religiosity,” in France, the land of philological
ticulous erudition, but his results are sometimes flawed by
erudition and avant-gardism, and in North America, the
unfounded presuppositions.
land where extreme conservatism cohabits with radical inno-
Vittorio Lanternari (1918–), born to a family of secular-
vation. Eliade was the most influential historian of religions
ized Jews, applied the comparative historical method that he
of the twentieth century and, notably, the only one to have
had learned from his master Pettazzoni to the study of pre-
an audience among the public of laypersons because of his
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HISTORIOGRAPHY: WESTERN STUDIES [FURTHER CONSIDERATIONS ]
4047
style of thought and his style of writing. Eliade believed that
sion, Eliade’s method of phenomenological typology (with
there was no contradiction between his scholarly work and
an obvious stress upon the research of “meaning”) is certainly
his successful activity as a fiction writer. He was a historian
not the only way to do a comparative study of religions, but
who worked in a strictly philological way: he spent three
in judging his work of unparalleled richness we must respect
years in India in order to be in contact with the living tradi-
his own intentions by using the same methodology that most
tion of the yogis and the original documents of Tantric his-
scholars advocate for the study of religious phenomena.
torical tradition before writing his own book on yoga; he
THE WESTERN STUDY OF RELIGION IN THE AGE OF DE-
dedicated himself to the grammatical study of a number of
COLONIZATION AND EPISTEMOLOGICAL DISENCHANTMENT.
dead and living languages; at every time in his career—even
when he was an international star—he felt the necessity to
peruse all the documents and the secondary literature before
Scandinavia and the Netherlands. In postwar times
dealing with any subject; and finally he was in close contact
the Nordic countries have maintained a pre-eminent posi-
with specialists of innumerable religious traditions, by whom
tion in the field of religious studies, but the leading role in
he was read and appreciated. Eliade’s comprehensive surveys
historiographic work has shifted from the hands of the phi-
of yoga and shamanism can be criticized with philological ar-
lologists working on historical reconstructions of the reli-
guments in points of detail and even in their overall concep-
gions of the past to those of scholars studying living tradi-
tion, but they should not be rejected on aprioristic method-
tions with a fieldwork anthropological approach. The Swede
ological or, worse, pseudo-political grounds.
A˚ke Hultkrantz (1920–) has done fundamental work on the
Lapp and North American Indian religions with focus on
Eliade was vehemently anti-historicist because he was
soul conceptions, shamanism and healing systems. In his
convinced that not all human realities can be resolved in his-
comparative studies he has developed a religio-ecological ap-
tory, which is in itself a construct of Western culture. His
proach which—without neglecting the dynamics of histo-
hermeneutical and phenomenological presuppositions are
ry—stresses the importance of the environmental factors in
patent in that he assigns a hypostatized status to the notion
determining a religious typology.
of sacred and he attributes an absolute value—at least in their
permanent structures independent from history—to the nat-
In Finland, where an indigenous tradition of folklore
uralistic manifestations of this sacred (so-called hieropha-
studies was flourishing (Uno Harva, Martti Haavio), Lauri
nies). His emphasis on the values of archaic man and the
Honko (1932–2002) revitalized the discipline of compara-
consequent nostalgia of origins may suggest some connec-
tive religion with his strong socio-psychological interest in
tions with the traditional thought and also with the ideology
a functionalist-structuralist perspective applied to the study
of pre-war Romanian nationalism, but he has always taken
of folk-medicine and Finno-Ugrian religion as well as to
his distances from the tenets of René Guénon, and his initial
methodological issues of definition (theory of genre, myth,
adhesion to the Legionary movement cannot be used as a
and ritual process). His disciple, Juha Pentikäinen (1940–),
weapon to destroy his lifelong striving for the liberal human-
has developed a particularly rewarding strategy in the study
istic values against every kind of totalitarianism. On the
of Finnish mythology, shamanism in Arctic and sub-Arctic
other hand, his plea for the history of religions as a “saving
regions, and Saami religious life. In his “regional phenome-
discipline” for the demystifying potentialities of its herme-
nology approach,” based mainly on fieldwork in close
neutics, together with his juvenile anti-colonialist spirit and
contact with the informant and the usage of religio-
his aversion to the Western-centered myth of the indiscrimi-
anthropological depth-research, he has introduced “world-
nate technological progress, find an echo in present-day
view analysis” as a new category for scholarship in com-
widespread aspirations and give him a distinct place among
parative religion.
the advocates of a new humanism which is liberal in its fun-
Ethnographic in-depth research plays a decisive role also
daments despite its elitist consciousness.
in the work of the Finno-Swedish Nils G. Holm (1943–),
concentrating on the study of Pentecostal and Charismatic
Eliade, in fact, demystified the doctrines of two famous
movements with a focus on the phenomenon of glossolalia.
demystifiers, Karl Marx (1818–1883)and Sigmund Freud
At a methodological level he has developed Hjalmar Sun-
(1856–1939), demonstrating that religious motives can be
dén’s (1908–1993) role theory in the psychology of religion,
no less deep-grounded than socio-economic or psychological
helping to ensure behavioral sciences an established place in
driving forces and can also play a role in the background of
the international field of religious studies.
professedly secular theories of man and society. Eliade’s
books are still read and discussed intensely by men of letters,
The Dutch Jacques Waardenburg (1930–) is undis-
historians, philosophers, theologians, and also by human sci-
putedly one of the foremost authorities in the field, also on
entists of various specializations. Further, in the Chicago
the strength of his skill for trilingual writing and teaching.
School a great number of promising students chose their own
His contribution to the study of religious historiography is
scholarly direction (sometimes very distant from that of their
unparalleled, because of its tremendous meticulousness in
mentor) and became most influential scholars and teachers
general and the extraordinary quality of his ground-breaking
of religious studies in North America and Europe. In conclu-
work on Western Islamic historiography in particular. His
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4048
HISTORIOGRAPHY: WESTERN STUDIES [FURTHER CONSIDERATIONS ]
lifelong endeavor to define Islam in the frame of the science
contribution by searching literary and artistic motifs in their
of religions is based on a multifaceted and “multi-
diffusion throughout the caravan routes of Central Asia. His
perspective” approach which aims to respect the concerns of
perceptive studies on encounters of religions and the result-
“Reason” as well as those of the (Insider’s) “Religion.”
ing cultural exchange have left a significant mark in the disci-
(“Religion and Reason” is the title of an influential series of
pline.
studies in religion promoted by Waardenburg himself.) If the
In quite another direction is addressed the scholarly
balance is sporadically tipping in favor of religion to the det-
achievement of his peer Hans Georg Kippenberg (1939–),
riment of reason, this is due to his passionate if secular plea
Colpe’s foremost pupil. Moving from the traditional back-
for a new-style phenomenology of religion tuned to its object
ground of post-war Religionswissenschaft focused on the so-
in order to grasp and understand the so-called religious con-
called “Umwelt des Neuen Testaments,” he has instilled
structions of reality depending on explicit or implicit inten-
overdoses of social scientific methodology (Max Weber being
tions.
the main source of inspiration) and ideology criticism theory
Germany. In Germany the status of religio-historical
into his study of ancient salvation religions, sometimes to the
studies is quite different. The study of ancient religious docu-
detriment of historical concrete evidence. His history of the
ments based on philological principles more strict than dur-
emergence of religious historiography in tension with mo-
ing the preceding generation has gained a leading position
dernity is teeming with exact formulations and stimulating
in the current methodology of religious studies. Starting with
ideas, albeit unilateral in its perspectives. Similarly, Kippen-
a critique of the History-of-Religions School and on the
berg’s theory of religion is multifaceted and multidisciplinary
strength of expertise in virtually all the philological domains
in its approach, but ultimately quite unilateral, in so far as
pertaining to the ancient Mediterranean cultures, Carsten
religion is presented exclusively in cultural terms. Even more
Colpe (1929–) has debated with unequalled acumen innu-
versatile is the paradigm proposed by Burkhard Gladigow
merable issues crucial to the historical understanding of the
(1939–), a scholar who has provided stimulating novel con-
New Testament, Gnosticism, Manichaeism, Islam, Iranian
tributions in the field of Greek and Roman ancient religions.
and Hellenistic religions. More generally, his contribution to
The material side of a “spiritual” phenomenon emerges
the theory of syncretism, prophecy, monotheism, religious
forcefully in his perspectives where biology, economics,
innovation, sacred and profane as well as to the methodology
semiotics and linguistics are called to collaborate on a project
of comparison and religious typology is invaluable, charac-
of a new science of religions.
terized as it is by painstaking erudition and hermeneutic sub-
More conservative seems the approach of the German-
tlety. An equal range of interests—with primary attention to
Swiss Fritz Stolz (1942–2001), who, though refusing to give
Mandaeism—and a similar formation against a theological
any chance to an old-style phenomenology, sticks to a histor-
and Orientalist background (Leipzig in place of Göttingen)
ically oriented study of traditional themes with focus on an-
is perceivable in his peer Kurt Rudolph (1929–). With less
cient Near Eastern religions and Biblical monotheism. How-
theoretical sophistication but more concreteness in produc-
ever, his attempt at introducing a notion of “worldview”
ing great historical syntheses, Rudolph has been the interna-
based on three fundamental polarities seems to be a success-
tional advocate of a historical study of religions opposed to
ful strategy for innovating a study of religion concerned with
any attempt at reducing the autonomy of the history of reli-
issues of comparison and historical typology.
gions through philosophical, theological or even political de-
vices.
Great Britain. Although in the post-war years anthro-
pology becomes more and more historical and history more
Walter Burkert (1931–) is a classical philologist by for-
and more anthropological, a listing of all of the important
mation, but his work on the Greek religion in its interrela-
anthropologists is not possible here. Nevertheless, mention
tionship with Near Eastern religious traditions has been in-
must be made of anthropologists such as Victor Witter Tur-
fluential far beyond the territory of classical studies,
ner (1920–1983) and Mary Douglas (1921–) whose achieve-
contributing to a new vision—not particularly edifying—of
ments have been so influential on religious historiography in-
the culture that is at the base of modern consciousness. Fur-
side and outside Britain. The decolonization of the
ther, his theory of sacrificial ritual, tracing parallels between
enormous British Empire has obviously had a large impact
animal behavior and human religious activity, has opened
on the academic study of religion, as proved also by the out-
new paths to an understanding of human culture—in all its
puts of its main representatives. Ninian Smart (1927–2001),
historicity—within a broader frame of reference. Based in-
the senior of this company, used to confess that he had his
stead on a solid training at the phenomenological school of
initiation to his “empathic” concept of religion when, being
Gustav Mensching and a first-hand knowledge of several
in Sri Lanka as a soldier, he saw the appointment of the first
Indo-European and Turkish languages, Hans-Joachim Klim-
Buddhist chaplain in the British army. Apart from widely
keit (1939–1999) has done seminal work on political Hin-
popular textbooks combining the phenomenological and
duism, Buddhism and Silk-road acculturation. On this firm
historical style at its best as well as specialized studies on Indi-
footing, he has been instrumental in the expansion of the
an philosophy, Smart introduced into the British and Anglo-
studies on Manichaeism to which he has given an original
American discourse on religion the notions of “worldviews”
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HISTORIOGRAPHY: WESTERN STUDIES [FURTHER CONSIDERATIONS ]
4049
as cross-cultural explorations of human beliefs, and of “di-
Jonathan Zittell Smith (1938–) after graduating from
mensions of the sacred” as anatomy of the world’s beliefs.
Yale with a dissertation on Frazer’s Golden Bough and a short
Making no concession to modernist sophistication, he unhe-
teaching term at Santa Barbara has spent his career at the
sitatingly identifies his approach as a phenomenology or
University of Chicago. He moves from a wide-ranging in-
morphology of religion, with all the essentialist implications
depth knowledge of Mediterranean religions (with focus on
of this definition.
Judaism and Early Christianity in their interrelationship
Eric John Sharpe (1933–2000) has written the most
with the Near Eastern and Hellenistic milieus) and an in-
complete history of comparative religion, remarkable for
sightful meticulous experience of world-scale anthropologi-
both its thoroughness and lucidity. The first incentive to this
cal and historical materials. In his concise and intellectually
work came from his interest in Christian missionary activity
penetrating essays Smith is concerned with testing the ade-
encountering Hindu traditions, which also led to the biogra-
quacy of models developed within the study of history of reli-
phy of Nathan Söderblom (1866–1931), a founding father
gions. His inquiries into theories of myth (and truth), ritual
of the phenomenological approach to the study of religion
and comparison, in passionate critical conversation with
but also a promoter of the Ecumenical movement. Apparent-
such figures as James Frazer, Adolf Jensen and Mircea Eliade,
ly, Sharpe was intrigued by the relationship between theolo-
has paved the way for a more self-conscious approach to the
gy and the scientific study of religions. As a rejoinder to
comparative study of religion. Smith’s philological accuracy
Smart’s six-dimensional structure of religion he offered his
and thoroughness in the treatment of secondary literature is
own scheme of four functional “modes” (existential, intellec-
matchless, but his selective style in tackling original sources
tual, institutional, ethical) as well as a hermeneutical tool
combined with deconstructionist bias may sometimes result
tuned in to a post-colonial perspective: the concept of “re-
in bold assumptions which can meet difficulties gaining the
sponse threshold” implying the right of the insider to ad-
scholars’ general consensus. Smith’s often quoted dictum,
vance an interpretation of his or her own tradition. Japan,
“religion is solely the creation of the scholar’s study—there
where he lived for five years, has been for Michael Pye
is no data for religion” (Smith, 1982, p. XI), albeit seductive
(1939–) the mirror that India was for Smart and Sharpe.
in its blatantly postmodern relativism, seems to be far from
After the remarkable juvenile achievement of an introduc-
complying with the blunt historical data.
tion to comparative religion based on a choice of significant
source materials and an ingenious method keeping the mid-
France. France and the other French-speaking western
dle-way between understanding and explanation, Pye has
countries (Belgium, Switzerland, Canada) have produced in
gained a distinguished position in the field of Buddhist
post-war years a great number of religious historians who
studies through a painstaking investigation of the Maha¯ya¯na
have been influential in their respective fields, but, for the
concept of “skilful means” which is basic to the understand-
reasons given above, very few historians of religions. Charac-
ing of Buddhist way of salvation. His discovery that the criti-
teristically enough, the French gurus of postmodernism (Mi-
cal study of religions began early in Japan independently
chel Foucault [1926–1984], Jacques Derrida [1930–2004],
from Western influence is, finally, crucial as a deterrent
Pierre Bourdieu [1930-2002], Jean-Louis Lyotard [b. 1924])
against the dominating trend towards cultural relativism.
who are haunting presences in the current discourse on reli-
gion going on in the Anglo-Saxon cultural milieu, are virtu-
North America. The impact of an anthropologist such
ally missing in the religio-historical work produced by
as Clifford Geertz (1926–) or a sociologist such as Robert
French scholars. Among them, the most active in the inter-
Bellah (1927–) on religio-historical studies has been certainly
national scene has been the Belgian Julien Ries (1920–). A
stronger than that of theorists scarcely active as empirical his-
Catholic priest and a leading specialist in the domains of
torians, such as Robert D. Baird (1933–) or Hans H. Penner
Gnosticism and Manichaeism, Ries has been meritorious in
(1934–). The former is too conservative in his old plea for
promoting editorial enterprises including cross-cultural sur-
understanding religion combined with a problematic mix of
veys of ancient Mediterranean religious themes, but his
functionalism and historicism. The latter is too radical in his
(crypto-theological) project of “anthropology of the sacred,”
keenness on imposing structuralist frames on realities that re-
inspired by Eliadean hermeneutics (Homo Religiosus) com-
fuse them firmly. More influential in quite different ways
bined with Italian-styled historical typology did not bring
have been two scholars both related to the intellectual atmo-
sphere of the Chicago Divinity School.
any significant innovation into religious historiography.
A broadly humanistic style combined with fine critical
Likewise, the Swiss Carl-Albert Keller (1920–) is deeply
insight operates in the religious hermeneutics devised by
influenced by his Calvinist background. Pastor and professor
Charles H. Long (1926–), following Joachim Wach’s lesson.
at Lausanne after seven years of missionary activity in South-
As a historian, Long applied this hermeneutics to the study
ern India, Keller was a native speaker of two languages
of creation myths and, in another vein, he pioneered the
(French and German) and he had philological expertise in
post-colonialist approach offering interpretations of Black
two textual traditions (Hebrew and Indian). After various re-
religion in America which “demask” a series of metaphors of
searches on biblical prophecy, Hinduism, Islam and Gnosti-
subordination and elucidate symbolic images of the op-
cism he has devoted all his energies to investigating mystical
pressed and the oppressors.
practices in Western and Eastern traditions (Ramakrishna
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4050
HISTORIOGRAPHY: WESTERN STUDIES [FURTHER CONSIDERATIONS ]
and Calvin in particular). His approach to mysticism is
or human (history, ethics or even linguistic and cognitive
aimed to respecting the intentions of the mystical practition-
theories).
er; his vision of religion can be condensed in the formula
The second key figure in Pettazzoni’s Roman School is
“communication with the Ultimate (= God).”
Dario Sabbatucci (1923–2003), a specialist in ancient classi-
Michel Meslin (1926–) had the rare privilege of teach-
cal religions who devised theories of Greek mysticism result-
ing history of religions at the University of Paris-Sorbonne
ing from social revolution and of Roman religion as the
and has been perhaps the most prestigious—though not the
product of juridical theory. These theories, which are mark-
most influential—figure in the discipline. After doing work
edly reductionist though scarcely consistent with the contex-
on ancient Roman and early Christian traditions with focus
tual evidence, have interplayed with structuralist tenets from
on their interrelations (persistence of modes and functions
Paris (Lévi-Strauss, Jean-PierreVernant [1914–] and Marcel
in New Year festivals), Meslin came to comparative religion,
Detienne [1935–]) and social scientific approaches from
advocating the practice of “religious anthropology” as the
Germany (Tübingen School) respectively. More generally,
most appropriate method of the discipline. This approach is
besides an ambitious but amateurish taxonomy of polytheis-
professedly multidisciplinary and multi-leveled, though it is
tic religions, Sabbatucci has developed a theory of religion
basically founded on psychoanalytical hermeneutics and
as entirely dissolvable in culture and—in a postmodern
fuzzy epistemological premises.
vein—as an arbitrary product of Western ethnocentrism.
While these figures dominated the academic milieu, two
Italy (and Romania). There was nothing decisively
other scholars worked out peculiar approaches to the study
new in Italian studies in history of religions with the coming
of religion that have been widely influential on layperson cul-
of age of Pettazzoni’s younger students. However, while in
ture.
other countries, in spite of the labels, comparative religion
(or history of religions) was in agony, in Italy it was still kept
Alfonso Maria Di Nola (1926–1997) had the encyclo-
alive. Alessandro Bausani (1921–1988) was trained as a fully
pedic ability of writing on virtually every topic of religious
fledged Islamist and Iranologist, but the influence of Pettaz-
historiography in a learned and intelligible style. Obviously,
zoni is apparent in his plea for a “functional-historical typol-
his innumerable writings rely mostly on second-hand sources
ogy” applicable to a discipline of Islamic studies embedded
with all the imaginable consequences. As an original re-
in the history of religions agenda. The contribution of Bau-
searcher he studied aspects of Greek religion in cross-cultural
sani (a Catholic converted to Baha¯’¯ısm himself) to the histor-
comparison as well as animal and healing cults among Italy’s
ical study of Iranian religious tradition (from Zarathushtra
contemporary peasants. His approach to religious anthropol-
to Baha’u’llah) and fringe Islam (from India to Indonesia)
ogy is avowedly based on a neo-Marxist methodology influ-
is invaluable; but his endeavors to elaborate an accurate ty-
enced by Antonio Gramsci’s reappraisal of folklore studies.
pology of monotheism gain him also a place as a thoughtful
Coherently, his general views on religion and religious histo-
theoretician of the science of religions.
riography are ferociously anti-phenomenological and condi-
tioned by his ideological options as well as by his unabashed
Ugo Bianchi (1922–1995), an ancient historian in his
philological inaccuracy.
formation, has been the most notable prosecutor of Pettaz-
Elémire Zolla (1926–2002) was in many ways the exact
zoni’s style of historical comparison. He gave seminal contri-
opposite of Di Nola in his concern for the individual’s
butions to defining the typology of dualism (from Iran to
(sometimes elitist) religious experience. Trained as a literary
modern revivals), mystery cults, Orphism, Gnosticism,
critic and expert in worldwide mystical, esoteric and symbol-
Manichaeism, transition rites, asceticism. Primarily, Bianchi
ic traditions, Zolla elaborated a very personal style in reading
was engaged in the defense of the historicity of myth (ritual
religious phenomena from the insider’s perspective without
and his social setting was not his main concern), elaborat-
losing the contact with the cultural setting. His in-depth re-
ing—in the wake of W. Schmidt, R. Pettazzoni, A. E. Jensen,
searches on alchemy, traditionalism, American transcenden-
M. P. Nilsson, F. Cumont, H.-Ch. Puech, H. Jonas and M.
talism and the literary image of Native Americans as well as
Eliade—a paradigm that connected in intricate patterns du-
his perceptive reflections on classical issues of comparative
alistic trails, mystery initiations, Platonism, and the birth of
religion such as syncretism, shamanism, Gnosticism, and Di-
Gnosticism. His method consisted of reading primary
onysian ecstasy characterize him as a careful investigator of
sources in the light of a theoretical model and then conven-
spiritual modes that are beyond the grasp of scholars utilizing
ing international scholars to test the relevance of that model
the tools of traditional historiography. As a terminus of this
to their empiric materials. As a theoretician of religion,
survey it is worth mentioning a scholar belonging to a later
Bianchi was keenly conscious of the responsibility of history
generation and to a different cultural tradition (Romanian)
of religions in attempting to devise categories able to eschew
who was a disciple of Bianchi as well as a follower of Zolla.
both phenomenological and reductionist traps. To para-
phrase his words, religion can neither be allowed to assume
Ioan Petru Culianu (1950–1991), fundamentally Ital-
the status of an a-priori autonomous category of human ex-
ian in his training, became familiar with the Dutch academy
perience nor be reduced to the status of a subcategory within
in Groningen and with the North American one in Chicago,
some other dominant science—whether the science be social
where he became the heir to his compatriot Eliade. The foci
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HISTORIOGRAPHY: WESTERN STUDIES [FURTHER CONSIDERATIONS ]
4051
of his scholarly concern were coincident with the favorite
Kurt Goldammer, Die Formenwelt des religiösen: Grundriss
subjects of his mentors (ecstasy, dualism, esotericism, views
der systematischen Religionswissenschaft (Stuttgart, 1960);
of afterlife). He shifted from a historical method to a men-
Friedrich Heiler, Erscheinungsformen und Wesen der Religion
talistic epistemology that turns historicism on its head. His
(Stuttgart, 1961); E. O. James, Comparative Religion: An In-
death was the death knell for the discipline: At the current
troductory and Historical Study (London, 1938), revised and
state of the art, a style of history of religions like that fostered
reset (London, 1961); Carl-A. Keller, Communication avec l’
Ultime (Geneva, 1987); Hans G. Kippenberg and Kocku
by Pettazzoni, Brelich and Bianchi seems to be hardly con-
von Stuckrad, Einführung in die Religionswissenschaft (Mu-
ceivable.
nich, 2003); Joseph M. Kitagawa, The History of Religions:
Understanding Human Experience (Atlanta, 1987); Vittorio
SEE ALSO Study of Religion.
Lanternari, Antropologia religiosa: Etnologia, storia, Folklore
(Bari, Italy, 1997); Gerardus van der Leeuw, Phänomenologie
BIBLIOGRAPHY
der Religion (Tübingen, Germany, 1933; 2d edition en-
Useful for the study of religious historiography in the twentieth
larged, 1956); Claude Lévi-Strauss and Didier Eribon, De
century are the following surveys: Jan de Vries, The Study of
près et de loin (Paris, 1988); Charles H. Long, Significations:
Religion: A Historical Approach (New York, 1967), reprinted
Signs, Symbols, and Images in the Interpretation of Religion
with an introduction by Kees W. Bolle as Perspectives in the
(Philadelphia, 1986); Gustav Mensching, Die Religion: Ers-
History of Religions (Berkeley, Calif., 1977); Alfonso Di Nola,
cheinugsformen, Strukturtypen und Lebensgesetze (Stuttgart,
“Religione” and “Religioni, Storia delle,” in Enciclopedia
Germany, 1959), (unreliably) translated into English as
delle religioni (Florence, Italy, 1973), pp. 22–309; Eric J.
Structures and Patterns of Religion (Delhi, India, 1976); Mi-
Sharpe, Comparative Religion: A History (London, 1975), re-
chel Meslin, Pour une science des religions (Paris, 1973); Mi-
printed with a supplementary chapter and revised bibliogra-
chel Meslin, l’expérience humaine du divin (Paris, 1988);
phy (London, 1986); Michel Meslin, “L’histoire des reli-
Hans H. Penner, Impasse and Resolution: A Critique of the
gions,” in H.-Ch. Puech (ed.), Histoire des religions, vol. 3
Study of Religion (New York and Bern, 1989); Raffaele Pet-
(Paris, 1976), pp. 1277–1328; Seymour Cain, “Study of Re-
tazzoni, Svolgimento e carattere della storia delle religioni (Bari,
ligion,” in M. Eliade (ed.), Encyclopedia of Religion (New
Italy, 1924); Michael Pye, Comparative Religion: A Introduc-
York, 1987), pp. 64–83; Giovanni Filoramo and Carlo
tion through Source Materials (Newton Abbot, U.K., 1972);
Prandi, Le scienze delle religioni (Brescia, Italy, 1987), re-
Julien Ries, La storia delle religioni (Milan, Italy, 1993); Kurt
printed with two additional chapters (Brescia, 1997); Karl-
Rudolph, Historical Fundamentals and the Study of Religions
Heinz Kohl, “Geschichte der Religionswissenschaft,” in
(New York and London, 1985); Dario Sabbatucci, Sommario
Handbuch religionswissenschaflicher Grundbegriffe, vol. 1
di storia delle religioni (Rome, 1991); Eric J. Sharpe, Under-
(Stuttgart, Germany, 1988), pp. 217–262; and the following
standing Religion (London, 1983); Ninian Smart, World-
collections: Jacques Waardenburg, Classical Approaches to the
views: Crosscultural Explorations of Human Beliefs (New York,
Study of Religion: Aims, Methods and Theories of Research, 2
1983; 3d revised edition, N.J., 2000); Ninian Smart, Dimen-
vols. (The Hague, 1973–1974), an irreplaceable corpus of
sions of the Sacred: An Anatomy of the World’s Beliefs (Berke-
classical pages with biographical introductions and detailed
ley, Calif., and Los Angeles, 1996); Wilfred Cantwell Smith,
bibliographies; Axel Michaels (ed.), Klassiker der Religion-
Religious Diversity (New York, 1976); Jonathan Z. Smith,
swissenschaft: Von Friedrich Schleiermacher bis Mircea Eliade
Map is not Territory: Studies in the History of Religions (Lei-
(Munich, 1997), providing valuable portraits of scholars but
den, 1978); Jonathan Z. Smith, Imagining Religion: From
inadequate in its choices and marred by various blunders;
Babylon to Jonestown (Chicago, 1982); Fritz Stolz, Grundzüge
Frank Whaling (ed.), Contemporary Approaches to the Study
der Religionswissenschaft (Göttingen, Germany, 1988); Jean-
of Religion, 2 vols. (Berlin, 1984–1985), a collection of his-
Pierre Vernant, Ai confini della storia (Turin, Italy, 1993); Jo-
torical essays, of unequal value and assorted in an arbitrary
achim Wach, The Comparative Study of Religions (New York,
way, too inclusive on the one hand and too exclusive on the
1958); Joachim Wach, Introduction to the History of Religions
other owing to its Anglo-centric perspective.
(New York and London, 1988); Geo Widengren, Religions-
phänomenologie (Berlin, 1969).
Basic works (introductory, historical, autobiographical, theoretical
or methodological) by authors mentioned in the historical
Miscellaneous volumes (including festschriften, thematic issues of
survey are Robert D. Baird, Category Formation and the His-
journals, proceedings of symposia and conferences, text-
tory of Religions (The Hague, 1971), reprinted with a new
books) relevant to the study of religious historiography are
preface (Berlin-New York, 1991); Ugo Bianchi, The History
innumerable. Among recent introductions to the history and
of Religions (Leiden, 1975); C. J. Bleeker, The Rainbow: A
methods of religious studies written by single authors not
Collection of Studies in the Science of Religion (Leiden, 1975);
mentioned in the preceding survey the following are worth
Angelo Brelich, Introduzione alla storia delle religioni (Rome,
mentioning: Kees W. Bolle, The Enticement of Religion
1966); Angelo Brelich, Storia delle religioni: perché? (Naples,
(Notre Dame, Ind., 2002); Walter H. Capps, Religious
1979); Walter Burkert, Creation of the Sacred: Tracks of Biol-
Studies: The Making of a Discipline (Minneapolis, 1995);
ogy in Early Religions (Cambridge, Mass., 1996); Carsten
Francisco Diez de Velasco, Introducción a la Historia de las
Colpe, Theologie, Ideologie, Religionswissenschaft: Demonstra-
Religiones (Madrid, 1995; 3d edition revised and augmented,
tionen ihrer Unterscheidung (Munich, 1980); Alfonso Maria
Madrid, 2002); Hans-Jürgen Greschat, Was ist (Stuttgart,
di Nola, Attraverso la storia delle religioni (Rome, 1996);
Germany, 1988); Günter Lanczkowski, Einführung in die Re-
Georges Dumézil, Entretiens avec Didier Eribon (Paris,
ligionswissenschaft (Darmstadt, Germany, 1980); Giovanni
1987); Mircea Eliade, L’épreuve du Labyrinthe (Paris, 1978);
Magnani, Storia comparata delle religioni: Principi feno-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4052
HISTORY: CHRISTIAN VIEWS
menologici (Assisi, Italy, 1999); William E. Paden, Religious
ELEMENTS OF CHRISTIAN VIEWS OF HISTORY. The first peo-
Worlds: The Comparative Study of Religion (Boston, 1988);
ple who gathered around Jesus disclosed what they believed
Olof Pettersson and Hans A˚kerberg, Interpreting Religious
mattered for the Christian religion. This they did not by in-
Phenomena: Studies with Reference to the Phenomenology of Re-
struction in ritual or law, not by theological discourse or logi-
ligion (Stockholm, Sweden, 1981); Aldo Natale Terrin, Spie-
cal argument, but by telling the history of Jesus. At first the
gare o comprendere la religione? Le scienze della religione a con-
followers of Jesus told each other about what happened to
fronto (Padua, Italy, 1983); Aldo Natale Terrin, Introduzione
him. Paul wrote letters to several Christian communities that
allo studio comparato delle religioni (Brescia, Italy, 1991).
recalled aspects of his life. The earliest Christian historical
GIOVANNI CASADIO (2005)
writings are the accounts known as the Gospels and the Acts
of the Apostles that emerged out of and consolidated the recol-
lections that people passed on after the death of Jesus. Chris-
HISTORY
tians ever since have looked to the Gospels as the source for
This entry consists of the following articles:
their knowledge of Jesus and for his message of the coming
of the kingdom of God. History came to be seen as the re-
CHRISTIAN VIEWS
JEWISH VIEWS
peated overcoming of the kingdom of darkness by God’s
kingdom of light. In the words of the Lord’s Prayer, “Our
father in heaven, holy be your name, your kingdom come,
HISTORY: CHRISTIAN VIEWS
your will be done on earth as it is in heaven.”
Christians understand history from the perspective of the life
The experience of the crucifixion and the resurrection
of Jesus of Nazareth (c. 4 BCE–30 CE), whom they call the
of Jesus totally transformed the first Christians’ understand-
Christ. Christians believe that in Jesus Christ God became
ing of history. They created the earliest Christian views of
incarnate in human history and thereby provided the key to
history by reworking the views they inherited from Jewish
the character, validity, and significance of history. Salient
sources. They regarded Jesus as the one whose coming the
events in Jesus’ life in ancient Roman Palestine, as Christian
ancient Hebrew prophets had often promised. John called
understand them—notably his birth, his ministry, his death
Jesus the Messiah, the Christ, the one anointed by God to
by crucifixion, and his resurrection to life—form the basis
be the savior of Israel. The very use of that title constituted
of the Christian religion. At the same time, the life of Jesus
an understanding of the role of Jesus in world history. Mat-
Christ provides the ultimate orientation for understanding
thew and Luke contained genealogies constructed to show
the whole of history and the historical process, past, present,
that Jesus was the direct descendant of the two greatest
and future. To be Christian unavoidably entails bonding
names in Jewish history, Abraham and David, and, accord-
with an understanding of history, and over the ages the vari-
ing to Luke, the direct lineal offspring of Adam, regarded as
ety of Christian views has been considerable.
the first human being created by God.
Christian views of history have in common that they en-
The Gospels and the Acts of the Apostles also told how
compass all peoples as well as all nonhuman creation. For
Jesus projected a new horizon for the future. After leaving
Christians, history began with the creation of the world and
his followers for a time he would return again to be among
will culminate with the return of Jesus Christ to the world.
them. They caught suggestions of the end of the age, the es-
Christians give a special role within history to the Jews before
chaton, some time in the near or distant future, and they an-
Jesus’ time, to his immediate followers during his lifetime,
ticipated a final resurrection of the dead.
especially those called the twelve apostles, and to the church
and the kingdom of God for the remainder of history after
Paul, in his Epistle to the Romans, created an understand-
Jesus. For Christians, the ongoing temporal course of world-
ing of history that explained both the continuity of Jesus
ly existence proceeds according to cycles of worship as well
with Israel and Adam and the radical innovation that Jesus
as in cycles of forgiveness and renewal as, under the provi-
inaugurated for his followers in the future. Paul viewed Jesus
dence of God, Christians seek to do the will of God and to
both as the descendant of Adam and as the New Adam. His-
overcome evil with good.
tory, for Christians, thus divides into two ages. Before Christ
there were the creation, the old covenant, the old self, the
Christian views of history contrast with the alternatives
way of the law, whereas after Christ there would be the new
provided by different ultimate orientations, whether secular-
creation, the new covenant, the new self, the way of grace.
ist, Islamic, capitalist, Hindu, Buddhist, New Age, or some-
Paul thought that the Hebrew scriptures, which Christians
thing else. With the secularization of thought and society in
knew as the Old Testament, contained many anticipations
European and North American cultures during much of the
of Christ. The children of Abraham and David were to be
twentieth century, Christian views tended to shrink to an
completed by a new Israel called the ekklesia, composed of
emphasis on church history. But in tandem with the persis-
children of Abraham by adoption.
tence of religions in pluralist relations with each other across
the world, many Christians have reaffirmed the validity of
It is important to understand that the early Christians
Christian approaches for understanding the whole of history
formed their views of history as part of living within the new
and for engaging in the study of any historical subject.
community of the ekklesia, later called the church. Their
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HISTORY: CHRISTIAN VIEWS
4053
views of history emerged as they engaged in their worship,
seventeenth century the threefold scheme of ancient, medi-
read their scriptures, preached their sermons, produced their
eval, and modern came into vogue, appearing first in relation
their art, instructed their young, and uttered their confes-
to Christian history. Even then, many Christian writers
sions of faith in Jesus Christ. Over the centuries, it was large-
thought that if the history of the world was analogous to
ly through such tangible and close-to-home means that
human life they were living in the old age of the world. His-
Christians taught, maintained, elaborated, revised, and un-
tory was moving toward culmination by way of beneficent
folded their views of history into the wide variety of forms
decline.
known in the history of Christianity. The writings on history
With all this emphasis on ongoing tendencies and peri-
by the great thinkers—such as Paul, Eusebius (d. c. 339),
ods, many people have asserted that Christian views of histo-
Augustine (d. 430), Thomas Aquinas (d. 1274), Luther
ry are by definition linear and for that reason distinct from
(d. 1546), Calvin (d. 1564), and Bossuet (d. 1704)—
views depicting history as cyclical. They contrasted Christian
depended upon and emerged from within the experience of
views as linear with Hindu and Buddhist views as cyclical.
the worshipping community. The great creeds of the
However, Christian views are also cyclical, even as Hindu
church—from the simple confession of Peter (“You are the
and Buddhist views are also linear, and Christian views offer
Christ, the son of the living God”) to the important Nicene
many ways of understanding the recurrent rhythms of histo-
Creed (325), the famous and popular Apostles’ Creed
ry. The earliest instance was the common meal initiated by
(eighth century), and the many creeds of the Reformation
Jesus Christ in his last supper, later called the Eucharist or
era—were affirmations of the faith of the church that en-
the Lord’s Supper, which became a way for Christians when
tailed reciting the history of Jesus and a Christian version of
gathered together to remember (anamnesis) the life and death
world history.
of Jesus. The introduction of Sunday as the day of worship
What develops is an understanding of universal history
symbolized the resurrection of Jesus and gave Christians a re-
that depicts the course of the ages as a sequence of creation,
current beat for the life of their communities. Paul empha-
fall, redemption, and culmination. History begins with the
sized the rhythm of creation and re-creation, and Christians
creation of the world, Adam, and Eve by God and continues
over the ages have sought to implement his message by striv-
with a decline into sin and suffering. God then offers the pos-
ing repeatedly for the overcoming of evil with good and the
sibility of restoration, first through the line of Abraham and
renewal of all things. In other guises they know this recurrent
Israel, then through Jesus Christ and the church. Finally
rhythm as the pattern of repentance, forgiveness, and restora-
come the last days, the eschaton, when all things culminate
tion by which God repeatedly shows mercy to sinners and
in the return of Jesus Christ, followed by the Last Judgment,
brings new things out of old. The symbol of the resurrection
the appearance of the new heavens and the new earth, the
itself is an affirmation of the recurrence of blessing and heal-
resurrection of the dead, and the experience of eternal life.
ing in spite of the persistence of death and evil. Following
It is a comprehensive vision that gathers up the past, opens
the example of Jesus and Paul, Augustine envisioned world
up the future, and explains the meaning of the present.
history as a recurrent spiritual conflict between the city of
God and the city of this world. In these and other ways,
Seen in this way, the history of the world has a begin-
Christian views of history posit the reality of recurrence in
ning and will have an ending. History is ongoing. Christian
the world within the drama of the ongoing course of events
writers, like the author of Hebrews and Augustine, use the
from the origins to the eschaton.
figures of a journey and a pilgrimage, and others following
Christian views of history also have a personal side.
the Gospels use the image of the way to catch the ongoing
They permit Christians to orient their lives within the overall
tendency of things. They endeavor to grasp the meaning of
course of history. Over the years Christians as the church
the course of history by identifying the ages through which
have fashioned rituals that, according to their ecclesiastical
the world passes. For example, Paul’s two ages, the old and
traditions, they call sacraments, ordinances, or special ser-
the new, could also be regarded as one, the present age, sur-
vices. These mark both the linear course of life in the world
rounded by eternity before creation and eternity after the end
and the cyclic experience of life in the world: baptism initi-
of time. The genealogies in Matthew and Luke calculated
ates each person, whether at infancy or as an adult, into the
four or five ages. The Letter of Barnabas (early second centu-
church; confirmation or acceptance into church membership
ry) turns these into six ages by analogy with the six days of
marks religious coming of age; marriage establishes compan-
creation. And since a day in the eyes of God is like a thou-
ionship on the journey and the procreative relationship; the
sand years (2 Pt. 3:8), this suggested that God would bring
Eucharist, or Lord’s Supper, remembers Jesus Christ’s death;
the world to an end after six thousand years. Augustine
penance or prayers for forgiveness register the cycle of sin and
adopted the six-age scheme and noted in the final pages of
restoration; and holy unction, last rites, or the funeral com-
his monumental City of God that the world was then in the
plete the earthly pilgrimage.
sixth and final age. Later writers, notably during the Refor-
mation of the sixteenth century, divided the six thousand
Christians gradually came to express their views of histo-
years into four monarchies—Babylon, Persia, Greece, and
ry in the form of a calendar that liturgically recalls the events
Rome—based on the Old Testament Book of Daniel. In the
of the life of Jesus Christ in an annual cycle. The first fixture
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4054
HISTORY: CHRISTIAN VIEWS
in the calendar became known as Easter and celebrates the
that history is a lively arena for many actors. God is primary,
resurrection of Jesus, although agreement on when to mark
and, although God’s abode is the timeless present of eternity,
Easter has eluded Christians and yielded diverse representa-
God acts directly in history. Acting against God are Satan
tions of the calendar. Christians have remembered the birth
as the Evil One as well as various devils and evil spirits whose
of Jesus as Christmas from at least the early fourth century.
deeds impact the course of history. Joined to these are human
The advent to Christmas came to mark the start of the Chris-
beings regarded as responsible for what goes on in the course
tian new year. Christians later added the events of Epiphany,
of the ages. Next to all these are the non-human creatures—
Holy Week, Pentecost, and the Ascension. Christians also
the animals, the trees, the wind and the rain—that likewise
mark the ongoing sequence of years with reference to the
effect what happens in history. How to explain the relations
birth of Jesus, counting the years from “Our Lord’s Incarna-
and relative effects of these great actors in history—God, the
tion” (AD, anno Domini, the year of the Lord). This scheme,
Evil One, humans, and nature—has been a matter of peren-
which formalized a popular Christian usage, was devised by
nial disagreement among Christians. Christians created the
Dionysius Exiguus (early sixth century) as part of his calcula-
doctrines of divine predestination and human free will in an
tion of the liturgical date of Easter. Much later and more
effort to explain some of this. The Old Testament supplies
slowly, Christians began to count the years backward from
the model for understanding God’s work in history, while
the incarnation, calling them “Before Christ” (BC). By using
the New Testament does the same for the work of the Evil
these important symbols, they claim that the whole course
One. Just as God governed Israel by leading the Israelites out
of history centers on Jesus Christ and that the annual cycle
of Egypt, taking them into the Promised Land, establishing
of Christian experience recapitulates Jesus’ life.
David on the throne of Israel, and confounding the enemies
of Israel, so God governs the church through the ages. And
A solid tradition of historical writing reflects the empha-
just as God also ruled over Assyria, Egypt, and Babylon, so
sis Christians put on recording the course of events, creating
God rules over all things in the world throughout the whole
a common memory, and handing on their story in writing
of history according to God’s will. Christians call this wise
to future generations. It began with the Gospels and the Acts
governance by God “Divine providence.”
of the Apostles. Early in the third century Julius Africanus pro-
duced a five-volume Chronology with the dual purpose of es-
In a similar way, following the Lord’s Prayer, Christians
tablishing that the antiquity of Moses was greater than that
attribute to God’s action everything from their daily food to
of the Greeks and of tracing the continuity of Christianity
the rise and fall of kingdoms. Yet all the while they know,
with Jesus Christ. Eusebius of Caesarea (early fourth century)
according to their roles in life, that they are responsible for
stabilized a lasting tradition of Christian historiography with
tending their fields as farmers or governing the common-
his Chronology and his Ecclesiastical History. Augustine’s mag-
wealth as rulers. God’s central act in history was the incarna-
isterial City of God formulated what became the most influ-
tion in Jesus Christ, and Jesus Christ continues to rule as
ential Christian reading of world history. Following patterns
Lord of history. Christians began to talk very early in the
of explanation found in the Old Testament, he showed how
church’s history of God’s eternal plan of salvation and God’s
the activities of God, humans, angels, and devils conjoined
plan for the world. When human actions fulfill the will of
to produce human history as a struggle between the city of
God, God bestows blessings; when they do not, God sends
God and the city of this world. Augustine’s student Paulus
judgment instead. The prospect of the Last Judgment came
Orosius elaborated upon this. From these sources an im-
before the people by means of art, especially during the me-
mense number of medieval chronicles, annals, and histories
dieval and early modern periods. The providence of God has
took their cue. Between the seventh and the fifteenth centu-
given Christians confidence and comfort in history, while
ries writers produced histories shaped by Christian views:
the Last Judgment has often given them cause to tremble.
histories of the church, of the peoples of Christendom, of
TYPES OF VIEWS. From the time of the apostles to the pres-
rulers and governments, of cities, of the Crusades, of the
ent, Christian views of history have proliferated into at least
saints, of monasteries, and of the whole world known to
four dominant types. All types have in common the elements
them. Protestants, Anglicans, and Catholics from the six-
already summarized—orientation by the life of Jesus Christ,
teenth-century Reformation onward wrote histories that
the envelopment of universal and personal history, an ac-
continued the fecund traditions of Christian historiography
count of the ongoing and the recurrent matters of history,
and that served to enliven their polemics against each other.
and so on. They differ, however, in the way they interpret
these elements and in the priorities and emphases they assign
Running through Christian views of history is the un-
to them. All appeal to Jesus Christ, the Bible, and the experi-
derstanding that many actors generate history. The Bible of-
ence of the history of Christianity for justification.
fered the necessary models, and Eusebius provided the exam-
ple for how to translate the biblical vision into a reading of
The four types may be called the millenarian, the eccle-
the post-biblical course of events. Christian historians in
siastical, the reform/revivalist, and the mystical. The mille-
other periods, of whom Merle d’Aubigné (1794–1872) was
narian type of understanding of history appeared quite soon
a stunning case, as well as pastors and preachers in their ser-
among the early Christians and has reemerged periodically
mons every Sunday to the present day instantiate the view
throughout Christian history to the present day. The mille-
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HISTORY: CHRISTIAN VIEWS
4055
narians, or “chiliasts,” emphasize the future of history and
have readily converted to the ecclesiastical type (in a conser-
eschatology. They are deeply aware of the troubles of the
vative form) once their reforms have become established.
present world. They look forward to the return of Jesus
They take their scriptural inspiration especially from Paul’s
Christ as the means of salvation, and they expect salvific
theme of new creation in Romans and Colossians. Some of the
change to be abrupt and total. Their name comes from the
many movements that have viewed history in this way have
anticipated thousand-year rule by Christ at the end of histo-
been the early Benedictines, the early Franciscans, Cluny
ry, the seventh eschatological day after the six days of world
monks, early Calvinists and Lutherans, early Methodists, and
history. Their scriptural sources are the Book of Daniel, chap-
in recent times, the evangelical revivalists and reformational
ter 24 of the Gospel of Matthew, and the Book of Revelation.
Kuyperians. The Pentecostal movement of the twentieth
The earliest millenarians (see the First Letter to the Thessaloni-
century has been a major revivalist movement stressing the
ans) expected the return of Jesus to occur in their lifetime.
outpouring of the Holy Spirit and the restoration of the pris-
Millenarian movements over the years have included the
tine spirit of Christ. Liberation theologians in Latin America
prophets of the end around the year 1000, some elements
are another example.
in the Crusades, Joachim of Fiore (d. 1202), the Fifth Mon-
The mystic type of understanding of history also ap-
archy Men (seventeenth century), and the followers of John
peared early and has reemerged periodically throughout
Darby (1800–1882). In the twentieth and twenty-first cen-
Christian history. Mystics seek to transcend the course of
turies most fundamentalists and evangelicals have been mil-
mundane history, suspending themselves, as it were, above
lenarians. They have called themselves “premillenarians” be-
the process of past-present-future. They have tended to con-
cause they emphasize the return of Jesus before the advent
demn and belittle the history of the world and to seek salva-
of the thousand-year reign of purity, and “dispensationalists”
tion by union with another realm. Their hope has been to
because they emphasize the various ways God has changed
overcome change, yet through all that, they have also con-
the divine mode of working with the world over the ages.
sciously intended to exercise an influence upon the affairs of
The ecclesiastical type of understanding of history began
the world. The vision of John in Revelation inspired them
as the early Christians created the institutional forms of the
biblically. Notable examples of the mystic type are the pillar
church community and has carried on to the present by
saints (Stylites) of Syria, the contemplative orders, the Neo-
means of the dominant churchly traditions. The ecclesiasti-
platonic tradition, Meister Eckhart (d. 1327?), Teresa of
cals emphasize the continuity of history expressed by means
Ávila (d. 1582), Jakob Boehme (d. 1624), and the early
of a specific sequential connection with Jesus and the apostles
Quakers. Many Christians in the twentieth and twenty-first
(e.g., apostolic succession). They contrast the church and the
centuries have welcomed the influence of Buddhist and
world, while nonetheless struggling for and often achieving
Hindu mystics on the Christian practice of meditation and
some alliance with the political rulers and some penetration
prayer.
of the general culture with Christian ecclesiastical mores.
DECLINE AND RENEWAL OF CHRISTIAN PERSPECTIVES. By
They believe that salvation comes primarily by means of
the late eighteenth century, as part of the early phases of the
God’s work through the church, notably in the sacraments
secularization of European thought and society, many began
and in preaching. They value institution-building, mainte-
to call Christian views of history into question. In particular,
nance, and stability and seek to control change. Their bibli-
capitalist industrialization, the new powers of science and
cal sources are the letters of Paul, especially Romans. The ec-
technology, and the thought of philosophers as different
clesiastical view emerged with the appearance of bishops and
from each other as David Hume, Voltaire, and Jean-Jacques
ecclesiastical organization as recounted by Eusebius. The pa-
Rousseau combined to evoke new faith in humanity and in
pacy, the church councils, and the Jesuits are among those
human powers of control, creativity, and reason. These gave
who perpetuated this view. In the twentieth and twenty-first
support to new convictions that this world (the saeculum)
centuries, standard Roman Catholics, Anglicans, Orthodox,
was ultimate and that history was progress toward human
and Lutherans exemplify this type.
improvement.
The reform/revivalist type of understanding of history
The practical consequence of the secularizing tendency
has ridden in tandem with the ecclesiastical type throughout
upon Christian views of history has been the accentuation
the history of Christianity. The emphasis in this third type
of two sets of distinctions. First, Christians focused more
has been on renewal and recurrence, together with either a
narrowly on the history of the church and tended to regard
return to some normative past or a renovation to some better
the history of the rest of life as a secular concern properly
future. Its proponents are concerned with overcoming spiri-
handled by scholars acting as secular historians and not as
tual or moral decline and often stand in judgment against
Christian historians. This contributed to the creation of spe-
the dominant structures. They see God’s salvific work espe-
cialized kinds of histories, such as histories of politics, art,
cially in institutional reform or personal spiritual revival.
and economic affairs, and treated church history as just an-
They expect the need for change to be periodic, or as the
other specialization. Second, Christians began to formulate
motto of one strain within the Protestant Reformation ex-
a theology of history—as distinct from a philosophy of histo-
pressed it, they aim to be “always reforming.” Reformers
ry. In the hands of philosophers like Voltaire, J. G. Herder,
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4056
HISTORY: CHRISTIAN VIEWS
G. W. F. Hegel, and a host of more recent thinkers like those
their newly emerging awareness of the diversity of Christiani-
of the British analytic school, reflection on the world’s histo-
ty across the world, and with their renewed appreciation of
ry could appear to be an exercise quite remote from what
the genuinely universal character of history. Second, many
theologians did when they thought about the biblical
historians who were Christians explored how Christian in-
sources, Jesus Christ, and Christian experience.
sights about human beings and worldly existence might sug-
gest approaches to the historical study of all facets of history,
In this manner a distinction between sacred and profane
including, in addition to churches, the history of politics,
history became more pronounced. Church historians and
gender, class, economic affairs, art, technology, families, the
theologians came to see themselves, and to be seen by others,
environment, climate, and so on. Third, the ongoing en-
as sociologically set apart from other historians and other
counter with other religions of the world, notably Hinduism,
scholars of religion. They commonly found themselves em-
Buddhism, Islam, Judaism, and the primal religions, has led
ployed in seminaries, Divinity schools, and Christian col-
Christians to reevaluate the meaning of the claims about
leges, either separated from universities or other faculties
Christianity being a religion of history. Fourth, the experi-
within universities. They associated with each other in spe-
ence of the secular religions of humanism, capitalism and
cialized professional societies organizationally separated from
Marxism has stimulated revisions of Christian views of histo-
general scholarly associations. From the perspective of the
ry as a way of helping to overcome economic, social, and po-
general culture, people commonly came to regard the church
litical oppression and to promote the well-being of the whole
as merely one institution next to others, with the result that
human community. Fifth, the disintegration of the domi-
the relevance of Christian views of history to life as a whole
nant modes of scientific history characterized by commit-
no longer could be assumed. Liturgy and preaching contin-
ment to facts and emphasis on hegemonic elites has given
ued in their cyclic rhythm as the primary vehicles for the
new life to post-modern discussions of historical methods
transmission of Christian views of history, but with a built-in
and epistemology, discussions to which historians enlivened
separation of Christian history from the history of life as a
by Christian views of history make distinctive contributions.
whole, now called secular history. Historians, including
those who were themselves Christians, found they could
SEE ALSO Apostles; Christian Liturgical Year; Christmas;
readily explain the temporal course of history solely in terms
Church, article on Church Membership; Creeds, article on
of human actions in the milieu of the natural environment,
Christian Creeds; Easter; Epiphany; Eschatology, overview
without reference to the work of God and the Evil One. This
article; Eucharist; Free Will and Predestination, article on
they did quite apart from their still operative belief in the ac-
Christian Concepts; Gospel; Historiography; Jesus; Lord’s
tivity of God in history and any Christian vision of universal
Prayer; Millenarianism, overview article; Mysticism; Revival
history. The theories and findings of geology, biology, as-
and Renewal; Secularization; Worship and Devotional Life,
tronomy, and “prehistory” make a convincing case that the
article on Christian Worship.
world’s history has already taken perhaps billions of years in
spite of previously honored calculations of the creation of the
BIBLIOGRAPHY
world based on Genesis. The difficulty, if not impossibility,
No general book exists that covers all the elements of Christian
of genuine prediction beyond the most proximate future
views of history as they are brought together in this article.
made Christian visions of the future eschaton seem irrelevant
Ernst Breisach’s Historiography: Ancient, Medieval, and Mod-
to the course of history if not simply wrong.
ern, 2d ed. (Chicago, 1994) treats Christian views as part of
the general account. The closest thing to a survey of the his-
In the twentieth and twenty-first centuries, however,
tory of Christian views of history, albeit in reverse time order,
many historians, philosophers, theologians, writers, and bib-
is Karl Löwith’s Meaning in History (Chicago, 1949). Oscar
lical scholars have led a notable renewal of Christian views
Cullmann’s Christ and Time (London, 1951) and Philip
of history. They have come from a wide range of Christian
Carrington’s The Primitive Christian Calendar (Cambridge,
traditions, including Roman Catholics, Anglicans, Method-
U.K., 1952) are classic statements about the views of history
ists, Reformed, Russian Orthodox, Baptists, and others.
found in the New Testament and early Christianity. The
Prominent names since the 1930s include Reinhold Nie-
Jewish antecedents of Christian views of history are intro-
buhr, Herbert Butterfield, Arnold Toynbee, T. S. Eliot,
duced in John Van Seters’s In Search of History: Historiogra-
phy in the Ancient World and the Origins of Biblical History
C. S. Lewis, Christopher Dawson, and Georges Florovsky.
(New Haven, Conn., 1983). Gregory Dix’s The Shape of the
After World War II, the renewal formed part of the general
Liturgy, 2d ed. (New York, 1982), explains how liturgy man-
ecumenical and church renewal movements associated with
ifests the sanctification of time. The way the creeds recite his-
the World Council of Churches (after 1948), the Second
tory is evident in Philip Schaff’s The Creeds of Christendom,
Vatican Council (1962–1965), and the resurgence of evan-
6th ed., 3 vols. (Reprint edition, Grand Rapids, Mich.,
gelicalism and Pentecostalism.
1983). Langdon Gilkey’s Reaping the Whirlwind (New York,
1976) discusses Providence, and Brian Hebblethwaite’s The
Several trends concerning Christian views of history
Christian Hope (London, 1984) surveys the history of escha-
have become noteworthy since the 1970s, even as the four
tology. Of the many books on Augustine, Robert A.
major types of views continued. First, many Christians
Markus’s Saeculum: History and Society in the Theology of St.
stressed the need to integrate Christian views of history with
Augustine, rev. ed. (Cambridge, U.K., 1988) is a good place
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HISTORY: JEWISH VIEWS
4057
to start. Herbert Butterfield’s Christianity and History (Lon-
rather than a cyclical, notion of time, but this concept over-
don, 1949) was central to the statement of Christian views
simplifies the biblical meaning of history. Genesis 1–11, often
of history in the twentieth century. My introduction to his
called “the primeval history,” makes use of ancient Near
Writings on Christianity and History, which I edited (Oxford,
Eastern mythological materials as reinterpreted by Israelite
1979), and my Herbert Butterfield as Historian (New Haven,
monotheism. And the biblical notion of history does focus
Conn., and London, 2004), examine his work in detail. For
on repetitive patterns (the cycle of sin, punishment, contri-
the renewal of Christian views of history in recent times, see
my God, History, and Historians (Oxford, 1977). Dale T.
tion, atonement). The mythological residue and the cyclical
Irvin’s Christian Histories, Christian Traditioning: Rendering
patterns are presented in the context of a chain of events
Accounts (Maryknoll, N.Y., 1998) relates Christian views of
reaching back to the absolute beginning of the world and
history to the ongoing life of Christian communities across
human civilization and forward to a future open in a crucial
the world. History and Historical Understanding, which I ed-
sense. The cyclical-linear sense of time is also a feature of the
ited with Ronald A. Wells (Grand Rapids, Mich., 1984), in-
prophetic books. Implied in the classical prophets is that past
dicates how historians work with a Christian view of history
events are guideposts to actions taken in a historical present
to engage historical study generally.
that is infused by a unique, pregnant tension. The prophet
C.T. MCINTIRE (1987 AND 2005)
addresses the people and its rulers out of the immediacy of
the divine imperative; in order to avert an impending catas-
trophe, he demands a change of direction (turning, repen-
tance). The prophetic oracles do not embody revelations of
HISTORY: JEWISH VIEWS
predetermined fate but warnings of inevitable acts of divine
This article describes the conception of history in the He-
justice if Israel’s behavior continues in the path that the
brew scriptures and in rabbinic and medieval Judaism and
prophet has denounced. The prophet speaks out of the con-
controversies concerning historical continuity and change in
viction that despite sins committed in the past, the future can
modern Judaism.
assume a different character because God forgives those who
BIBLICAL VIEWS. The unusual importance of history in Isra-
reform their habitual ways. The prophet hopes to change
elite religion probably predated the articulation of a full-
rather than predict history and to break through the old cycle
fledged monotheism that explicitly denies the potency of all
of failure to advance the divine demand.
gods except Yahveh, the God of Israel. The core of the bibli-
cal narrative deals with the relationship between Israel and
Stages of history. In its final redaction the Hebrew
Yahveh, a relationship created and actualized in history. Yah-
Bible locates the Israelite-God covenant in a world historical
veh is presented as having anticipated, in the calling out of
context, creating a conception of universal history that
the patriarchs, the formation of the house of Israel (Gn.
shaped the consciousness of European civilization for many
18:17) and as having liberated the descendants of the patri-
centuries. The primeval history in Genesis 1–11 in effect nar-
archs from Egyptian bondage in order to enter into a cove-
rates the coming-into-being of the human condition, includ-
nantal treaty with them at Mount Sinai (Ex. 19:3–8, Dt.
ing humanity’s division into many nations and tongues. The
26:5–9). In the biblical narrative the subsequent history of
remaining chapters of Genesis trace the precarious continuity
Israel, a duration of eight centuries, is winnowed and assem-
of God’s blessing of the direct ancestors of Israel during their
bled accordingly.
sojourns in Canaan until the settlement in Egypt. The objec-
tive of the exodus from Egypt is the actual formation of the
History and time. Whenever it was that monolatry (the
people at Mount Sinai and during their wilderness wander-
sacred obligation to worship only Yahveh and not “other
ings, until the twelve Israelite tribes enter Canaan to occupy
gods,” as in exodus 19:5–6, 20:2–3) became monotheism
their patrimonies (through the Book of Joshua). A second his-
(the explicit negation of the ontic reality of other gods, as in
torical cycle, Judges through 2 Kings, deals with the history
Isaiah 45:5–7), the transformation eschewed some of the
of the people in the promised land: The tribes eventually co-
most widespread ancient mythological themes. Rather than
alesce into an Israelite kingdom that in less than a century
describing the birth of the various generations of gods, the
is rent in two. The narrative follows the subsequent history
struggles between them to define their respective sovereign-
of the two kingdoms (extracted, it relates, from royal Chroni-
ties, and the gods’ liaisons with other gods and humans, the
cles, e.g., 1 Kgs. 14:29, 16:5, 16:14, 16:20, 16:27) together
dramatic foreground of the Hebrew scriptures is occupied by
with stories of the prophets who issued judgments on the
human responses to Yahveh’s acts of revelation and salvation,
kings, until the Assyrian destruction of the northern king-
chastisement and consolation. More than embracing narra-
dom of Israel in 722 BCE and the Babylonian conquest of the
tives of a series of specific moments, however, biblical history
southern kingdom of Judah in 587/6 BCE. The fall of the Is-
moved toward a new sense of historical time.
raelite kingdoms is attributed, above all, to God’s punish-
The contrast is made between mythological time, where
ment for idolatry condoned by the rulers (e.g., 2 Kgs. 17:7–
ritual and recitation aim at reexperiencing paradigmatic mo-
18, 21:10–16, 24:3–4). In contrast to the preceding, the
ments, and historic time as a continuum of unrepeatable oc-
Babylonian exile, the return to Zion, and the second com-
casions each possessing independent value. In this regard, the
monwealth are recounted episodically in tales of religious fi-
Hebrew Bible is sometimes described as holding to a linear,
delity in Babylon (Dn. 1–6), accounts of the rebuilding of
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4058
HISTORY: JEWISH VIEWS
the Temple and the reforms of Ezra and Nehemiah (mainly
works were not preserved by the Jews in the original, a medi-
in the books named for these two men), and the story of the
eval Hebrew rendition of these events, sefer yosippon, proba-
near destruction and last-minute salvation of the Jews of the
bly composed in the tenth century in southern Italy, supple-
Persian empire in the Book of Esther. A second interpretation
mented Talmudic legends concerning this catastrophic
of Israelite history up to the Babylonian exile is contained
event. The bulk of traditional Jewish knowledge about post-
in 1 and 2 Chronicles.
biblical history (the Hasmonean and Herodian kingdoms,
the religious movements of the late Second Temple period,
These accounts of the past are completed by a vision of
the revolts against the Romans in the first and second centu-
the future, a conception of the ultimate destiny of humanity.
ries CE, the personalities and actions of the Pharisaic sages
Biblical eschatology is ignored in the historical books but
and influential rabbis of late antiquity) were preserved in an-
present in the prophetic oracles of the “latter time” concern-
ecdotal, often legendary, form in the Babylonian and Jerusa-
ing the prince of justice who will rule the land (Is. 9:2–7,
lem Talmuds and in the Midrash.
11:1–10), a utopian age of worldwide peace (Is. 2:1–5, Mi.
4:1–4), universal worship of Yahveh (Is. 56:6–8, Zec. 8:20–
Biblical history served as a matrix of lessons and models
23), thorough internalization of the covenant and outpour-
reinforced by repeated allusion to the personages and experi-
ing of prophecy (Jer. 31:31–34, Jl. 2:28–29), the pacification
ences of ancient Israel. In the liturgy of holy days, Jews annu-
of nature (Is. 65:17–25, Zec. 14:1–14), and cataclysmic judg-
ally relived the turning points of history as distilled from the
ments vindicating God’s holiness among the nations (Ez.
Bible: creation of the universe (RoDsh ha-Shanah); exodus
38–39; Is. 24–27, 63:1–6). Some of these and other prophet-
from Egypt (Pesah:); revelation of the Torah at Sinai (Sha-
ic visions already show an evolution from the eschatology of
vuEot); divine protection during the wilderness wanderings
classical prophecy to apocalypticism.
under the leadership of Moses (Sukkot); the constant avail-
ability of divine forgiveness and the holy splendor of the
Unlike the classical prophet, who is usually located in
priests, who were the channel for atonement of sin while the
the text according to the rulers of his own time and the his-
Temple stood (Yom Kippur); salvation from threatened ex-
toric situation that he directly addresses, the apocalyptic
termination in the Diaspora (Purim); the miracle of “those
hides behind the name of an earlier personage who presents
days” in Maccabean Jerusalem (H:anukkah); the destruction
a synoptic vision of history through many centuries. For the
of Zion and the Temple (TishEah be-Av). An indication of
apocalyptic, history and eschatology are fused in a preor-
the closure and formalization of the rabbinic conception of
dained sequence from the time of the visionary to the final
history is the emergence in late antiquity of a system of dat-
days. In the most developed apocalyptic material of the He-
ing from the beginning of the world (anno mundi, the era
brew Bible (Dn. 7–12), the subject is the future rise and fall
of creation), which came to serve as a Jewish alternative to
of monstrous pagan empires. Eventually “the saints of the
the Christian chronology based on the birth of Christ and,
Most High” will triumph, God’s dominion will be firmly es-
later, the Muslim system dating from the H:ijrah.
tablished in the earth, “and many of the dead will awaken,
some to eternal life and some to everlasting contempt” (Dn.
The most prominent essentially historic element of
12:2). The extracanonical Jewish apocalyptic literature that
Pharisaic-rabbinic Judaism is the notion of a continuous
took shape between the second century BCE and the second
chain of religious authority from the revelation at Sinai to
century CE sought to sustain the people’s faith that despite
the (moving) present. In the rabbinic worldview Torah is a
appearances to the contrary, the divine plan would culminate
transcendent, premundane blueprint for creation containing
in the destruction of evil and the establishment of God’s di-
God’s purposes for creating humankind and the people of
rect rule over creation. The growth of apocalypticism is but
Israel, and Torah is present in history in two guises: the text
one symptom of a large shift of emphasis, in a period marked
of the Pentateuch (the written Torah) and the unfolding
by a turning away from concrete history to other themes and
body of tradition (the oral Torah) anchored in Moses at
interests in Judaism of late antiquity.
Mount Sinai and growing with the teachings of every genera-
tion of sages. Torah was passed down by word of mouth
HELLENISTIC AND PHARISAIC-RABBINIC VIEWS. While this
from the elders to the prophets to the sages (Avot 1.1), given
transformation was occurring, however, a final burst of an-
a written form in the Mishnah at the end of the second cen-
cient Jewish historiography adumbrated several historical
tury CE, and continuously supplemented by the discussions
concerns of considerable importance of Judaism later. The
and reasoning of the rabbis in the Talmudic yeshivot and
books of the Maccabees, which memorialize the struggle
thereafter. Tracing the chain of reliable authority became a
against the Seleucid king Antiochus IV (r. 175–164 BCE) to
major interest of medieval Jewish historiography.
repress Judaism in Judaea, contain the prototype of the liter-
ature of martyrology (2 Mc. 6–7) developed by medieval
MEDIEVAL AND EARLY MODERN VIEWS. The continuity of
Christian and Jewish writers. Josephus Flavius (37/8–c.
the rabbinic tradition became a polemic issue in the eighth
100), who recorded the Jewish war against Rome between
and ninth centuries with the rise of the Karaites, who denied
66 and 70 CE that eventuated in the destruction of Jerusalem
the authority of the Talmud. The tenth-century Karaite his-
and its Temple, narrated an occurrence of immense practical
toriographer YaEqu¯b al-Qirqisa¯n¯ı viewed as forerunners of
and symbolic importance for Judaism. Although Josephus’s
the Karaite movement the Sadducees of the Second Temple
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HISTORY: JEWISH VIEWS
4059
period, who had rejected the Pharisaic “traditions of the fa-
phy among Jews. Metahistorical elements in qabbalistic liter-
thers” (an early stage of the notion of the oral Torah). In the
ature reached an apogee in the teachings of the sixteenth-
tenth century SheriraD Gaon, head of the Pumbedita yeshi-
century mystic Isaac Luria. Lurianic Qabbalah developed a
vah, composed an epistle defending rabbinic authority by ex-
theology of cosmic redemption based on the principle that
plaining how the corpus of Talmudic literature came into
carrying out the divine commandments with the correct
being, in the course of which he transmitted considerable
mystic intention (kavvanah) liberates divine sparks that had
historical data. The unbroken continuity of the “order of
been scattered abroad and trapped in husks of evil during the
generations” was one of the principal motives of Avraham
processes of cosmic creation. The Lurianic version of the
ibn Daud’s Sefer ha-qabbalah (Book of tradition), a schemat-
Qabbalah, inasmuch as it conceived of human action as nec-
ic account of Jewish history written in the twelfth century
essary to bring the Messiah, lent an intrinsic dignity to the
that contained undertones of messianic expectation.
temporal process that history had not had in Jewish thought
since biblical times. However, these human acts produced
As indicated, in the Middle Ages another impetus to the
their effects in a spiritual realm invisible to mundane eyes.
recording of events in Jewish history was the commemora-
An attempt to apply this theory on the concrete stage of his-
tion of Jewish martyrs. The massacres of the Jews of the
tory, expressing the buildup of messianic tension in early
Rhineland at the inception of the First Crusade was the sub-
modern Jewry, erupted in the short-lived movement around
ject of an Ashkenazic chronicle literature that was augmented
the mystical messiah Shabbetai Tsevi in the 1660s. The revo-
as a result of later crises, such as the massacres of the Jews
lutionary enthusiasm was quickly extinguished among most
in the Ukraine in 1648–1649. However, most of the medi-
Jews.
eval Jewish philosophers had little interest in history as such.
Moses Maimonides (1135/8–1204) considered the reading
MODERN VIEWS. A modern awareness of history entered Ju-
of books of history at best a diversion for one’s leisure hours
daism in the Wissenschaft des Judentums that emerged in Ger-
(The Guide of the Perplexed 1.2) and a waste of time for seri-
many in the 1820s. The proponents of the scientific study
ous scholars who should occupy themselves with jurispru-
of the Jewish past argued that an objective knowledge of Jew-
dence, the natural sciences, and metaphysics. Maimonides
ish history would increase respect for Judaism’s contribu-
does employ history incidentally to explain some of the bibli-
tions to civilization and, at the same time, enable Jews to
cal commandments as means to wean Israel from pagan prac-
grasp the essence of their tradition. However, the critical
tices of the ancient world. Of the medieval Jewish philoso-
methodology of modern scholarship also posed new issues
phers, it was Yehudah ha-Levi (c. 1075–1141), a severe critic
for Judaism (and other revealed traditions) by calling into
of Jewish Aristotelianism, who grounded Jewish faith in the
question the historicity of formative events and persons,
experience of a specific people qualified by their innate apti-
challenging the unity of scripture, and drawing attention to
tude, when in a proper moral condition in the Holy Land,
data that contradicted the presumed continuity of the re-
to receive the Torah. Ha-Levi’s contrast of the abstract, ratio-
ceived tradition.
nal God of the Aristotelian philosophers with the puissant
The religious trends that crystallized in nineteenth-
God of Abraham, Isaac, and Jacob represents a definite, if
century European and American Jewry represent contrasting
limited, turning from metaphysical to historical arguments
strategies of response. The Reform movement perceived Ju-
for the truth value of Jewish faith.
daism as a progressive revelation that is based on the original
Not until the sixteenth century was there a rebirth of
inspiration of Moses and the prophets and has attained its
Jewish historiography akin to that of the Hellenistic era.
most adequate formulation in modern times; for the Re-
Most of the works of this period, by exiles from the Iberian
formers, historical knowledge provided the basis for distin-
Peninsula, are, in form, medieval chronicles in which there
guishing between the authentic kernel of Judaism and the
are sometimes found Renaissance elements (the Shevet: Yehu-
protective husk of law and custom once necessary but no lon-
dah by Shelomoh ibn Verga offers a political and social anal-
ger relevant in postmedieval circumstances. The Positive-
ysis of the expulsion of Jews from Spain in 1492). A truly
Historical approach (which in America became the basis for
pioneering figure in sixteenth-century Jewish historiography
Conservative Judaism) conceived of revelation as in part
was EAzaryah dei Rossi, whose MeDor Eenayim shows the in-
molded by the gradually developing consensus of the historic
fluence of Renaissance humanism in its recovery of Hellenis-
Jewish community, which thereby assured continuity of sa-
tic Jewish texts and critical treatment of Talmudic anecdotes.
cred practice and doctrine. For the Orthodox, Torah was a
timeless, immutable divine instruction for the ideal human
In contrast to this limited interest in historical research
life; intervention in the process of explicating Torah as un-
for its own sake was the qabbalistic interest in history, which
dertaken by the Reformers and, more moderately, by the
was meant to establish the authenticity of its esoteric exegesis
Conservatives in order to bring Judaism in line with the spir-
of the Torah. The most influential text of the Spanish Qab-
it of the times was considered by and large destructive. At
balah, the Zohar, was presented by its thirteenth-century au-
present, both Conservative and Orthodox Judaism (and
thor as the work of a circle of second-century Galilean rabbis,
some Reform figures) emphasize the continuity of the
giving the Zohar a pedigree as old as the Mishnah and ante-
halakhah (religious law) as a normative feature of Judaism
dating by many centuries the spread of rationalistic philoso-
but disagree as to what extent present-day rabbis have 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
4060
HISTORY OF RELIGIONS
right to diverge from earlier sages and the stricter contempo-
ish historiography, see also Salo W. Baron’s History and
rary authorities.
Jewish Historians: Essays and Addresses (Philadelphia, 1964),
and Hist:oriyonim ve-askolot hist:oriyot: Qovets hartsa Dot, 2d ed.
As the nineteenth-century progressed, modern Jewish
(Jerusalem, 1977). On historical consciousness in modern
historiography amassed considerable knowledge of the social
Jewish thought, see Lionel Kochan’s The Jew and His History
and political history of the Jews as well as of the religious and
(New York, 1977) and Nathan Rotenstreich’s Tradition and
literary history of Judaism. Erudite nineteenth- and twenti-
Reality: The Impact of History on Modern Jewish Thought
eth-century scholars (preeminently, Heinrich Graetz) pub-
(New York, 1972). A valuable anthology is Ideas of Jewish
lished works that educated their readers in the complex and
History, edited by Michael A. Meyer (New York, 1974).
variegated Jewish past, enabling Jews to relate positively to
New Sources
their tradition apart from any commitment to theology or
Boyer, Alain, and Maurice-Ruben Hayoun. L’historiographie juive.
religious praxis. Especially in eastern Europe secular views of
Paris, 2001.
Jewish historical identity accompanied the formulation of
Funkenstein, Amos. Perceptions of Jewish History. Los Angeles,
Jewish nationalist and socialist ideologies (e.g., Simon Dub-
1993.
now’s conception of the centrality of Jewish institutions of
Grabbe, Lester L., Did Moses Speak Attic?: Jewish Historiography
self-government in the Diaspora in relation to his ideology
and Scripture in the Hellenistic Period. Sheffield, 2001.
of Jewish Diaspora nationalism, and Jewish socialists and
Marxists who took economic themes and even the class
Myers, David N. Re-inventing the Jewish Past: European Jewish In-
struggle as central). Most important has been the rethinking
tellectuals and the Zionist Return to History. New York, 1995
of the meaning of Jewish history from the Zionist perspec-
Myers, David N., and David B. Ruderman, eds. The Jewish Past
tive, emphasizing the age-old longing for redemption from
Revisited: Reflections on Modern Jewish Historians. New
exile and the centrality of the land of Israel as the ancestral
Haven, Conn., 1998.
homeland to which the Jews were to return to build a new
Postone, Moishe, and Eric Santner, eds. Catastrophe and Meaning:
commonwealth, but, in various ways, also seen as a progres-
The Holocaust and the Twentieth Century. Chicago, 2003.
sive, even revolutionary, advance in history, a kind of active
Rajak, Tessa. The Jewish Dialogue with Greece and Rome: Studies
return to history.
in Cultural and Social Interaction. Leiden and Boston, 2001.
Since World War II a theme that has gained promi-
Schreckenberg, Heinz, and Kurt Schubert. Jewish Historiography
nence in Jewish consciousness is the history of Jewish re-
and Iconography in Early and Medieval Christianity. Assen
sponses to catastrophe. The Holocaust drew attention to re-
and Minneapolis, 1992.
peated cycles of Judeophobia since ancient times and the
ROBERT M. SELTZER (1987)
ways Jewry has understood itself in relation to the nations
Revised Bibliography
of the world. And the Holocaust has raised issues concerning
God’s relation to history (the traditional problem of theodi-
cy), with reverberations in recent Jewish historical and theo-
HISTORY OF RELIGIONS. This article presents an
logical writing.
overview of the history of religions as a scientific discipline.
S
It is not intended to provide a comprehensive survey of the
EE ALSO Apocalypse, article on Jewish Apocalypticism to
the Rabbinic Period; Holocaust, article on Jewish Theologi-
specific data that lie within the province of the historian of
cal Responses; Jewish Studies, article on Jewish Studies from
religions, nor does it attempt to survey the broader history
1818 to 1919; Qabbalah; Torah; Zionism.
of the discipline. The purpose here is rather to provide a brief
description of the nature of the history of religions and to
discuss its methods of research. The first part presents a theo-
BIBLIOGRAPHY
retical examination of the dialectical method proper to the
A magisterial discussion of the subject is Yosef Hayim Yerushal-
discipline. In the second part, attention will be given to the
mi’s Zakhor: Jewish History and Jewish Memory (Seattle,
1982). The problem of history in relationship to mythic
actual field of comparative research through the presentation
thought is the subject of Mircea Eliade’s classic work Cosmos
of a brief historical typology.
and History: The Myth of the Eternal Return (New York,
THEORETICAL OVERVIEW. The discipline of the history of
1954). On the concept of history in the Hebrew scriptures,
religions is characterized by the dialectical relationship that
see John Van Seters’s In Search of History: Historiography in
exists between its object of study and its methods of research.
the Ancient World and the Origins of Biblical History (New
It is, of course, the concept of religion that best defines the
Haven, Conn., 1983). The place of apocalyptic writings in
discipline’s object. This concept, however, though a neces-
Judaism of the second commonwealth period is discussed in
sary precondition for research, is never allowed to function
Michael E. Stone’s Scriptures, Sects, and Visions: A Profile of
Judaism from Ezra to the Jewish Revolts (Philadelphia, 1980).
as an a priori category, which would predetermine the direc-
On Renaissance Jewish historical writing, see in addition to
tion of the historian’s inquiries. Instead, it is held in dialecti-
Yerushalmi’s book, Israel Zinberg’s A History of Jewish Litera-
cal tension with the ongoing progress of research. The meth-
ture, translated by Bernard Martin, vol. 4, chap. 3 (Cincin-
ods employed in this research are in turn adapted to the
nati, 1974). On various aspects of medieval and modern Jew-
deeply historical nature of their subject matter. Such meth-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HISTORY OF RELIGIONS
4061
ods are essentially inductive, intended to grasp religion in its
common an appeal to a univocal conception of religion lo-
concreteness, in its historical creativity, and in its meaning-
cated within a preconceived frame of reference.
fulness for the cultural, social, and individual lives with
It is no solution to counter historical reductionism with
which it is interwoven. The dialectic that emerges from this
an appeal to the irreducible character of religion as perceived
interaction of the concept of religion with specific, ongoing
by the subjective, experiential sensitivity of the phenomenol-
historical investigations may be taken as a distinctive feature
ogist. In both cases, that of the phenomenologist as well as
of the discipline.
that of the historicist, there is an illegitimate appeal to an a
The nature of this dialectical foundation of the history
priori, preconceived conception of religion. It is this a priori
of religions may be clarified by contrasting it with several al-
character of their respective conceptions of religion that is in-
ternative approaches to religion. First of all, it must be distin-
compatible with the positive, inductive, comparative-
guished from the hermeneutical approach, which fixes upon
historical approach proper to the historian of religions and
a single interpretative key to unlock the mysteries of the phe-
to the dialectic that the historian must preserve between his
nomenon under investigation. Hans Jonas’s intelligent appli-
tentative interpretative categories and the ongoing progress
cation of modern existentialist categories, such as the feeling
of his research.
of Geworfenheit (“thrownness”) in his study of Gnosticism,
Theory is equally illegitimate in the history of religions
or Rudolf Otto’s use of the category of the holy, may be
when it is applied in an a priori, undialectical manner. Nev-
taken as examples of such an approach. In either case, the
ertheless, it is not to be rejected out of hand. On the con-
task of accurate historical description and the construction
trary, theory is indispensable when it functions as hypothesis
of a complete and articulate typology of the phenomenon
open to verification, revision, or rejection on the basis of em-
under study are in danger of being neglected. As a result the
pirical research. The distinguished anthropologist E. E.
interpretative key is insufficiently tested against the facts. In
Evans-Pritchard, for example, goes too far in his distrust of
addition, the crucial problems of continuity and change,
theory. He would limit the study of religion to the descrip-
which are unavoidable in the comparative study of religions,
tion of the social and cultural functions of specific religions
tend to be overlooked.
in order to escape the distortions of general theories of reli-
The dialectical character of the history of religions disci-
gion. This is overly cautious. In fact, even though theoretical
pline may also be contrasted with the so-called phenomeno-
biases are unavoidable, arbitrarily reductive positions can be
logical method. This method tends to focus only on the syn-
tested on the basis of positive research and their shortcom-
chronic elements of religion, describing and classifying
ings exposed. An excellent example of this is Andrew Lang’s
religious forms without reference to particular historical con-
criticism of the theory of animism. Using concrete evidence,
texts. It aims at capturing the meaning of religious phenome-
Lang showed that this theory was reductive in its claim to
na without committing itself to an analysis of the historical,
represent the most archaic form of religion. In fact, the theo-
cultural, social, and psychological settings of those phenome-
ry was unable to account for the widespread belief in a high
na. It thereby neglects the study of the diachronic, formative
god among primitive peoples. This use of empirical, histori-
processes that give a religious phenomenon its depth and
cal evidence to test proposed theories or hypotheses provides
endow it with the colors of real life. In the end, the special
ample insurance against the dangers of overextended or re-
sensitivity of the individual phenomenologist is called upon
ductive generalizations.
to fill this gap. No doubt there is something valuable in the
So far I have argued that preconceived or a priori theo-
phenomenologist’s capacity for empathy, or Einführung. But
ries of religion that are not held accountable to the findings
the historian of religions must attend first and foremost to
of historical research remain outside the dialectic that gov-
the fact that the object of his study is a historical object. The
erns the work of the historian of religions. At most, such the-
dialectical processes of creation and change, development,
ories can function as hypotheses awaiting verification. It may
and even revolution escape the phenomenologist’s ahistorical
be helpful now to examine the dialectic itself more closely
gaze.
by focusing on the particular problem of the definition of re-
ligion. How, if at all, are we to arrive at a clear concept of
It would be a mistake to conclude from the inadequacies
religion? And how does this concept function in actual re-
of the phenomenologist’s method that the proper alternative
search? In raising these questions one is immediately con-
lies in historicism. On the contrary, historicism, whether in
fronted with what at first appears to be a methodological im-
its idealistic or materialistic form, must also be distinguished
passe. On the one hand, if such a concept is to escape the
from the approach of a historian of religions. While religion
problems of an a priori characterization of religion, it must
is a decidedly historical phenomenon, it must not be reduced
itself arise out of actual comparative historical study. On the
to history. Historicism makes religion a mere moment in a
other hand, it is hard to see how such comparative study is
dialectic that essentially transcends it. This is as true for
to proceed until this concept is in hand.
Hegel as it is for Marx. In addition to these historical forms
of reductionism, there are sociological and psychological ap-
The concept of religion. The appearance of an impasse
proaches to religion that are reductive as well. Whatever the
is created by the way in which the problem is posed. If we
particular form, however, all forms of reductionism have in
assume that a concept of religion is at the same time a prereq-
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HISTORY OF RELIGIONS
uisite for and a result of comparison, then we are indeed
ject; facts and sets of facts (historical contexts and processes)
faced with an insurmountable paradox. But this is not the
are compared directly, without being submitted to an inter-
case if we resort to a dialectic that unites the notion with its
mediate process of abstract categorization.
employment in such a way as to make them mutually depen-
If the historian of religions cannot rely on a univocal
dent. In this case the concept of religion is inductive in ori-
concept of religion or its deductive use, it follows that he will
gin, and its clarification goes hand in hand with progress in
not be dependent upon philosophy or some metascience for
empirical research.
his categories. On the contrary, it is to be expected that com-
At this point it is clear that an adequate notion of reli-
parative-historical research will seek its categories precisely in
gion is not to be formed through a mere a priori selection
the historical continuities and discontinuities it studies. The
of data to which research should be extended. The primary
historian of religions is not concerned with facts isolated
problem is not to extend a conception of religion over the
from their historical contexts and processes but rather with
widest possible range of material but rather to discover a con-
these contexts and processes themselves. The historian of re-
ception that is adequate to specific historical contexts. The
ligions aims at discovering the degree and quality of the affin-
search for a universally adequate definition of religion can
ity that exists between religions and that warrants character-
lead quickly to a minimal notion of religion, a kind of lowest
izing them as such.
common denominator with no practical usefulness. Such a
Given the empirical nature of the history of religions
univocal definition, which would seek to rank the different
and its interpretative categories, and in particular its analogi-
religions as so many species under a single genus, is clearly
cal conception of religion, it becomes apparent that its find-
inadequate for a fundamentally empirical discipline. Such a
ings can be neither verified nor falsified through appeals to
discipline requires conceptual categories that are continuous-
either a priori reasoning or personal convictions. The sole cri-
ly being created and are always open to further revision in
terion of adequacy becomes empirical. What must be shown
the light of the development of comparative studies. Far
is the adequacy of a particular account to the facts it claims
from being a univocal concept, the notion of religion that
to describe, both the facts of a given historical situation and
emerges from the continued comparison of new and varied
the relationship between one such situation and others. Ulti-
historical materials is an analogical notion.
mately, in the comparative context proper to the discipline,
this will lead to a principle of holism as the final criterion
Things are described analogically when they correspond
of adequacy. Accounts will be more adequate as they encom-
to each other in certain important respects but differ from
pass broader ranges of concrete data.
one another in other, equally important respects. Analogical
notions thus contrast sharply with univocal notions. When
At this point it may be asked why the concept of religion
we apply the term vertebrate, for instance, to a man, a dog,
should be retained at all, even in an analogical sense. Strictly
and a crocodile, we are applying it univocally, since the no-
speaking, one could simply refer to various sets of continui-
tion of vertebrate is integrally and equally realized in each of
ties by the use of arbitrary symbols (x, y, z, and so forth). But
these cases. The same cannot be said of analogical notions.
this analytical procedure would not fit the historical charac-
When we describe both a feather pillow and our summer’s
ter of the discipline, which is rooted in a cultural milieu and
reading as “light,” we are speaking analogically, since the
motivated by a specific intellectual interest. It is not by
quality of lightness applies very differently in each case. To
chance that the problem I am analyzing is termed religion
say, then, that the historian of religions must employ the
and not way, law, or ethos, although the latter terms would
term religion analogically rather than univocally means that
be equally legitimate labels for comparative study. It is for
it cannot be assumed that all the phenomena studied under
historical reasons that this particular field is called compara-
the rubric of religion are all “religious” in the same respect.
tive religion. This does not mean that the validity of the en-
This is especially true when studies extend beyond the con-
terprise is merely relative or Eurocentric. It means only that
text of closely related cultural milieus.
in positing this notion one is conscious that the comparative
study of religions began in a particular historical and cultural
Now, it is exactly the analogical value of the notion of
milieu. It was in this milieu that the term religion came to
religion that relieves it of the impossible task of achieving
be used in analyzing the problem of continuity and change
universal extension while remaining responsive to the specif-
within systems of belief and ritual behavior. It was in this set-
ics of history. If the notion of religion is analogical, the aim
ting that “true” religion began to be contrasted with the
of research will not be the progressive extension of a univocal
“other” religions. Out of this context arose the history of reli-
concept but the documentation of sets of partial affinities be-
gions, which rejected the pretense of evaluating different reli-
tween different systems of belief and practice, which are the
gions normatively (a task, on the other hand, legitimate and
segments of the polychromatic network that constitutes the
unavoidable for philosophy and theology) and instead stud-
variegated world of religion. It is clear that this procedure is
ied them phenomenologically. On this level it could speak
much more in keeping with the comparative-historical aims
both of the universality of religion, since systems of belief
proper to the history of religions than any merely phenome-
and ritual practice more or less comparable with those in the
nological approach. The approach I am describing is meant
West can be found everywhere, and of religions in the plural,
to remain constantly in touch with the concreteness of its ob-
given the clear differences that distinguish these systems.
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HISTORY OF RELIGIONS
4063
These considerations lead us back to the dialectic that
tural context. Such specific, noncomparative studies are nec-
is the basis of the comparative-historical methodology proper
essary but not sufficient. Nor can the comparative-historical
to the history of religions. The emergence of the notion of
research envisioned here be identified with a systematic,
religion among Western students of religion was the result
purely formal typology, nor with a phenomenology that ne-
of just such a dialectic. This notion was not constructed a
glects issues of origin, growth, and change. The goal is rather
priori but was already a part of an elaborate cultural and his-
the establishment of specific sets of synchronic and diachron-
torical milieu that had a Jewish and Christian background.
ic continuities and discontinuities that apply to more than
Increased contact with non-Western forms of religious belief
one religion and perhaps to an entire cultural area. In any
and practice initiated the dialectical development just de-
given case these patterns may be explained either on the basis
scribed. This dialectical study continues today as research is
of cultural diffusion or as the result of independent but paral-
progressively extended to new materials, in harmony with
lel developments. In the latter case, parallelism need not sig-
the progressively broadened experience of the historian of re-
nal a unilinear evolution in the history of religions but may
ligions.
rather point to analogies between specific historical and cul-
tural circumstances.
This open, dialectical character of comparative histori-
cal study will be best served if the actual modalities of this
It will often be difficult to decide whether a given pat-
research reflect a consciousness of the analogical character of
tern is to be explained on the basis of diffusion or parallelism.
its categories, especially the category or notion of religion.
What is important is to avoid an a priori theoretical option
In this way the distortive effects of the forced employment
in favor of either. This was the mistake of those who, in reac-
of univocal terms will be avoided. Dialectical, historical com-
tion to the theories of unilinear evolution typical of the nine-
parison will be free to investigate a wide variety of continui-
teenth century, adopted an equally monolithic hypothesis of
ties between different systems of belief and practice without
universal diffusionism. The fact is that one of the major gains
aiming at the reduction of these to a single, comprehensive,
in the field of comparative-historical research has been the
univocal referent. The result will be a complex, multidimen-
discovery of partly similar cultural achievements in the field
sional map of religion, a map readable in all directions, on
of religion and culture that are not due to phenomena of dif-
which a given feature or set of features will appear now cen-
fusion, not even stimulus diffusion. A typical example is the
tral, now peripheral. Buddhism, for instance, may appear pe-
birth and diffusion of polytheism. The connection of poly-
ripheral when the map is read “theistically” and yet occupy
theistic cults and their typical features (such as theogony,
a central place when viewed in terms of its monastic institu-
theomachy, specialized sanctuaries and priesthoods, anthro-
tions. Similarly, it may appear central when viewed in terms
pomorphic and hypermorphic gods, etc.) with what are
of the widely held belief in transmigration, but more periph-
known as archaic high cultures is too evident to be over-
eral in its denial of the reality of the transmigrating soul.
looked. It is impossible at the present day to explain all such
connections solely on the basis of diffusion, even though a
Holistic approach. In addition to restricting itself to an
diffusionist hypothesis remains obligatory in some well-
analogical use of its interpretative categories in creating such
defined cases (as, for instance, in the case of the widespread
a map of the religious universe, the history of religions must
cultural and religious diffusion of cuneiform literature).
also attempt to be holistic in its approach to its materials. It
must study religious beliefs and practices within the specific
HISTORICAL TYPOLOGY OF RELIGION. Having dwelt on
contexts that give them their full meaning. Within these con-
some methodological issues concerning the history of reli-
texts, functional interpretations will often be of positive
gions as a comparative-historical discipline, I shall turn now
value. This is particularly true in the case of simple societies
to a brief overview of the subject matter of this discipline,
where the functions of religion are relatively undifferentiated
that is, to the presentation of a concise and inevitably selec-
from the rest of social life. But the fundamentally analogical
tive historical typology of religion. But first a few preliminary
character of religion prevents the use of such functional mod-
remarks on earlier attempts to map the most general features
els to explain religion as a whole. As a whole, it remains a
of the religions may be in order.
concrete whole, and the holisms characteristic of the history
of religions must be realized not at the level of univocal theo-
In such earlier attempts we meet with notions that owe
ry but at the level of contextualized historical description.
much to the different cultural epochs in which they were
This description will aim at the construction of an exhaustive
conceived and to the different theories of the origin and de-
historical typology, a multidimensional map of the actual re-
velopment of religion current at the time. Many of these no-
ligious terrain.
tions are a legacy of philosophical and theological discussion.
The best example here is the concept of monotheism, espe-
The achievement of such an historical typology of reli-
cially as contrasted with polytheism, deism, and pantheism.
gions will result from modalities of historical comparison
Many more concepts, including animism, preanimism, ani-
that must be further specified. In the first place, comparative-
matism, manism, and—more ancient than these—fetishism,
historical research in the history of religions must be distin-
owe their origin to the positivistic evolutionary theories typi-
guished from what we may call “idiographic” research,
cal of the nineteenth century. All of these notions were con-
namely, research concentrated on religion in a particular cul-
ceived as expressing primitive or archaic stages of religious
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4064
HISTORY OF RELIGIONS
thought. As such they presupposed a view of religion as pri-
framework for a genuinely historical typology. This initial di-
marily concerned with the mental representation of reality.
vision is between those religions that are described as ethnic
The cultic and ethical aspects of religion were underestimat-
and those that are founded.
ed, as well as the structural and historical complexities of so-
Ethnic religions. Ethnic religions are a part of the cul-
called primitive forms of religion (and it was particularly on
ture of a people and do not owe their origin to a historical
primitive religions that the new history of religions discipline
founder. No single individual has endowed these religious
focused). This rather exclusive emphasis on the conceptual
traditions with the unmistakable impress of his personality.
aspect of religion was typical of nineteenth-century anthro-
Rather, ethnic religions are historical formations that are
pology and should be distinguished from what we may call
originally indistinguishable from the formation processes of
its rational aspect, which had been emphasized both by Scho-
the cultures and populations to which they belong. Ethnic
lastic theology and by the Deism of the eighteenth century.
religions are not restricted to tribal or nonliterate cultures.
These one-sided excesses of the past should serve as a caveat
They may also be found in highly developed literate cultures.
for today’s historian of religions. This does not mean, howev-
Their exact character, which may thus range from unitary to
er, that attention to the conceptual dimensions of religion
syncretistic, depends upon specific cultural and historical cir-
should be lessened or arbitrarily reduced in turn.
cumstances.
A very different but equally problematical approach to
The historical character of ethnic religions, including
the study of religion, one mentioned above, was the descrip-
those of nonliterate cultures, requires that they be studied
tive and interpretative tendency associated with the familiar
holistically. Their actual contents and functions in the ep-
concepts of “the holy” and “the numinous,” a tendency al-
ochs and contexts for which there is documentary evidence
ready in existence before Rudolf Otto’s famous book The
must be closely examined. This must be done without losing
Idea of the Holy (1917, first German edition) gave it a perma-
sight of the changes and adaptations that these traditions un-
nent place in religious studies. This new tendency was the
dergo in the course of time, due to internal, developmental
opposite of the analytical and conceptual approach just men-
tendencies or to influences and stimuli coming from outside.
tioned, and this difference was clearly expressed by Otto’s re-
fusal to conceptualize the experience of the holy or to trace
The fact that even nonliterate ethnic religions are parts
it to a specific source, such as God, the gods, spirits, or any-
of a larger world means that the purely descriptive or “idio-
thing else. Otto’s analysis of the essence of religion as the ex-
graphic” study of these traditions cannot do without a com-
perience of the holy was focused on terms such as immortali-
parative outlook. Comparison becomes inevitable when the
ty, freedom, or the absolute. According to him, man is made
scholar’s attention is drawn to the cross-cultural affinities or
intuitively aware of the transcendent reality to which these
“family resemblances” that link the cultural and religious ex-
terms refer through his experience of their opposites on
pressions of different countries and areas.
earth. Apart from the similarities of this kind of argument
with the ontological argument for the existence of God
Approaches to comparison. Two main approaches to
found in some medieval and modern philosophical systems,
comparison may be distinguished in the history of religions.
the historian of religions must question whether such nega-
The first developed in the nineteenth century, and the other
tive characterizations of the holy are as universal as Otto be-
took shape at the end of that century and at the beginning
lieved. In fact, they appear to be intertwined, from the point
of the twentieth. Each of these warrants a brief discussion be-
of view of both history and metaphysics, with peculiar no-
fore I continue.
tions concerning God, the divine, and religious values, both
The first approach, practiced in the nineteenth century,
on the individual level and, as Walter Baetke aptly pointed
was inseparably linked to evolutionary thought and to the
out, on the social level.
elaboration of general theories concerning the origins and the
A historical typology of religion should avoid the danger
growth of religion on a world scale. It was on this basis that
of employing a merely analytical and classificatory conceptu-
notions such as animism and animatism were introduced
alization, particularly if this is intended to reduce the issue
into what was understood to be scientific research (hence the
of religious ideas and experiences to an issue of mental repre-
German name of this field, still with us, of Religionswissen-
sentations, or to the so-called imaginaire. It should also avoid
schaft). These notions were intended to apply cross-
reliance on selective intuitions in the guise of a scientific phe-
culturally, indeed universally. There is no need to repeat
nomenology of religion. Both attitudes ultimately prove to
what I have already said about the negative reductive tenden-
be reductive and ethnocentric. As was made clear in the pre-
cies implicit in such an approach. It was of course highly re-
vious section, a historical typology of religion will serve to
ductive and arbitrary, insofar as its unilinear evolutionist pre-
map specific sets of analogically related affinities that are nei-
suppositions were effective. But it also had some positive
ther merely conceptual nor phenomenological but in the best
effects, inasmuch as it made possible the identification of
sense historical.
conceptual, ritual, behavioral, and ethical affinities or con-
tinuities that transcended such older categories as idolatry,
Viewed historically, then, religions can be divided into
paganism, and superstition, which were no longer suitable
two broad groups, and this divison will provide the general
for a descriptive approach.
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HISTORY OF RELIGIONS
4065
The rise of a descriptive phenomenology of religion
named Ogo, of the Dogon of West Africa. This discovery
contributed to a further refinement of these new patterns.
and the accompanying insight into the dualistic cosmology
Take, for instance, the case of the notion of shamanism.
that provides the backdrop for such figures would have been
Once shamanism was differentiated from the generic notion
impossible for the classicist or Egyptologist working only
of animism and considered not only as a peculiar element of
within his own speciality. It resulted rather from the compar-
religious behavior but also as an element of a structure imply-
ative method of the historian of religions. This comparative
ing a cosmology and a worldview, it could contribute to the
approach can be particularly successful in the comparison of
transition from an evolutionistic outlook too fond of con-
the mythologies of cultures that belong to the same subconti-
cepts and representations to a cultural-historical study based
nent but have had different histories. It could, for instance,
on the discovery of cultural wholes and cultural areas. In
be expected to shed much light on the difficult question of
other words, the elaboration of a more rigorous, multidimen-
the relationships between ancient Egyptian culture and other
sional, and descriptive phenomenology of religion allowed
African cultures, both in the sense of an African substratum
the history of religions (Religionswissenschaft) to survive the
of Egyptian culture and of an Egyptian influence on sub-
inevitable crisis of evolutionism and its universal and unilin-
Saharan Africa.
ear stages and to enter a more rewarding phase characterized
by a new form of comparison, namely cultural-historical
Another fascinating problem for comparative research
comparison.
concerns the continuities and discontinuities between the
nonliterate cultures and religions on the one hand and the
This new form of comparison proved effective when, at
high cultures and their religious systems on the other. Given
the beginning of the twentieth century, cultural-historical re-
the differences that exist between them as well as the differ-
search was able to concentrate on area studies, as in the pio-
ences that exist within the respective traditions themselves,
neering works of Bernhard Ankermann and Leo Frobenius
the question of their mutual interrelationships becomes quite
(on Africa), Fritz Graebner (on Oceania), and Franz Boas
complex. Particularly important is the question of the partial
(on the North Pacific). On this basis it was possible to con-
continuities that exist between the high gods of some nonlit-
nect phenomenological and historical research in the study
erate cultures and the heavenly deities who head the panthe-
of a particular group of ethnic religions belonging to nonlit-
ons of some of the typical polytheistic formations in the high
erate cultures. In this way the originally negative term nonlit-
cultures of antiquity. This kind of partial continuity, which
erate acquired positive content. Nonliterate ethnic traditions
sometimes extends to founded and universalistic religions as
became definable on the basis of undeniable categorical con-
well (as in the case of the God of heaven among the Israelites
tinuities (e.g., shamanism) that were at the same time specific
and the high divinity of pre-Islamic Arabia), is one of the
to particular areas. As a result, the so-called primitive reli-
most interesting phenomena in the history of religions.
gions ceased to be studied in terms of a procrustean bed of
an alleged, indiscriminate primitivism. Such attributions
Monotheism and polytheism. Closely connected to
now had to be demonstrated on the basis of cultural-
the question of continuities between cultures is the question
historical inquiry. In this way the study of nonliterate reli-
of the exact nature of monotheism. This question has been
gions entered with full rights into the field of religio-
the subject of a long debate within the history of religions.
historical research proper. At the same time, the historian of
Some have claimed to find monotheism in the religions of
religions was not obliged to renounce his fundamental inter-
nonliterate cultures, particularly among hunters and gather-
est in comparison and (where appropriate) study of historical
ers. Others, in contrast, have viewed it as a late phenomenon
development, two aspects that had been neglected by the
in the process of evolution, or even, as Raffaele Pettazzoni
heirs of the older anthropological methods and the practi-
put it, as a revolutionary stance against a preceding form of
tioners of an exclusively functional social anthropological re-
polytheism. Actually these alternatives cannot be formulated
search.
so rigidly. The explicit and polemical formulations of mono-
theism that we find in the Bible and the QurDa¯n have little
High cultures. I have already noted that ethnic reli-
in common with the high gods of contemporaneous nonlit-
gions are found among literate as well as nonliterate cultures.
erate cultures. Although the latter are not necessarily dei otio-
In particular, the high cultures of antiquity produced ethnic
si, severed from the cult and from the world of men, they
religious traditions that make special demands on the histori-
are nevertheless far from the intense dynamism of the God
an. Study of them requires a philological competence that
of the Bible and the QurDa¯n. It must be admitted that not
clearly excludes any simplistic or superficially phenomeno-
all religious complexes extraneous to polytheism are ipso facto
logical approach. It remains true, however, that even the his-
monotheistic. The most developed polytheistic systems did
torian of religions lacking such specialized knowledge can
not “evolve” in the direction of monotheism, nor did they
still contribute to a fuller understanding of these religions on
express a revolutionary movement in that direction. Rather,
the basis of his typological-historical experience. Take, as an
they tended to become progressively monistic, elaborating
example, the discovery of some of the classical characteristics
the notion of a deity who is “polyonymous” (as is Isis in the
of the demiurgic trickster in such diverse figures as the Greek
aretalogies of the Hellenistic period) or is pantheos, a god
Prometheus, the ancient Egyptian Seth, and Yurugu, also
containing all the gods. In its most mature form, such a deity
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4066
HISTORY OF RELIGIONS
was conceived as “theopantistic,” that is, as identical with the
the Greek pantheon, Zeus, and to all types of religious, ethi-
cosmos and at the same time transcending it. Such is the pic-
cal, philosophical, and symbolic notions.
ture of Zeus presented in an Orphic poem: “Zeus is the be-
I have already had occasion to note that the general type
ginning (or head), Zeus is the middle, from Zeus all things
that I have identified as ethnic religions and contrasted with
came into existence,” or in a fragment of Aeschylus: “Zeus
founded religions admits of a certain amount of internal di-
is all these things, and what is beyond them.” This assess-
versity. Thus ethnic religions need not be those of nonliterate
ment of Zeus bears comparison with the theopantistic specu-
tribal societies but may also be found in more complex liter-
lation concerning the figure of Purusa in Vedic India.
ate societies. I shall now introduce two further subtypes of
It is important to realize that polytheism, as a historical
ethnic religions, those that are scriptural and those that are
type of religion, is much more specific than a merely formal
national.
notion of a plurality of gods. In fact, polytheism is not found
Scriptural and national religions. Some ethnic reli-
in all types of culture, but is specifically linked to the high
gions are in fact characterized by the existence of sacred scrip-
cultures of antiquity (and also to some in modern times, par-
tures, organized on the basis of a “canon.” Acceptance of
ticularly in East and South Asia). These cultures characteris-
these is considered an essential aspect of religious affiliation.
tically possess an advanced form of cereal agriculture and
The outstanding example is the function of the Vedas in
show a degree of social stratification, with an attendant dif-
Hinduism. Ethnic religions possessing scriptures exist in a
ferentiation of classes, professions (including scribes), a
situation midway between the nonscriptural religions of trib-
priesthood and nobility, established sanctuaries, and the like.
al societies, where religious affiliation is indistinguishable
The cosmos itself is represented as having a departmental or-
from the simple fact of social life, and at the other extreme,
ganization. Such cultures are found in the ancient Mediterra-
the universal religions, where the individual as such becomes
nean area, and in West, South, and East Asia. Further in-
a convert to the “good news” of a prophetic message written
stances can be found in the Nordic countries of Europe, in
down in a book.
Central America and Peru, in the medieval kingdoms of the
Another important subtype among ethnic religions is
Sudan (owing to Mediterranean influences), and to an extent
that of the national religions, those cults that promote a na-
in Polynesia. The social and historical specificity of polythe-
tional and political consciousness. This is the case with state
ism as a religious type would seem to require that opposition
Shinto as practiced in some periods of Japanese history, with
between it and monotheism become acute only in particular
some forms of Hinduism, with Zoroastrianism in the Sa-
historical and religious situations. Such situations include the
sanid empire, and with the official cults in ancient Rome,
historical emergence of the Hebrew people and their religion
such as the cult of Capitoline Jupiter and the cult of the em-
in the Near East, the vogue of the cult of Ahura Mazda in
peror. It must be added that some of the founded religions
Iran, the rise and diffusion of Christianity in the Mediterra-
may initially embrace a national outlook. Islam, for instance,
nean world, and the preaching of Muhammad against the re-
may have been conceived originally as a prophetic message
ligion of the pre-Islamic Arabs. Clearly, the problem of poly-
addressed to the Arab nation, although, to be sure, it is con-
theism and its relation to monotheism is not to be solved on
sidered to be the final form of the historical revelation of
the basis of a general phenomenological “stratigraphy” of re-
God. The situation is similar in Judaism, whose universalism
ligion and its main forms, any more than it was solved by
was mediated through the entire course of Hebrew history.
a unilinear evolutionism. It is not a question of relative an-
There were also particular occasions when Christianity,
teriority between polytheism and monotheism, homoge-
though possessed of a universalist message, became bound up
neous in themselves, but of specific, noninterchangeable his-
with specific national, cultural, and political interests, as, for
torical formations that can interact with different types of
instance, those of the Byzantine empire.
religious and cultural organization. Monotheistic formations
Founded religions. I shall now look more closely at the
may present themselves either as immemorial tradition, as a
founded religions, which include, in addition to Judaism,
novelty, or as the message of the one God and his triumph
Christianity, and Islam, the religions of Zarathushtra (Zoro-
over false deities. Other formations could have evolved into
aster) and the Buddha, the religion of the Sikhs, and, with
pantheons that inspired and also reflected the complex orga-
certain qualifications, the plethora of prophetic-nativistic
nization of the high cultures of antiquity. Roman religion,
cults and the “new religions.” These traditions, which all
for instance, is the product of many different cultural influ-
trace their origin to a specific historical founder, raise funda-
ences, having been almost completely reshaped in the course
mental historical questions. When a religion is founded, this
of time on the basis of long-lasting Greek influence (particu-
obviously takes place in a cultural milieu already character-
larly in its pantheon). Nevertheless, it never lost its continu-
ized by specific religious notions and institutions. The rela-
ity with its most primitive expressions. Among these was the
tion of the prophet or founder and his original followers to
notion of a heavenly god, Jupiter, who had an Indo-
this milieu may vary considerably, depending on whether the
European heritage. This god was to dominate Roman reli-
preceding religious environment had been predominantly of
gion under the name of Optimus Maximus, yet this did not
the ethnic type or had already known prophets and forerun-
prevent him from being assimilated to the supreme god of
ners. In general there is a vivid sense of novelty in the founda-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HISTORY OF RELIGIONS
4067
tion of these religions, sometimes even a revolutionary novel-
system of a single individual and in a single cultural milieu,
ty. The founder nevertheless often conceives his mission as
with other forms of locally preexistent religious belief and
in part a restoration of primordial values long since lost. In
practice. This is especially evident in contemporary Japan,
some cases this question of partial continuity is decisive and
where a single individual may have a double allegiance to
helps illuminate the religious quality of the founder’s mes-
Buddhism and Shinto, according to the circumstances. The
sage. This can be seen in the case of Buddhism. Many of the
rather peculiar status of the universalism of Buddhism
notions fundamental to Buddhist doctrine, such as dharma,
is linked to the equally peculiar status of Buddhism as a
karman, sam:sa¯ra, and moks:a, already played an important re-
“religion.”
ligious role in India at the time of the Buddha. An under-
Finally, another historical type of religion is comprised
standing of the Buddha’s appropriation and modification of
of those mysteriosophic (i.e., Orphic) and Gnostic move-
these terms is thus of great importance for a typological as-
ments of antiquity and the Middle Ages that drew heavily
sessment of his message as a “religious” message, bound up
on the universal religions of Christianity, Islam, and Zoroas-
with the religious traditions that preceded him.
trianism, borrowing many of their basic terms but totally re-
Among the founded religions the universal religions
shaping them to suit their own needs. This procedure is
stand out as a definite subtype. These religions are based on
found as well in the scientistic theosophy of some contempo-
a universal message of salvation, not limited to any particular
rary Gnostics, whose reinterpretations of the basic tenets of
group, ethnic or otherwise. They are characterized both by
different religions are for the most part superficial.
eschatological and otherworldly perspectives and by strong
this-worldly ethical and social commitments. Their message
BIBLIOGRAPHY
is addressed to the individual and demands conversion and
For further discussion of the questions raised in this entry, the
adherence to a religious community that, in sociological
reader is referred to Problems and Methods of the History of
terms, may be described as a church. This community typi-
Religions, edited by Alessandro Bausani, C. Jouco Bleeker,
and myself (Leiden, 1972), to my book The History of Reli-
cally undergoes a rapid initial expansion, sometimes suffers
gions, (Leiden, 1975), and to The History of Religions: Retro-
persecution, and actively engages in missionary activities
spect and Prospect, edited by Joseph M. Kitagawa (New York,
aimed at making new converts. These characteristics clearly
1985). As general references on the history of religions, the
distinguish the universal religions from the ethnic and na-
following works are also recommended.
tional religions, even though, as noted above, universal reli-
Baaren, Th. P. van, and H. J. M. Drijvers, eds. Religion, Culture
gions may occasionally become closely associated with specif-
and Methodology. The Hague, 1973.
ic cultures.
Baird, Robert D. Category Formation and the History of Religions.
The emphasis on a universal message and personal con-
The Hague, 1971.
version in response to it, an emphasis that transcends all ra-
Banton, Michael, ed. Anthropological Approaches to the Study of Re-
cial and social barriers, differentiates the universalistic reli-
ligion. London, 1966.
gions from the cults of antiquity that were sometimes their
Bianchi, Ugo. Probleme der Religionsgeschichte. Göttingen, 1964.
rivals. These cults, such as the mystery religions, would be
better described as cosmopolitan rather than universal. Un-
Eliade, Mircea. The Quest: History and Meaning in Religion. Chi-
cago, 1969.
like commitment to any of the universal religions, participa-
tion in such cults could coexist with whatever other religious
Eliade, Mircea, and Joseph M. Kitagawa, eds. The History of Reli-
commitments an individual might have had, such as to the
gions: Essays in Methodology. Chicago, 1959.
gods of the tribe, city, or state; the universal religions, howev-
Evans-Pritchard, E. E. Theories of Primitive Religion. Oxford,
er, demanded the individual’s total allegiance.
1965.
Graebner, Fritz. Die Methode der Ethnologie (1911). Reprint,
This contrast becomes less clear in the case of the syn-
Oosterhout, 1966.
cretistic tendencies found at the popular levels of the univer-
sal religions. Christianity and Islam, for instance, have been
Honko, Lauri, ed. Science of Religion: Studies in Methodology. The
influenced, in some of their popular or ethnic manifestations
Hague, 1979.
in South America and Africa respectively, by local traditions
Kitagawa, Joseph M., ed. The History of Religions: Essays on the
of animism or “spiritism.” The same lack of a clear differenti-
Problem of Understanding. Chicago, 1967.
ation between the universal and the local is found in the pro-
Lanczkowski, Günter. Religionswissenschaft als Problem und Aufga-
phetic-nativistic cults that reinterpret the message of the
be. Tübingen, 1965.
great universal religions in strictly local terms, although not
Lanczkowski, Günter, comp. Selbstverständnis und Wesen der Reli-
infrequently these same cults are inimical to preexisting
gionswissenschaft. Darmstadt, 1974.
forms of local magic and sorcery.
Lang, Andrew. The Making of Religion. 3d ed. New York, 1909.
The case of Buddhism is somewhat unique. Although
Pettazzoni, Raffaele. L’essere supremo nelle religioni primitive.
it displays many of the features that were attributed above
Turin, 1957.
to the universal religions, it nevertheless resembles the mys-
Pinard de la Boullaye, Henri. L’étude comparée des religions. 4th
tery cults of antiquity in its ability to coexist, in the belief
ed. 3 vols. Paris, 1929–1931.
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
4068
HITTITE RELIGION
Puech, Henri-Charles, ed. Histoire des religions, vol. 1. Paris, 1970.
texts concur in depicting them in human terms. Gods need-
Pye, Michael. Comparative Religion. New York, 1972.
ed to eat, drink, sleep, and exercise. They needed compan-
Rudolph, Kurt. Die Religionsgeschichte an der Leipziger Universität
ionship, ego-building, and love (including sexual inter-
und die Entwicklung der Religionswissenschaft. Berlin, 1962.
course). They made mistakes through lack of knowledge.
Rupp, Alfred. Religion, Phänomen und Geschichte: Prolegomena zur
They could be deceived. They needed to be informed by oth-
Methodologie der Religionsgeschichte. Saarbrücken, 1978.
ers. Each possessed a specialized skill that put him in demand
Schlette, Heinz Robert. Einführung in das Studium der Religionen.
by both mortals and other gods. In myths gods were born
Freiburg, 1971.
and died (i. e., were killed). But very little, if anything, indi-
Schmidt, Wilhelm. Der Ursprung der Gottesidee, vol. 1. 2d ed.
cates that they aged or became senile. That what they did was
Münster, 1926.
not always just or fair is clear from the prayers, in which the
Sharpe, Eric J. Comparative Religion: A History. London, 1975.
human petitioner chides them for mistakes and pleads for
Smart, Ninian. The Science of Religion and the Sociology of Knowl-
fair treatment. Although no god was omniscient, some pos-
edge: Some Methodological Questions. Princeton, 1973.
sessed very wide knowledge and every god was superior to
Waardenburg, Jacques. Classical Approaches to the Study of Reli-
humans in knowledge. In instructions to priests and temple
gion. 2 vols. The Hague, 1973–1974.
officials, mortals who thought to conceal their offenses from
Widengren, Geo. Religionsphänomenologie. Berlin, 1969.
a god were warned of the futility of the attempt. Although
every god was more powerful than any mortal, none was om-
UGO BIANCHI (1987)
nipotent, and degrees of power were quite diverse among
them.
F
HITTITE RELIGION.
UNCTIONS OF A DEITY. As each mortal had his rank and
The exact origin of the Hit-
function in human society, so each deity had his position and
tites, an Indo-European people, is not known. Invading Asia
role, not only among his fellow deities but in concourse with
Minor from the east, by the middle of the second millenni-
humanity and the cosmos.
um BCE they had established an empire covering the greater
part of that region. Their empire declined after 1200 BCE,
General functions. While it is not possible to com-
owing to Indo-European invasions and the growing power
pletely reconstruct the hierarchy of Hittite deities, it is clear
of Assyria.
that in convocations of gods certain figures naturally as-
NAMES OF GODS. Knowledge about Hittite society, culture,
sumed leadership. In the Old Hittite vanishing-god myths
and religion has increased since the deciphering of their cu-
it is the storm god who presides. But although he presides,
neiform writing, on clay tablets found early in the twentieth
he is not always able to enforce his will on the other gods.
century CE at Bogazköy (in Turkey). Hittite society was eth-
He must ask advice, plead his case, and seek volunteers for
nically and linguistically diverse, with Hattian, Hurrian, and
missions. Occasionally he is able to command another figure.
even some Semitic elements, and this diversity is evident in
Hierarchical organization is also seen in the New Hittite
the divine names.
pantheon. There is a fixed sequence in the god-lists in the
The earliest identifiable stratum is the Hattian. The
state treaties, and there is an order of both gods and goddess-
Hattians were resident in central Anatolia before the Indo-
es in the processional reliefs at Yazilikaya, near Bogazköy. In
European Hittites arrived. They had a long tradition of set-
the myths Kingship in Heaven and The Kingship of the God
tled urban life. It is understandable that a people open to in-
Lamma may be seen how rival factions fight over the position
fluences from its neighbors, as the Hittites were, would early
of king of the gods. The god Lamma boasts that his exalted
adopt the worship of Hattian deities. Because the Hattic lan-
position allows him to control the other gods. In the prayers
guage is still very poorly understood, one can only partially
of Hattusilis III and of his queen, Puduhepa, lower-ranked
understand the meanings of the divine names. Some are
gods are requested to present the mortals’ prayers favorably
common nouns for elements of nature: Eshtan (“sun, day”)
to their superiors in the pantheon. To be sure, the question
Izzishtanu (“favorable day”), Kashku (“moon”), Kait
is not entirely one of rank. The intercessor god is usually a
(“grain”). Others denote status: Kattahha (“queen”),
favorite child or grandchild of the senior god. Indeed, the hi-
Wurunkatte (“king of the land”), Shulinkatte (“king of the
erarchy described is that of a large, extended family in which
suli”), Kattishhabi (“king god”), Teteshhawi (“great god”).
the patriarch and matriarch possess considerable power to di-
The Hurrian language is better understood than Hattic.
rect their descendants and the descendants of their brothers
Still, because the number of Hurrian words that can be trans-
and sisters.
lated is not large, it is not possible to interpret many Hurrian
In their prayers the Hittites reminded the gods that they
divine names. The influence of Sumerian and Akkadian reli-
required worshipers who would bring regular food-offerings;
gious vocabulary and divine epithets is obvious. Aya, Ishhara,
thus it was in their own interest that they protect and bless
Ellil (Enlil), Anu, and Alalu were originally Mesopotamian
the community of faithful worshipers. But aside from this
deities.
maintenance of the cult, mortal assistance was rarely needed
NATURE OF DEITY. In Hittite art the gods were depicted ei-
by the gods. In a mythological context one sees examples in
ther by their animal totems or anthropomorphically. The
the two versions of the Illuyanka myth. The disabled storm
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HITTITE RELIGION
4069
god must be helped to vanquish his adversary, the great ser-
ly Hurrianized pantheon, with deities of the Hattian and
pent Illuyanka. On the divine level he is assisted by the god-
Hittite-Luwian strata syncretized, where possible, with Hur-
dess Inara. She in turn, for no obvious reason, needs the help
rian deities. This process of syncretism made possible a con-
of the mortal Hupashiya, which she bargains for by consent-
siderable reduction in the total number of deities, because
ing to have sexual intercourse with him. But though she sub-
several could be included under one (in this case, Hurrian)
sequently lives with him as a sex partner, she dominates him
name. Other divine names in the inscriptions may represent
completely and apparently punishes his unfaithfulness to her
either gods without a cult (e.g. purely literary figures) or gods
with death. Outside of the mythological texts, when a god
from cult sites away from the capital who were never admit-
needed the service of a mortal he revealed himself through
ted into the official state cult.
omen, oracle, or dream. His request was always viewed as a
M
command, which could not be ignored.
YTHOLOGY. Mythological texts in the Hittite language
may be subdivided into two groups: those of Anatolian ori-
Gods “served” mortals by ensuring material prosperity,
gin and those of foreign origin. Myths deriving from Old
protecting them from enemies and natural catastrophes,
Hittite originals are all Anatolian. The deities who figure in
hearing their prayers, making known to them their sins, and
the Old Hittite Telepinu and Illuyanka myths and the other
forgiving them (sometimes after a punishment). Although
disappearing-god myths are a mix of what Emmanuel Laro-
the Hittites apparently believed in an afterlife, at least for
che calls Hattian and Asianic. The myth of the moon falling
their kings and queens, there is no evidence that they prayed
from heaven occurs in both a Hattic and a Hittite version.
or made sacrifices in order to obtain life after death or a bet-
There is very little about the Hittite version that linguistically
ter quality of existence in that afterlife.
recalls Old Hittite, yet it is surely possible that a long tradi-
tion of recopying has removed almost all traces of its original
Specialized functions. Just as there were storm gods
Old Hittite language. Although Kamrushepa is a Hittite re-
who sent rain and winds to fertilize the crops and make them
placement for the original Hattic name of this goddess of
prosper, so there were deities of grain and vineyards, deities
magic, there is no reason to doubt that the myths in which
of the rivers who gave water for irrigation, deities of springs,
she figures also belong to this Hattian group. All of the Ana-
deities of the forest, and deities of wildlife who gave success
tolian myths are associated with incantations or rituals. The
in hunting. Under the influence of Mesopotamian concepts,
myths of non-Anatolian origin are all post-Old Hittite. They
the sun god Ishtanu was the all-seeing dispenser of justice to
are generally independent of any incantation or ritual. One
humans and even to animals. There were war gods (the Za-
exception is the Ashertu myth, part of which describes a ritu-
baba type) who gave victory to the Hittite armies. There was
al to exorcize and purify Baal.
a god who could confer invisibility on the Hittite troops and
enable them to attack the enemy by surprise. There were dei-
Vanishing-god myths. These myths, the best known of
ties who sent and withdrew plagues, both upon the Hittites
which is about the god Telepinu, are paradigms for dealing
and their enemies. There were deities of human sexual po-
with natural catastrophes such as drought, blight, and diseas-
tency. And although one might ask one’s personal god for
es affecting livestock. The god who disappears must be locat-
any of these boons, there were divine specialists for many
ed, appeased, and brought back. On the mythological level
tasks.
this is accomplished by nonhuman agents. The bee searches
for, finds, and stings awake the sleeping god. The goddess
PANTHEON. The Hittites called the aggregate of gods and
Kamrushepa carries out a ritual to appease him. When trans-
goddesses “the thousand gods,” and there may indeed have
ferred to the real world of those who are suffering from such
been that many. The total number of divine names known
a catastrophe, the search for the missing god entails a deter-
from the tablets and inscriptions is slightly more than six
mination by oracle of which god is angry. Texts recording
hundred, a total arrived at by culling the entire written cor-
such oracular inquiry are extremely common in the New
pus. The number of deities worshiped in any one Hittite city
Hittite period, but have now been identified in the Old Hit-
or town would be much smaller. Lists of divine names are
tite script, showing that his procedure was probably as com-
found in state treaties, where the gods of both contracting
mon in the earlier period as in the later one. The pacification
parties are invoked to ensure that the oaths taken will be
and return of the god is accomplished by a magic ritual of
kept. Divine names are sometimes listed together with offer-
the type called mugawar in Hittite. Directions for such mu-
ings to be made to them either at a particular festival or dur-
gawars accompany the vanishing-god myths; other muga-
ing the course of a year. In the famous imperial sanctuary at
wars are described in ritual texts. It is a characteristic ritual
Yazilikaya, carved in low relief on the walls of the sanctuary,
form among the Hittites.
is a dual procession of gods and goddesses, the males pro-
ceeding from left to right and the females from right to left,
Illuyanka myths. Two stories on the same tablet are
with the chief male and female deities meeting at the archi-
about the conflict between the storm god and his antagonist,
tectural focus point. The total number of divine figures in
the great serpent Illuyanka. Illuyanka is in fact not a name
the preserved parts of the two processions is seventy-one.
but a common noun, meaning “serpent” or “snake.” But this
This assemblage represents the official imperial pantheon of
particular reptile is clearly large and strong enough to have
the last half century of the Hittite kingdom. It is a complete-
once defeated and disabled the storm god. In both stories the
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4070
HITTITE RELIGION
initially defeated storm god secures the help of a mortal who
a portion is preserved, were edited almost forty years ago as
utilizes a trick to help the storm god triumph in his return
Hurrian tales in Hittite translation. But it is now known that
match with the reptile. In the first version the goddess Inara
only the Keshshi story has a Hurrian background. No names
and her mortal partner, Hupashiya, make Illuyanka and his
in the Appu story, either of gods or humans, are Hurrian,
brood drunk so that they cannot go back down into their
although the geographical setting appears to be somewhere
hole in the ground. While they are helplessly drunk, Hu-
to the east of Mesopotamia. Nor is there any indication of
pashiya ties them up, and when the storm god comes he is
Hurrian elements in the Cow and the Fisherman. The fisher-
able to kill them. In the second version the storm god’s own
man’s city is Urma, which is unlocalized. Keshshi marries a
son by a mortal woman marries the daughter of Illuyanka
woman with the Hurrian name Shintalimeni, whose brother
and apparently uses his right as a son-in-law to ask a gift from
is Udubsharri. The theme of the Appu story is twofold: (1)
Illuyanka. He receives his father’s eyes and heart, which he
One cannot escape the fate that marks one at birth; and (2)
passes on to the storm god. Renewed in his powers, the storm
although evil appears to prevail for a time, the justice of the
god defeats Illuyanka.
gods will ultimately triumph. Appu has two sons, to whom
Like the vanishing-god myths, these two stories express
the names Unjust and Just are given, and they grow up to
natural catastrophes in the mythological terms of a disabled
fulfill their names. Unjust takes advantage of Just until their
storm god. The disabled god is incapable of restoring himself
case comes to the attention of the gods. And although the
and needs mortal cooperation, which is but a mythological
end of the story is on a part of the tablet that has broken
counterpart of the actual mortal activity in the realm of
away, the short prooemium introducing the story predicts
magic rituals. The breakdown in nature is expressed mytho-
the end: The gods always vindicate the just and destroy the
logically as a giant serpent that must be subdued and killed.
unjust.
Reptiles are not a common symbol of evil in Hittite, but it
Not enough is preserved of the Cow and Fisherman to
is a fact that in the New Hittite myth of Hedammu a giant
discern a theme. Very little is preserved also of the Keshshi
reptile is opposed by the goddess Ishtar. Unlike other Hittite
story, but it appears that Keshshi has angered the gods by ne-
myths, the first version of the Illuyanka story is localized,
glecting their cult and doting on his new wife, and that he
through the mention of the land of Tarukka, in north-central
will suffer for this.
Anatolia. The second version takes place near an unnamed
sea.
Baal, Elkunirsha, and Ashertu. This West Semitic
Kumarbi cycle. The theme of this group of stories is
myth about three deities, familiar from the Ugartic myths
kingship among the gods. In Kingship in Heaven kingship is
and the Old Testament, was somewhat inaccurately translat-
first held by Alalu, one of a previous generation of gods, who
ed into Hittite. Clues to the wording of the West Semitic
at the time of the Hittite storyteller are envisaged as dwelling
original can be found in those places where parallelismus
in the netherworld and who bear the name “former gods.”
membrorum in the original was distorted in translation. The
After a mere nine years of reign Alalu is driven from his
story iteself resembles the incident of the patriarch Joseph
throne by his erstwhile cupbearer, Anu, and he takes refuge
and Potiphar’s wife. Ashertu propositions Baal, and when he
in the netherworld. Alalu’s own son, Kumarbi, becomes
refuses, she threatens to get even. He reports the incident to
Anu’s cupbearer for nine years. Then Anu and Kumarbi do
her husband, Elkunirsha, who gives him permission to hum-
battle, and Kumarbi drives his father’s usurper from the
ble her. He does so, telling her that he has killed her sons.
throne. Because Anu (Sum., An) was the god of the sky, he
Thereupon Ashertu laments their death and eventually be-
tries to escape to the sky. But Kumarbi catches him, drags
comes reconciled to Elkunirsha, even turning him against
him down, and emasculates him by biting off and swallowing
Baal. Ishtar (Astarte), Baal’s sister, overhears them plotting
his genitals. Anu curses Kumarbi and prophesies the birth,
against her brother and flies “like a bird” to meet him in the
from the swallowed genitals, of the god who will ultimately
desert, where she warns him. There the tablet breaks off,
displace Kumarbi. Because Kumarbi is Alalu’s son, he hopes
leaving the narrative unfinished. An attached ritual describes
to prevent his own removal by Anu’s issue. This is the moti-
the purification of Ball, which probably followed some injury
vation for the emasculation. But fate cannot be denied. The
to him connected with this plot.
genitals produce in Kumarbi several gods who are “born”
THE HITTITE TEMPLE. Six Hittite temples have been exca-
from him, one of whom is Teshub, the storm god, who even-
vated at Bogazköy. In addition to the cella, where the cult
tually deposes Kumarbi. In the Song of Ullikummi the de-
image of the deity was found, each contained a number of
posed Kumarbi produces issue of his own, a great stone mon-
rooms that were used to house the permanent personnel and
ster conceived by his intercourse with a huge rock, to depose
to store temple revenues. Each temple had a central court-
and destroy Teshub. Another myth in this cycle, the Kingship
yard. Worshipers crossing the courtyard from the temple en-
of Lamma, also treats the theme of kingship among the gods.
trance passed through a portico into the cella, which appar-
Thus the entire cycle of Kumarbi myths deals with struggle
ently could accommodate only priests and a small number
among the gods for supremacy.
of worshipers. Some larger temples, such as the principal
Tales of Appu, the Cow and the Fisherman, and the
temple in the lower city at Bogazköy (Temple I), may have
Hunter Keshshi. These stories, of which unfortunately only
contained two or more cellae and therefore housed the 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
HITTITE RELIGION
4071
images of more than one god. In the terminology of the texts,
The larger temples also maintained a staff of craftsmen.
therefore, going from the “house” of god A to the “house”
A list of the craftsmen employed in the main temple at Bo-
of god B might have been possible without leaving the con-
gazköy enumerates goldsmiths and silversmiths, potters, lea-
fines of a single multiroomed structure.
therworkers, stonecutters, engravers, weavers, kitchen per-
As in other cultures, the Hittite temple—through its
sonnel, and various kinds of musicians. They lived and
craftsmen personnel, its real estate farmed by sharecroppers,
worked in a precinct just south of the main temple complex.
and its shares of booty taken by the king in battle—generated
Surviving texts describe the elaborate measures taken to en-
a large amount of revenue. Because of the lack of private eco-
sure the ritual purity of these temple workers and their coun-
nomic documents, it cannot be discerned whether in Hatti,
terparts who served the needs of the king. Temple watchmen
as in Babylonia, the temple served as a lending agency, simi-
patrolled the precincts night and day to guard against fire
lar to a modern bank. It is not, however, improbable that it
and the intrusion of unwanted “unclean” animals. Visitors
did so.
had to be escorted by temple guards from the main entrance
to their appointments inside the temple and back to the exit
Cult images. Although, thanks to rock reliefs depicting
once their business was done. Unauthorized persons were
Hittite gods and goddesses, researchers have some idea of the
not allowed access to the holy precincts. In general, foreign-
appearance of their cult images, these latter (being made of
ers were not allowed in the Hittite temple; only privileged
precious metals, which would have been carried off by the
foreigners, perhaps ambassadors at the court, were allowed
destroyers of Bogazköy) have not survived. Small images in
admittance under special circumstances.
gold or silver have indeed survived, but the full-size cult im-
ages that stood in the temple cella have not. About these
Cultus. As stated above, the gods were treated like rich
there is information in the inventory texts called statue de-
and powerful men. The description of the transporting of the
scriptions, which give a fairly good idea of the appearance
images uses verbs inappropriate to the transporting of living
of the statues. Here is a quoted example.
persons, indicating that the Hittites were well aware that the
image was not in fact the god but merely symbolized his pres-
The Storm God of Invocation: a gold statue of a stand-
ence. Still, the image was treated with the same deference
ing man with wings coming out of his shoulders. In his
that would be paid to any important personage. It was put
right hand he holds a gold ax. In his left hand a gold
symbol of good. He stands on an awiti-animal, its teeth
to bed at night in the god’s bedroom. In the morning it was
plated with silver, its chest plated with gold. To the left
aroused, washed and groomed, presented with food, and
and right of the wings stand [the attendant goddesses]
brought out to its cult platform for the day’s round of receiv-
Ninatta and Kulitta. The Storm God of the Sky: a gold-
ing visitors (priests, dignitaries, and so on). On festival days
plated statue of a seated man. In his right hand he holds
it was put on a litter and carried through the streets to a
a hattalla-club. In his left hand he holds a gold symbol
pleasant meadow outside the city, where ceremonies, prayers,
of good. On top of two mountain gods, portrayed as
offerings, and even music, acrobatics, and games were per-
standing men, silver-plated. Underneath is a silver base.
formed to entertain the deity. The invisible divine beings
Two silver rhytons. . . . The Storm God of the
symbolized by these statues were also viewed as leading a
House: a silver model of a bull’s head and neck, facing
busy and active life. Ritual prayers invoking their presence
forward. . . . The Warrior God (Zababa): a silver stat-
in times of great need recognized that the god in question
ue of a standing man. In his right hand he holds a tukul-
mace. In his left hand he holds a shield. Underneath
might have gone on a journey to the mountains or even to
stands a lion. Under the lion is a silver-plated base . . .
some foreign land.
one silver ashshuzeri-vessel. He has no attendant. Sun
No extant tablet contains the entire cultic calendar for
God of the Sky: a silver statue of a seated man. On his
the temples of Bogazköy. Texts describing festivals, however,
head are silver fishes. Beneath him is a wooden base.
make it evident that the busiest seasons of the year for festi-
From reports of oracle inquiries one learns that the god was
vals were fall and spring. The summer was occupied with
thought to be angered when the platings of gold and silver
harvesting and with the king’s annual military campaigns. In
on his statue became worn. When an oracle indicated this,
the winter it was too cold for the outside activity often re-
the king had to instruct goldsmiths or silversmiths to replate
quired at festivals, although it is now known that the Festival
the image.
of the Year took place toward the end of the winter. There
Temple personnel. Periodically, the king commis-
exist elaborate descriptions of some of the major festivals and
sioned a census of the temples of the realm. Each city, town,
lists naming many other festivals about which relatively little
or village was listed with its deities and temple(s). For each
is known. The personal participation of the king (and some-
deity the census listed two types of male clergy and one type
times also the queen) was very important. At times of mili-
of female clergy. If for any reason a sanctuary lost any of its
tary crisis a king might even have to leave command of the
quota of clergy, it was restaffed. A small staff of two or three
armies to a subordinate in order to return to Bogazköy to cel-
clergy was necessary even for a small sanctuary; in the main
ebrate a religious festival. Not to do so constituted an unfor-
temple at Bogazköy there were many more. No term corre-
givable affront to the gods that could prove disastrous.
sponding to high priest is known in Hittite, but a presiding
The activities of worship were prayer (addressing the
official for the large, urban temples must have existed.
god either to invoke, praise, or petition him), sacrifice (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
4072
HITTITE RELIGION
senting to the god gifts of food and drink), and entertain-
SIN, DEATH, AND THE AFTERLIFE. Several Hittite words are
ment (music, games, reciting myths). The musical instru-
translated as “sin,” “offense,” or “crime.” Those occurring in
ments were drums, stringed and reed instruments, and
prayers are washtai-, washtul, and shalla-kardatar. The first
horns. Singing was done in any of various languages, depend-
two refer to a deed with evil or unpleasant consequences and
ing upon the deity’s ethnolinguistic background: Hattic, Lu-
in most cases they must be translated as “sin.” But either
wian, Hittite, Palaic, Hurrian, or Babylonian. In the cult of
“sin” or “offense” can be expressed by the word haratar. A
the Hattian gods a lead singer and a chorus sang antiphonal-
particularly serious offense of a special sexual nature is hurkel,
ly. Hattian deities were addressed in worship under two
which in most instances coincides with what one would call
names: the name used among mortals and that among the
incest. Shallakardatar is a deliberate and high-handed offense
gods.
against a deity.
The premise underlying all Hittite prayer is that gods
From the Hittite point of view, sins against the gods
thought like mortals and could be influenced by pleasant
could be deliberate or accidental. In either case they had to
words and gifts. The paradigm for the divine-human rela-
be identified, confessed, and (in most cases) corrected. Iden-
tionship was a master-slave one. A human could expect from
tification of sins committed unwittingly was possible only
his divine lord or lady just what a slave could from his
through consulting the god by oracle. The process was an in-
master.
volved one. By posing questions requiring only a “yes” or
More than one Hittite noun was used to designate what
“no” answer one gradually narrowed the field of possibilities
may be called “prayer.” Mugawar (mugeshshar) referred to
until a specific offense was determined. Then the question
the invocation of the god’s presence through words and ritu-
was posed: “Is the god angry for this reason only, and not
al acts. Praise, adulation, and adoration were called walliya-
for any additional reason?” If the answer to this was “yes,”
tar; petition was wekuwar. Reply to accusations of sin (i.e.,
the inquiry was terminated. If “no,” the inquiry continued
self-justification or protestation of innocence) was arkuwar.
until the final cause was identified.
A single Hittite prayer often contained several of these types
Confession necessitated a promise to make amends. If
of expression.
the offense was the neglect of some religious duty such as a
Sacrifices were made of domestic animals, principally
sacrifice, the offender promised to make up the sacrifice,
bulls, cows, sheep, and goats. For certain Hurrian rituals,
sometimes with a greater outlay of offerings. Two Hittite
birds were sacrificed. The cult never prescribed the sacrifice
words denoted gifts to make amends for these sins of neglect:
of a wild animal. The animal was killed and its meat prepared
sharnikzel and mashkan. The former also referred to compen-
to serve as the god’s food; no expiatory use was ever made
sation for injury or breach of contract in civil law, while the
of the blood of the sacrifice.
latter in profane usage meant a gift or bribe. If the gods pun-
Animals given to the god were to be healthy specimens.
ished a person for committing a sin, this did not absolve the
Persons who knowingly substituted scrawny or unhealthy
sinner from the obligations of confession and compensation.
animals for healthy ones were guilty of a serious offense. In
Animal sacrifices were not used to expiate sin, nor did the
some rituals alternate, less expensive victims were accepted
compensatory gifts mentioned above constitute an expiation.
from poor worshipers. All sacrifices were to be presented
Rather, one’s offense against a god was viewed as completely
promptly at the prescribed time, and delayed sacrifices or rit-
analogous to his offense against another person, and the ter-
uals were not accepted. Priests were warned in instructive
minology (e.g., sharnikzel) was identical.
texts not to tolerate excuses from worshipers who wished to
Relatively little is said in the surviving Hittite texts
postpone required rites of sacrifice. Especially appropriate at
about the fate of the deceased after death. The Old Hittite
the time of their first harvesting were vegetable and grain of-
Kantuzzili prayer rather philosophically observes that if one
ferings; they too had to be brought promptly.
were to go on living under the present circumstances eternal-
REVELATION. The gods communicated their will to mortals
ly, that might turn out to be a nightmare, for the ills of this
in several ways. A surviving oracle text in Old Hittite script
life would become eternal. This would turn out to be a griev-
proves that oracular inquiry already existed at that time. In
ance (kattawatar), that is, a ground for complaint against the
the Old Hittite Telepinu Proclamation, warnings from the
gods. In the description of the lengthy ritual for cremation
gods about serious offenses came through the words of the
and interring of the ashes of a dead king is the information
“men of the gods,” whom a number of scholars have taken
that certain farming implements were burned in order to ac-
to be prophets of some type. A third method—dreams—is
company the deceased king to the next life, so that he might
not attested earlier than the New Kingdom. Communication
cultivate the soil there. In the Hittite laws, a clause dealing
of a god’s will to a king, queen, or prince is first mentioned
with a wife’s predeceasing her husband decrees that before
in the prayers of Mursilis II and first attested in the child-
her dowry can be released to her widowed husband, he must
hood of Hattusilis III, the son of Mursilis II. At a certain
burn certain of her personal possessions. This burning
point in a ritual for a man suffering from sexual impotence,
doubtless served the same purpose as the burning of the
the sufferer is instructed to sleep in a holy place and report
farming implements for the dead king. In many cultures,
his dreams.
items of personal value to the deceased are placed in the grave
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HOBBES, THOMAS
4073
with the dead body, a practice strongly suggesting use of the
Masson, Emilia. Le panthéon de Yazilikaya: Nouvelles lectures.
articles in an afterlife. In the case of the Hittite king the texts
Paris, 1981.
explicitly confirm this interpretation. Descendants of the
Moyer, James C. “The Concept of Ritual Purity among the Hit-
dead man continued to make offerings to his spirit. This
tites.” Ph. D. diss., Brandeis University, 1969.
practice is also attested in Hittite texts. In one instance, King
Otten, Heinrich. Hethitische Totenrituale. Berlin, 1958.
Muwatallis, when he moved the royal residence from Bogaz-
Otten, Heinrich. “The Religion of the Hittites.” In Historia Reli-
köy to Tarhuntassa, transferred to the new residence the stat-
gionum, edited by C. Jouco Bleeker and Geo Widengren, vol.
ues of the gods and the “dead [ancestors].”
1, Religions of the Past, pp. 318–322. Leiden, 1969.
A Hittite religious belief maintained that the spirit of
Sturtevant, Edgar H., and George Bechtel. A Hittite Chrestomathy.
a dead person with a grievance against a living person might
Philadelphia, 1935.
continue to haunt the latter until the grievance was resolved.
Sürenhagen, Dietrich. “Zwei Gebete Hattusilis und der Puduhe-
The precise nature of the grievance was determined in the
pa.” Altorientalische Forschungen 8 (1981): 83–168.
same way as sins against a god: by oracular investigation.
Ten Cate Houwink, Ph. H. J. “Hittite Royal Prayers.” Numen 16
When the grievance had been resolved and the spirit had
(1969): 81–98.
been pacified, the deceased was “set on the road,” that is, was
sent on his or her way to the abode of the dead.
New Sources
Haas, Volkert. Geschichte der hethitischen Religion. Leiden, 1994.
Hittite texts never reveal where that abode was. The
The definitive handbook for years to come, including 137
Hittite cosmology allowed for a heaven above, where most
illustrations and 50 pp. of bibliography.
of the gods dwelled, and the netherworld beneath, where the
Loon, Maurits N. van. Anatolia in the Second Millennium B.C. Lei-
remainder lived. But it is not known if the dead resided in
den, 1985. A study of monuments, including 46 plates.
either of these places. In a ritual intended to remove certain
Loon, Maurits N. van. Anatolia in the Earlier First millennium
evils and safely dispose of them forever where they could not
B.C. Leiden, 1991. A study of monuments, including 48
harm humankind, the dead were magically put into large
plates.
copper vessels and covered with lids of lead. According to
Hoffner, Harry A., Jr. Hittite Myths. Atlanta, 1990, 2d ed. 1998.
one version of the incantation, these vessels were at the bot-
English translation of a collection of Hittite myths.
tom of the sea; according to the other version, in the nether-
Masson, Emilia. Les douze dieux de l’immortalité. Paris, 1989. A
world. This, of course, does not prove that the spirits of the
study of the pantheon of Yazilikaya based on a comparative
dead were confined in the netherworld. It only suggests that
historical approach.
unwelcome things were kept there.
Pecchioli Daddi, Franca, and Anna Maria Polvani. La mitologia
SEE ALSO Hurrian Religion.
ittita. Brescia, Italy, 1990. Italian translation of Hittite myths
with ample notes and detailed bibliography.
BIBLIOGRAPHY
HARRY A. HOFFNER, JR. (1987)
Bittel, Kurt. Hattusha: The Capital of the Hittites. New York,
Revised Bibliography
1970. See pages 91–112.
Bittel, Kurt. “The Great Temple of Hattusha-Bogazköy.” Ameri-
can Journal of Archaeology 80 (1976): 66–73.
HMONG RELIGION SEE SOUTHEAST ASIAN
Gurney, O. R. Some Aspects of Hittite Religion. London, 1977.
RELIGIONS, ARTICLE ON MAINLAND CULTURES
Güterbock, Hans G. “Hittite Religion.” In Forgotten Religions, ed-
ited by Vergilius Ferm, pp. 83–109. New York, 1950.
Güterbock, Hans G. “The Song of UlliKummi.” Journal of Cunei-
form Studies 5 (1951): 135–161 and 6 (1952): 8–42.
HOBBES, THOMAS (1588–1679) features in intel-
Güterbock, Hans G. “Religion und Kultus der Hethiter.” In
lectual histories as a philosopher and a political theorist and
Neuere Hethiterforschung, edited by Gerold Walser,
his Leviathan as one of the most important political treatises
pp. 54–73. Wiesbaden, 1964.
ever written in English. During the last decades of the twen-
Güterbock, Hans G. Les hieroglyphes de Yazilikaya: À propos d’un
tieth century, though, Hobbes came to be regarded as a writ-
travail récent. Paris, 1982.
er significantly relevant to the history of religious ideas and
his Leviathan as an early example of a vogue of rational criti-
Hoffner, Harry A., Jr. “Hittite Mythological Texts: A Survey.” In
Unity and Diversity, edited by Hans Goedicke and J. J. M.
cism of the Bible that was to become current in the nine-
Roberts, pp. 136–145. Baltimore, 1975.
teenth century.
Hoffner, Harry A., Jr. “A Prayer of Mursili II about His Step-
LIFE. Hobbes was born in Malmesbury, England, on April
mother.” Journal of the American Oriental Society 103 (1983):
5, 1588. He recalls in his verse autobiography that his moth-
187–192.
er brought forth “twins at once, both me and fear” for she
Kammenhuber, Annelies. “Hethitische Rituale.” In Kindlers Li-
had given birth when the Spanish Armada was approaching
teratur-Lexikon, edited by Gert Woerner et al., vol. 3. Zu-
the English coast. Hobbes entered Magdalen Hall, Oxford
rich, 1965–1967.
University, in 1603, and immediately after he earned his 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
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HOBBES, THOMAS
gree he was offered employment by William Cavendish as
agree upon what is good. By rejecting the existence of an
tutor of his son. Hobbes remained attached to the Cavendish
agreed-upon natural good, Hobbes destroys the rational tele-
family throughout his life. Scholars have stressed the classi-
ology steeped in the Aristotelian underpinnings of the major
cal-humanistic twist in Hobbes’s intellectual upbringing as
philosophical and theological currents of the time. Given
one of the clues that may explain his later standing as a prom-
that the words good and evil “are ever used with relation to
inent figure in a “European republic of letters” (Malcolm,
the person that useth them, there being nothing simply and
2002, p. 474). Although Noel Malcolm’s remark refers to
absolutely so” (Leviathan, 6, p. 7), there is no way to detect
Hobbes’s posthumous fortune, the roots of this late intellec-
a natural good by means of one’s own private discernment.
tual prestige are found in the dense network of personal con-
Thus agreement and accord are commodities hardly to be
tacts and acquaintances he managed to set up in the course
found in nature. Human intellect, though, provides the
of a number of trips to the Continent as a tutor, as a private
means by which human beings can anticipate the vantage of
man of letters, and later as a refugee from English religious
a social accord and so escape the state of nature: Hobbes calls
strife. It is worth noting that Hobbes published his master-
these means “laws of nature.” Thus Hobbesian individuals
work, Leviathan, in Paris in 1651. As to Hobbes’s elderly
are bound to escape this natural predicament and reach a
years, what is striking is his constant preoccupation with
safer condition, whose distinctive feature is its artificiality.
withstanding the attacks of people as well as institutions
These natural individuals have forced themselves to abide by
whose sympathy he had managed to alienate (e.g., the uni-
the laws of nature by giving up their natural right in omnia
versities, one of the major targets of his polemical concerns)
to a third party, which from now on will be entitled to estab-
and his interest in exposing the “lies” of his religious adver-
lish what is right and what is wrong, namely, to transform
saries. Indeed the word Hobbism became a major current of
the natural laws into commandments made effective by the
discourse to label doctrines with a ring of atheism and immo-
third party’s irresistible will.
rality.
What is striking here is that the laws of nature are coter-
THE STATE OF NATURE. Hobbes’s early philosophical works
minous with the laws of God. Hobbes was concerned
include the Elements of Law and De Cive, where Hobbes ad-
throughout with how to prevent people from attaining a pri-
dresses religious issues in ways that prelude the more thor-
vate apprehension of the laws of God and, in this way, by-
ough and lavish treatment of Christian religion in Leviathan
passing the dictates of the lawful sovereign. Hobbes’s crucial
as well as in such later works as the Historia Ecclesiastica and
question in the third book of Leviathan was not the one that
the Appendix to the Latin edition of Leviathan. That
had traditionally puzzled the exegetes of the Scriptures,
Hobbes, as A. P. Martinich has argued in The Two Gods of
namely, “from whence the Scriptures derive their Authority,”
Leviathan (1992), did not mean to divorce theology from his
but rather “by what Authority they are made Law” (Levia-
general philosophical project becomes apparent if one takes
than, 42, p. 36). Hobbes was wary of the consequences that
a closer look into the subtitle (The Matter, Forme, and Power
would fall upon the state if the sovereign were deprived of
of a Commonwealth, Ecclesiastical and Civil) and the famous
his authority. Hobbes was particularly wary of those “deceiv-
frontispiece of Leviathan. The subtitle yields insights on how
ers,” namely, self-appointed interpreters of the word of God,
to decipher the latter, which in fact is construed as a sort of
who set about persuading people that a workable shortcut to
emblem, featuring a giant visible from the waist up, wielding
the kingdom of God was already at hand in this world. One
in his right hand a scepter, a symbol of the civil power, and
of the conditions Hobbes indicates for social stability is that
in the left a crosier, a symbol of the ecclesiastical power.
citizens have “to be taught that they ought not be led with
Across the foreground, before the vigilant gaze of the giant,
admiration of the virtue of any of their fellow subjects” (Levi-
stretches the image of a well-ordered community, probably
athan, 30, p. 8). Any impulse to admire one’s neighbor
reminiscent of the pages in which Hobbes contends that in-
(modern moral philosophers would use the words partiality
dustry, culture of the earth, use of commodities, and so on
or attachment instead of admiration) is potentially conducive
only take place in times of peace. Hobbes alleges that peace
to the eroding of the very basis of social stability.
is nothing but a quick and tentative lapse from what he calls
ABUSES OF THE SCRIPTURE. According to Hobbes, a typical
the “natural condition of mankind,” which is a condition of
“abuse of the Scripture” sustains a workable natural law that
enduring war, where “war consisteth not in actual fighting,
is said to convey the mystical installment of the kingdom be-
but in the known disposition thereto during all the time
fore the end of time. This law, though natural insofar as it
there is no assurance to the contrary” (Leviathan, 13, p. 8).
bypasses the will of the sovereign, could turn out to be at
Thus the frontispiece’s image of the well-ordered state is the
odds with “the doctrine established by him whom God hath
image of an artifact, something that cannot be found in na-
set in the place of Moses” (Leviathan, 40, p. 8). Hobbes
ture. Therefore Hobbes distances himself from Aristotle,
tracks down a time in which God had reigned directly over
who in his Politics had pointed out that the state “belongs
humans, and this image of a peaceful arché, in which God
to the class of things that exist by nature.”
governs humans, can already be found in Plato (Statesman,
THE LAWS OF NATURE AND THE SOVEREIGN. The natural
271 e). Yet during the time of “regeneration”—as Hobbes
disposition of humans to war ensues from Hobbes’s radical
calls the time frame “between the ascension and the general
nominalism, namely, from his belief that humans cannot
resurrection” (Leviathan, 42, p. 7)—with God withdrawn
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HOBBES, THOMAS
4075
from earth, humans cannot but obey the laws promulgated
minating encounter between rationalist philosophy and a
by their earthly sovereign. A difficulty that immediately
faith-ruled policy guided ultimately by the authority of the
arises concerns those individuals who “confound Lawes with
Bible. A crucial problem for political theology is that the pos-
Right,” for they “continue still to doe what is permitted by
sibility of creating a nonthreatening acquaintance among hu-
divine Right, notwithstanding it be forbidden by the civill
mans, though ultimately relying on the absence of theologi-
Law” (De Cive, 14, p. 3). The political problem individuals
cal foundations, seems hardly to be achieved on the sole
have to address as soon as they reject the direct domination
plane of rational stipulations. Hobbes figures in these debates
of God consists in setting up enduring institutions in the ab-
as the thinker who managed to envision a community in
sence of God’s commandments and possibly avoiding the
which God’s effective withdrawal from human history (1 Sm.
risk of taking “for His law whatsoever is propounded by
8:7) is not ideologically concealed but, rather, taken to its
every man in His name” (Leviathan, 42, p. 46).
extreme consequences. But political theology also entails
that, having withdrawn God, people must establish their
BIBLICAL HISTORY. Hobbes, as Paul in the synagogue of An-
bearings without falling back upon the authority of God’s
tiochia (Acts 13:16–41), expounds a narrative of biblical his-
perspicuous commands. Yet Hobbes’s state supplies neither
tory, starting from the exile of the people of God in Egypt
an ultimate end nor a workable direction on how people
through the announcement of the second coming of Christ.
should regulate their conduct: by reducing politics to a tech-
Biblical history constitutes the meaning-making framework
nology of social bonding aimed at minimizing discord,
in which the birth of Leviathan takes place. The narrative of
Hobbes seems to indicate a pattern of political existence over
biblical history becomes a “politically authoritative history,”
which individuals cannot exercise effective control.
and it is worth noting that the “tendency to disregard biblical
history has been particularly evident, for example, in many
SEE ALSO Morality and Religion; Sociology, article on Soci-
contemporary discussions of Hobbes and Locke for whom,
ology of Religion; Violence.
it is often argued, the nonhistorical social contract is their
seminal contribution to the history of political thought”
BIBLIOGRAPHY
(Mitchell, 1993, p. 5).
Henrici, Peter. “Vernunftreich und Staat-Kirche: Das Reich Got-
tes im neuzeitlichen Denken.” Internationale Katholische
This refusal to provide historical investigation of the in-
Zeitschrift 2 (1986): 131–141.
tellectual roots of modernity with the backing of a specific
Hobbes, Thomas. “De Cive”: The English Version. Edited by How-
authoritative history has somehow impaired the ability to
ard Warrender. Oxford, U.K., 1984.
make sense of those parts of Hobbes’s work mostly con-
Hobbes, Thomas. Leviathan. Edited by Edwin Curley. Indianapo-
cerned with religion. But taking biblical history as a political-
lis, Ind., and Cambridge, U.K., 1994. A modern edition that
ly authoritative history is not just a workable technique for
follows the Head edition, taking note of several variations in
highlighting those bits of texts that have not received much
the first Latin edition, published in 1668.
consideration by scholars: if one assumes that biblical history
Malcolm, Noel. Aspects of Hobbes. Oxford, U.K., 2002.
refers to both the narrative account of sacred events and the
Martinich, A. P. The Two Gods of Leviathan: Thomas Hobbes on
political history of the biblical text, namely, the history “of
Religion and Politics. Cambridge, U.K., 1992. Argues that
its establishment, in particular circumstances, as an authori-
Hobbes did not see any reason to divorce theology from his
tative text” (Malcolm, 2002, p. 427), then it is by restoring
general philosophical project and aimed indeed at reconcil-
ing orthodox Christian doctrine with modern science.
the authoritativeness of biblical history that one can see how,
underlying the materialism and reductionism of modern exe-
Martinich, A. P. A Hobbes Dictionary. Cambridge, Mass., 1995.
A comprehensive lexicon of Hobbes’s overall vocabulary,
gesis, there might be a latent reception of the Hobbesian text.
providing useful insights into Hobbes’s political and reli-
The Catholic theologian Peter Henrici pointed out that
gious thinking.
there would not be any reason to puzzle about the “reduc-
Martinich, A. P. Hobbes: A Biography. Cambridge, U.K., 1999.
tionist techniques of interpretation performed by Hobbes, if
An authoritative biography of Hobbes.
these techniques had not become the exegetical canon of the
Mitchell, Joshua. Not by Reason Alone: Religion, History, and Iden-
theology of the kingdom of God over two centuries—from
tity in Early Modern Political Thought. Chicago, 1993. Draws
Spinoza to protestant theology in XIX century” (Henrici,
attention to Hobbes’s (as well as John Locke’s) interest in
1986, p. 134).
biblical history.
P
Moltmann, Jürgen. “Covenant or Leviathan? Political Theology
OLITICAL THEOLOGY. Modern debates concerning the
for Modern Times.” Scottish Journal of Theology 47, no. 1
issue of political theology have contributed to opening up “a
(1994): 19–41.
new historical horizon for the interpretation of Hobbes”
Pocock, J. G. A. “Time, History, and Eschatology in the Thought
(Schmitt, 1984, p. 108). The opening of such a new horizon
of Thomas Hobbes.” In The Diversity of History: Essays in
enabled the overcoming of the standard account of Hobbes’s
Honour of Sir Herbert Butterfield, edited by J. H. Elliot and
philosophy as a brand of rational skepticism. Debates on po-
H. G. Koenigsberger. London, 1970. A pioneering work, in
litical theology have raised significant questions concerning
which Pocock investigates the second half of Leviathan by fo-
secularization and the meaning of technology in the modern
cusing on Hobbes’s eschatological conception of the histori-
age. Political theology does not just entail the mutually illu-
cal time.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4076
HOCKING, WILLIAM ERNEST
Schmitt, Carl. Politische Theologie II: Die Legende von der Er-
tion (1956). There is a natural religion of humankind, shared
ledigung jeder Politischen Theologie. Berlin, 1984.
by ordinary believers the world around. The substance of this
Schmitt, Carl. The Leviathan in the State Theory of Thomas
religion is compatible with Christian faith. A life lived out
Hobbes: Meaning and Failure of a Political Symbol. Translated
of this natural perception will be different from one lived in
by George Schwab and Erna Hilfstein. Westport, Conn., and
the light of Christianity’s supernatural revelation, but the re-
London, 1996. First published in 1938, this work was a blue-
lation is a natural one. So, in Human Nature and Its Remak-
print for major speculations on Hobbes’s political theology.
ing (1918), Hocking argues that the natural human will to
Skinner, Quentin. Reason and Rhetoric in the Philosophy of Hobbes.
power finds fulfillment in the evangelism of the Christian
Cambridge, U.K., 1996. Inscribes Hobbes’s Leviathan in the
world mission, because, ideally, mission seeks to confer
larger context of a philosophical “history of irony,” turning
power on others, rather than gain power over them.
Hobbes into the elective companion of such figures as Ber-
trand Russell and David Hume, all sharing the ability to de-
Nevertheless, the Christian missionary movement has
ploy rhetorical strategies to mock and ridicule the arguments
historically been insensitive to non-Western cultures; and
of their ecclesiastical rivals.
Christian theology has been exclusivistic in relation to other
Strauss, Leo. The Political Philosophy of Hobbes: Its Basis and Its
world religions. The integrity of the Christian message can
Genesis. Translated by Elsa M. Sinclair. Chicago, 1952. An
be maintained without violence to other religious traditions
immensely influential monograph, charging Hobbes’s view
through a relational model that is neither the indiscriminate
of humans and society with being the fountainhead of mod-
amalgamation of synthesis, nor the exclusivism of radical dis-
ern (immoral and atheistic) liberalism.
placement. Encounter causes each religion to rethink basic
R
positions. The world’s living religions will not die, nor will
OBERTO FARNETI (2005)
the emerging world faith necessarily be called Christian. This
way of reconception will, however, lead to a future in which
the natural religion of humankind and the substance of his-
HOCKING, WILLIAM ERNEST (1873–1966),
toric Christianity will be conjoined, providing the binding
was an American philosopher of religion and metaphysician
ingredient for cultural and religious pluralism in the coming
who also wrote on the philosophies of law, education, self-
world civilization.
hood, and civilization. His magnum opus, The Meaning of
God in Human Experience (1912; 14th ed., 1962), combined
BIBLIOGRAPHY
Josiah Royce’s idealist concern for meaning and the Absolute
Hocking’s The Meaning of God in Human Experience (New
with William James’s pragmatist commitment to science and
Haven, Conn., 1912) was the first of his twenty books.
experience. Hocking’s original contribution was his solution
Other major writings on religion include Human Nature and
to the problem of solipsism. One shares the mind of another,
Its Remaking (New Haven, Conn., 1918); Living Religions
he argued, through the common perception of, and mutual
and a World Faith (New York, 1940); The Coming World
Civilization (New York, 1956); and The Meaning of Immor-
concern for, a particular object. Mind is its content. One
tality in Human Experience (New York, 1957), originally
cannot simply think (pace Descartes); one must think some-
published as Thoughts on Death and Life (New York, 1937).
thing. This particular object of common concern is the con-
For evaluations of Hocking’s work see my festschrift for
tent of eveyone’s common mind.
Hocking, Philosophy, Religion and the Coming World Civili-
The experience is articulated dialectically. Natural real-
zation (The Hague, 1966), and my Within Human Experi-
ism regards the world as objectively “outside” one’s self. Sub-
ence: The Philosophy of William Ernest Hocking (Cambridge,
Mass., 1969).
jective idealism responds that people know only their own
individual reality “within” the mind. A dialectical synthesis
LEROY S. ROUNER (1987)
discovers a world made objectively real by common percep-
tion. Hence science assumes public verifiability, and hypoth-
esis becomes fact only when various individual experimenters
acknowledge a common perception.
HOFFMANN, DAVID (1843–1921), was a German
rabbi, Jewish legal authority, Orthodox communal leader,
Empirical minds come and go, however, and yet one ex-
and biblical and rabbinic scholar. David Tsevi Hoffmann
periences particular objects as real even when one is alone.
was born in Hungary and studied in the yeshivot of Moses
How so? One intuits the presence of a nonempirical mind
Schick and Esriel Hildesheimer. Hildesheimer, who affirmed
that is constantly a co-observer. One is never absolutely
the worth of secular culture and traditional rabbinic scholar-
alone. Objective reality is thus grounded in the attention of
ship, had a profound influence on Hoffmann. This influence
an Absolute Mind. As personal reality, this caring presence
led Hoffmann to Pressburg (now Bratislava, Slovakia), where
of the Absolute is the meaning of God in human experience.
he studied in both the famed Sofer Yeshiva and the Evangeli-
Hocking relates this natural theology both to Christian-
cal Gymnasium. Hoffmann began his university studies in
ity and to the problem of world religious pluralism in three
1865 in Vienna and immigrated in 1866 to Germany, where
later books: Re-Thinking Missions (1932), Living Religions
he completed his university education at Berlin and Tübing-
and a World Faith (1940), and The Coming World Civiliza-
en; he received his doctorate in 1870 for his Mar Samuel, Re-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
H:OKHMAH
4077
ktor der Jüdischen Akademie zu Nehardea in Babylonien (Mar
New Sources
Samuel, rector of the Jewish Academy at Nehardea in Baby-
Shapiro, Marc B. “Rabbi David Zevi Hoffmann on Torah and
lonia). This work was severely criticized by Samson Raphael
‘Wissenschaft.’” Torah U-Madda Journal 6 (1995–1996):
129–137.
Hirsch for its application of critical methods to the study of
Talmud, although Hoffmann himself felt that his own appli-
DAVID ELLENSON (1987)
cation of this method did not negate the divine authority of
Revised Bibliography
the oral law. In 1873 Hoffmann joined the faculty of the Or-
thodox Rabbinical Seminary in Berlin; in 1899 he became
rector of the seminary. He served, simultaneously, as rabbi
H:OKHMAH. The Hebrew feminine noun h:okhmah
of the Berlin separatist Orthodox congregation, Adass Jisroel.
(variation of h:okhmot, Prv. 1:20, 9:1, 14:1) reflects a com-
Hoffmann insisted that a defense of traditional Jewish
mon Semitic root, attested in Akkadian, Ugaritic, Phoeni-
religious belief could be combined with an affirmation of
cian, Aramaic, and Arabic. H:okhmah is conventionally ren-
dered as “wisdom,” though biblical usage has a broader
contemporary secular culture and scholarship, and he dis-
semantic range than the English term. In itself an ethically
played this commitment through hundreds of essays and nu-
and religiously neutral term, h:okhmah denotes, along with
merous books of both scholarly and apologetic natures. His
intellectual prowess and sagacity, the mastery of crafts rang-
defense of the unitary authorship of the Bible is contained
ing from such concrete skills as spinning cloth (Ex. 35:25),
in his commentaries on Leviticus and Deuteronomy and in his
working in metal, wood, and stone (Ex. 31:3–6), and naviga-
famed Die wichtigsten Instanzen gegen die Graf-
tion (Ps. 107:27), to the more subtle arts of dream interpreta-
Wellhausensche Hyposthese (The most important arguments
tion (Gn. 41:8), ritual wailing (Jer. 9:16), sorcery (Is. 3:3),
against the Graf-Wellhausen hypothesis, 1904). Hoffmann
epigrammatic speech (1 Kgs. 5:9–14), diplomacy and court
also defended German Jews against the attacks of German
politics (2 Sm. 20:16–22; 1 Kgs. 2:6, 2:9; cf. Eccl. 9:13–18;),
anti-Semites in Der Schulchan-Aruch und die Rabbinen über
and the exercise of kingship (1 Kgs. 5:26; cf. the ironic use
das Verhaltnis der Juden zu Anderglaubigen (The Shulhan
in Is. 10:13 and Ez. 28:4–5, 28:12).
Earukh and the rabbis on the relationship between Jews and
H:OKHMAH IN BIBLICAL PIETY. Human h:okhmah is also in-
Gentiles, 1885). Hoffmann’s studies in Midrash and Tal-
terpreted as and identified with piety (literally “fear of the
mud were seminal in the development of modern Jewish
Lord”) in the so-called wisdom literature (i.e., Proverbs, Job,
scholarship in these areas, and his collection of Jewish legal
Ecclesiastes, Ben Sira, Wisdom of Solomon) and elsewhere (e.g.,
decisions, Melammed le-ho Dil (1926–1932), evidences a re-
Is. 33:6). In Proverbs, h:okhmah indicates ethical virtue and
markable sensitivity to the German environment and an ab-
character as well as practical accomplishment: wisdom and
solute determination to preserve Orthodoxy against the en-
its antithesis, folly, are equivalent to the paralleled righteous-
croachments of Reform Judaism. His modern approach to
ness and wickedness found in other proverbs. H:okhmah is
Jewish Orthodoxy provided an important model for Jews in
evident in industry; integrity; circumspect behavior; felici-
Germany and throughout the West, and, because of this,
tous, effective, and truthful speech; respect for parents; and
Hoffmann remains a critical figure to the understanding of
care for the poor. To some degree these are pragmatic mea-
the development of Jewish Orthodoxy in the modern world.
sures that make for successful living, with promised results
in societal honor, security, and protection from the divine
wrath attendant upon transgressions. Thus the formulation
BIBLIOGRAPHY
that “the beginning of h:okhmah is the fear of the Lord” re-
Brown, Jonathan M. Modern Challenges to Halakhah. Chicago,
flects, on one level, utilitarian self-interest. But the notion
1969. A study of Hoffmann’s Melammed le-ho Dil as a re-
also takes a more speculative turn: fear of the Lord is the
sponse to the challenges confronting Jewish Orthodoxy in
means to life and knowledge of God (e.g., Prv. 9:10–11,
the modern era. First written as a rabbinical thesis at Hebrew
14:27, 19:23; cf. Ps. 111:10).
Union College-Jewish Institute of Religion.
H:okhmah is attributed to the deity, especially to the
Ginzberg, Louis. “David Hoffmann.” In Students, Scholars, and
technical skill with which God created the world (Jer. 10:12,
Saints, pp. 252–262. Philadelphia, 1928. An essay by one of
51:15; Prv. 3:19–20; Ps. 104:24). Extraordinary wisdom of
the leading Talmudists in the modern world on the signifi-
mortals can merit the hyperbole of divinelike h:okhmah (1
cance of Hoffmann’s life and the meaning of his scholarship.
Kgs. 3:28; Ezr. 7:25; cf. 2 Sm. 14:20, “like the wisdom of a
divine angel”), and exceptional human h:okhmah is some-
Marx, Alexander. “David Hoffmann.” In Essays in Jewish Biogra-
times considered God’s gift (Ex. 28:3; 2 Chr. 1:10–12). God
phy, pp. 185–222. Philadelphia, 1947. A study of Hoff-
also may impart the “spirit” of h:okhmah, as to the anointed
mann’s life by his son-in-law, himself a major scholar of Jew-
king (Is. 11:1–2) or to Joshua, Moses’ charismatic successor
ish history. This is the most important and comprehensive
account of Hoffmann’s life yet written in English; it is a rich
(Dt. 34:9). The exemplar is Solomon in 1 Kings 3 who, when
source for insight into Hoffmann’s personal life.
offered a boon by God in a dream, asks for a “listening heart”
and is granted riches and honor as well. (Much of the biblical
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4078
H:OKHMAH
wisdom literature thus claims explicitly or implicitly to come
in contrast, offers life, an offer whose credibility is enhanced
from Solomon, though this is pseudonymous attribution.)
by the remarkable poem in Proverbs 8. As in chapter 1, she
speaks in the first person, here offering a calmly reasoned ex-
More typical is wisdom gained through human efforts
position of her merits. The setting is once again a public one
(e.g., Prv. 3:13, 4:5, 4:7, 23:23, 29:15). Though aware of
(Prv. 8:2–3), and her appeal is universal (if gendered), to all
ambiguity and human limitation (e.g., Prv. 16:1, 16:9,
“men” (Prv. 8:4). The words of her mouth represent the
16:33, 26:4–5), Proverbs’ ethos remains optimistic about this
timeless virtues of truth and justice. Her self-assertion builds
quest. The tradition takes a skeptical turn in Ecclesiastes,
in power as she claims to be the source of just governance
however, where injustice and death lead the author to a sense
(Prv. 8:15–17), before touching back to the love language
of meaninglessness (“all is vanity”) and the opinion that one
of the earlier poems. Her worth exceeds that of gold and sil-
who increases wisdom increases sorrow (Eccl. 1:18). The
ver, yet she will also fill the treasuries of her righteous lovers
Book of Job also severely relativizes human wisdom in com-
(Prv. 8:18–21), an allusion perhaps to the story of wise Solo-
parison to God’s.
mon. The climax of her argument (Prv. 8:22–31) asserts
THE FEMALE PERSONIFICATION OF H:OKHMAH. The paradox
nothing less than a cosmic pedigree, placing herself with God
of wisdom sought by humans and also conferred by God ap-
before creation.
pears strikingly in passages that personify h:okhmah as a
woman. The theme’s most restrained treatment is found in
The language of this section is dense with multiple
Job 28. This elegant poem treats of the rarity and elusiveness
meanings, creating a complex and shifting picture of her rela-
of true wisdom—here perhaps only an abstraction rather
tionship to the deity. Following the Greek translation of
than a full personification—whose place in the created order
Proverbs 8:22, most English versions read, “The Lord created
is known only to the Creator. In contrast to Job’s hidden wis-
me at the beginning of his work.” The verb (qnh) more typi-
dom is its—now “her”—easy accessibility in Proverbs 1–9,
cally means “acquire,” however, and is used of a man acquir-
where she is met in the streets, the markets, the city gates,
ing a wife. It can also be construed as “engender,” biological
and her house, offering life to followers of her ways (Prv.
conception language that continues in Proverbs 8:24–25,
1:32–33, 8:35–36, 9:1–6, 9:11). This message, as well as the
where Wisdom says she was “brought forth” (h:ll), the usual
female figure itself, unites the several personification poems
term for birthing. Is she then God’s creation, God’s wife,
in these chapters; however, there are also variations in
God’s daughter? Another crux comes in Proverbs 8:30 with
H:okhmah’s portrayal.
the unusual word Damon, translated by some as “darling
child,” by others as “master architect.” She plays before the
In Proverbs 1 H:okhmah’s rhetoric is much like the angry
deity, delighting him, but finds her own delight in the
diatribe of a scolding prophet. Woman Wisdom threatens
human world (Prv. 8:30–31).
to turn a deaf ear to those who reject her in good times but
seek her counsel when calamity strikes. She will ignore their
In Proverbs 9:1–6 the images of the wise homemaker
pleas, laughing scornfully at their downfall (Prv. 1:20–33).
and the divine companion at creation conjoin in the accom-
Although women (e.g., Deborah, Jgs. 4–5; and Huldah, 2
plished architect of her own seven-pillared edifice, a structure
Kgs. 22:14–20) as well as men could be prophets,
that has received diverse interpretations (architectural, cos-
H:okhmah’s female gender predominates in passages that cast
mic, astrological, mythological). From her house she sends
her as the wife or lover and source of honor to the man who
out her maids to call to the simple to come partake of the
loves and embraces her (Prv. 4:5–9, 7:4). This relational im-
food and wine she has prepared, thus obtaining the life-
agery links her with the sexually desirable wife (Prv. 5:15–
giving substance of Wisdom herself.
19) and with the industrious worthy woman depicted in the
PERSONIFIED WISDOM IN THE ANCIENT CONTEXT. While
book’s concluding poem (Prv. 31:10–31), who is herself a
Wisdom’s association with acceptable human female roles—
paragon of h:okhmah. Both the wife and Wisdom protect
including village leaders identified as “wise women” (2 Sm.
their mates from the dangerous “strange woman,” who lures
14:1–20, 20:16–22)—may have contributed to her appro-
the unsuspecting man into sexual misadventure (Prv. 5:20–
priation into a largely patriarchal culture and monotheistic
23, 7:5–23, cf. 2:26–19). Social commentary regarding
text, the ancient understanding of this figure has been the
proper family bonds finds expression here, although these
subject of much scholarly debate. The personification of
poems are one of the few places in the Hebrew Bible where
h:okhmah may be compared to the personified attributes
the sexual double standard is not in evidence: men are en-
Faithfulness (h:esed), Truth (Demet), Well-being (shalom), and
joined to fidelity as much as women. The patriarchal mind-
Right (tsedeq) in Psalms 85:11–14 and thus understood as
set nonetheless emerges in the binary opposition of good
merely a literary device, female by virtue of its grammatical
woman and bad woman.
feminine gender. Reference to the “spirit of wisdom” pro-
Other poems use the female imagery to constitute com-
vides a further biblical parallel (e.g., Ex. 28:3; Dt. 34:9; Is.
peting superhuman forces. The path of the strange woman,
11:2). First Kings 22 depicts a vision in which God holds
who appears as personified Folly in the concluding poem of
court, surrounded by the hosts of heaven; the “spirit” of
Proverbs 1–9, leads to death: “her guests are in the depths of
Falsehood steps forward, volunteering to do the divine bid-
Sheol” (Prv. 9:18, cf. 2:18–19, 5:5–6, 5:23, 7:27). Wisdom,
ding. This ancient belief in independent divine beings atten-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
H:OKHMAH
4079
dant upon Yahweh may suggest that h:okhmah’s personifica-
(composed by a Temple scribe about 180 BCE), Wisdom
tion is no mere literary trope but reflects a view of wisdom
again speaks on her own behalf, telling of her origination be-
as “hypostasis,” an independently existing manifestation of
fore creation “from the mouth of the Most High.” Seeking
divine wisdom, or of the order inherent in the divine cre-
a resting place, she makes her dwelling in Zion, this focus
ation. The Aramaic Book of Ah:iqar (fifth century BCE), where
on the temple replacing Proverbs’ focus on creation. Follow-
h:okhmata is spoken of as “of the gods,” “precious to the
ing H:okhmah’s own words, the narrator explicitly identifies
gods,” and whom “the lord of holy ones has exalted,” pro-
her with the law of the covenant (v. 22). So too a hymn to
vides a close parallel in extrabiblical literature.
Wisdom in Baruch (3:9–4:4) declares Wisdom to be “the
book of God’s laws,” God’s special revelation to Israel. While
Ancient Near Eastern literature also depicts a number
Ben Sira’s Wisdom finds a home in Jerusalem, fragments of
of goddesses who have been argued, with varying degrees of
a H:okhmah myth preserved in 1 Enoch 42 recount how Wis-
success, to provide a model, or perhaps a repressed back-
dom, not finding any suitable dwelling place among human-
ground, for female Wisdom. Both the literary forms and ico-
kind, returns to her original place among the angels.
nography associated with the Egyptian Maat (the term desig-
nates both the concept of cosmic order and its divine
In Ben Sira 51:13–30 the scribe celebrates his acquisi-
hypostasis) parallel to some degree the presentation of bibli-
tion of Wisdom, making novel reference to her “beauty” and
cal Wisdom, but it is difficult to establish a direct linkage.
the desires it arouses. The Dead Sea Scrolls contain another
Closer yet is Isis, who gains international currency in the
version of this passage that speaks through bolder, more sug-
Hellenistic period, perhaps a bit later than the Proverbs
gestively erotic double entendre (11QPsa cols. xxi–xxii). In
poems but clearly reflected in the Greek-language Wisdom
the Wisdom of Solomon (8:2), composed in Greek, the wise
of Solomon’s rendition of H:okhmah as Sophia (see below).
king recalls how he sought to take Wisdom (Sophia) as his
Inscriptional evidence discovered in the late twentieth centu-
“bride.” This Alexandrian text from the first century BCE or
ry shows the ongoing presence of the Canaanite goddess
CE depicts Wisdom as an independent being, seemingly radi-
Asherah in Israelite religious practice (perhaps as Yahweh’s
ated out from the deity, an auralike emanation of God’s glory
consort); the ultimate success of her suppression in the bibli-
and light (Wisd. of Sol. 7:25–26). Articulating what is only
cal literature leads some to suggest that she appears in subli-
suggested in Proverbs, she is an associate, if not the active
mated form in Woman Wisdom.
force, in creation (Wisd. of Sol. 7:22, 8:4), sitting by God’s
throne (Wisd. of Sol. 9:4). The rehearsal of Israel’s early story
The larger literary role played by the female imagery in
in Wisdom of Solomon 10 goes so far as to place Sophia in
Proverbs may provide one window into the social setting of
God’s saving role.
those who deployed and developed the h:okhmah concept.
The book consists of twenty-one chapters (10–30) constitut-
The Talmud and early midrashim devote little attention
ed mainly by collections of individual two-line proverbs. The
to speculation on personified H:okhmah. There she is effec-
proverb (Hebrew, mashal) is a constant feature of verbal rhet-
tively replaced by personified Torah, though there is the odd
oric across all oral cultures (see, e.g., Jgs. 8:21 and 1 Sm. 16:7
remnant from Proverbs. “If one dreams he has had inter-
for proverb performance in Hebrew narrative). Proverbs
course with his sister, he may expect to obtain wisdom, since
were taught in the home and village environment by mothers
it says, Say to wisdom, thou art my sister” (Berachoth 57a).
and fathers (cf. Prv. 1:8) as well as used by society’s leaders.
More typical is R. Eleazar: “The deduction is made from this
In the Book of Proverbs, however, the collected meshalim are
text: Say unto wisdom, ‘Thou art my sister,’ and call under-
removed from their life contexts and shaped into bilinear
standing thy kinswoman, devise [mnemonic] signs for the
parallel form, probably by the educated elite in the royal
Torah” (Eiruvin 54b). In Genesis Rabbah 1:1, Torah rather
court. The instructional poems in chapters 1–9 and 31 then
than H:okhmah is made by God at the beginning of his way
bracket the proverb collections, providing structure to the
and serves as God’s architect in creation. Similarly the bread
book as a whole. Here their situational, utilitarian wisdom
and wine offered in Proverbs 9:5 is Torah, with Wisdom’s
is construed as an exemplar of a universal Wisdom, em-
first person reference assimilated to God’s voice. The rabbin-
bodied in both divine and earthly female form. This literary
ic interpreter of Torah nonetheless is known as a h:akham,
work is no doubt that of scribes, probably connected with
a wise man or sage. Rabbinic reticence about h:okhmah’s per-
the Jerusalem Temple during the period of Persian and Hel-
sonification may have been partially conditioned by Wis-
lenistic rule (likely fifth through third centuries BCE). Ironi-
dom’s prominent role in the cosmology of Christian and
cally then the female imagery that is excluded from the Sec-
non-Christian Greek Gnostic traditions, which further in-
ond Temple Judaean cult is maintained, if also tamed, in the
corporated the Hebrew term into their system in the form
H:okhmah of the scribes who produce the Bible.
of Achamoth, said to be a daughter or lesser form of Sophia.
FEMALE WISDOM IN LATE ANTIQUITY AND THE MIDDLE
In Jewish mystical literature, Qabbalah, h:okhmah is the
AGES. The Wisdom figure constitutes a unique and surpris-
second of the ten sefirot, or divine emanations, hearkening
ing elevation of the feminine in the Hebrew Bible that reap-
back to its important role in Greek Jewish and Gnostic spec-
pears in the Apocrypha and Pseudepigrapha, sometimes with
ulation. The imagery varies. The ten sefirot sometimes form
striking elaboration and innovation. In Ben Sira 24:1–21
a tree, growing downward from the first sefirah (keter,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4080
HOLDHEIM, SAMUEL
“crown”). Here h:okhmah may be part of the trunk or the
Scholem, Gershom. Kabbalah. Jerusalem, 1974. The definitive
water that makes the tree grow. When the sefirot form a
treatment of these often arcane texts.
human, h:okhmah is part of the head.
MURRAY H. LICHTENSTEIN (1987)
C
In another system the first sefirah is nothingness, zero,
LAUDIA V. CAMP (2005)
and h:okhmah is the primordial point intermediate between
nothingness and being, imaged as the center of a palace, as
a river’s source, or as a seed in the womb, with the third se-
HOLDHEIM, SAMUEL (1806–1860), was a rabbi
firah (binah, “understanding”) comprising, respectively, the
and spokesman for the more radical Reform Jews in Germa-
palace, the river, or the womb. Whereas in the Bible these
ny. Born in Kempen, Posen, Holdheim mastered the tradi-
two terms are essentially synonyms, here h:okhmah represents
tional study of rabbinic texts as a youngster. He was also at-
a masculine principle, described as Father in the Zohar, re-
tracted to secular culture, however, and as a young man
quiring the balance of binah, the metaphorical Mother. The
gained fluency in German and attended the universities of
sefirot sometimes reveal different forms of the divine name,
Prague and Berlin. He became rabbi in Frankfurt an der
with h:okhmah as Yah. Relatedly the divine emanations may
Oder in 1836 and in 1840 succeeded to the post of chief
be of language as well as creation, tying h:okhmah again to
rabbi of Mecklenburg-Schwerin. He became well known in
Torah. The preexistent Torah, its most secret aspect, is some-
these positions as a champion of Reform and emerged from
times identified with God’s primordial wisdom. Qabbalah’s
the Reform rabbinical conferences of 1844–1846 as the lead-
personifications of Shekhinah (God’s presence) and Sabbath
er of its extremist elements. In 1846 he was elected rabbi of
also took on motifs similar to those associated with personi-
the Reform congregation in Berlin, a post Abraham Geiger
fied H:okhmah in biblical and apocryphal literature. The
refused because of the congregation’s separation from the
praise of the wise wife in Proverbs 31 became a hymn to
general Jewish community. Holdheim served there until his
Shekhinah, which was in turn identified with Queen Sab-
death.
bath, met as the mystic Bride.
Holdheim articulated his philosophy of Reform Jewish
SEE ALSO Sophia.
belief and practice in numerous articles, sermons, pamphlets,
and books, including Ueber die Autonomie der Rabbinen und
B
das Prinzip der jüdischen Ehe (The autonomy of the rabbis
IBLIOGRAPHY
and the principle of Jewish marriage laws; 1843), in which
Cady, Susan, Marian Ronan, and Hal Taussig. Wisdom’s Feast: So-
he advanced the thesis that the laws of the state and not rab-
phia in Study and Celebration. San Francisco, 1989. A com-
prehensive review of the texts as well as contemporary femi-
binic legislation should regulate matters of marriage and in-
nist theological reflection on female Wisdom.
heritance for Jews. In his philosophy of Reform Judaism, he
distinguished between religious-ethical and national compo-
Camp, Claudia V. Wisdom and the Feminine in the Book of Prov-
nents in Judaism. The latter, he claimed, constituted the
erbs. Decatur, Ga., 1985. Connects the female imagery for
“perishable shell” of Jewish teachings and were no longer
H:okhmah to biblical images of human women.
binding in the modern era. The religious-ethical elements,
Fox, Michael V. Proverbs. Anchor Bible vol. 18A–18B. New York,
in contradistinction, comprised the “everlasting kernel” of
2000. A detailed discussion of the meanings of wisdom and
Jewish faith and remained valid in the contemporary period.
its synonyms in the Book of Proverbs along with a critical re-
Thus, he was able to write, “The Talmud speaks with the ide-
view of the scholarly literature on personified Wisdom.
ology of its own time, and for that time it was right. I speak
Gammie, John G., and Leo G. Perdue, eds. The Sage in Israel and
from the higher ideology of my time, and for this age I am
the Ancient Near East. Winona Lake, Ind., 1990. Scholarly
right” (quoted in W. Gunther Plaut, The Rise of Reform Juda-
literary and sociological treatments of the sages who pro-
ism, New York, 1963, p. 123). While Holdheim was not
duced both biblical and extrabiblical wisdom literature.
alone among the Reformers in expressing these views, his
King, Karen L., ed. Images of the Feminine in Gnosticism. Philadel-
prominence among the leadership of the movement made
phia, 1988. Many of these articles deal with Gnostic Sophia.
him a significant exponent of these sentiments.
McKinlay, Judith E. Gendering Wisdom the Host. Sheffield, U.K.,
Holdheim’s thought found practical expression in his
1996. Traces H:okhmah’s ancestry back to the goddess Ashe-
enthusiastic support of Jewish political emancipation as justi-
rah and forward into the New Testament Gospel of John.
fying the radical transformation of Judaism, in his sanction-
O’Connor, Kathleen M. The Wisdom Literature. Wilmington,
ing of mixed marriages, and in his advocating that the Jewish
Del., 1988. A more popular but still perceptive introduction,
Sabbath be transferred from Saturday to Sunday, “a civil day
casting wisdom as a “spirituality for the marketplace.”
of rest.” Holdheim also supported the almost complete re-
Rad, Gerhard von. Wisdom in Israel. Translated by James D. Mar-
moval of Hebrew from, and the adoption of the vernacular
tin. Nashville, 1972. A classic and influential study of bibli-
in, Jewish prayer services (although he advocated the reading
cal and ancient Near Eastern wisdom literature that includes
of Torah in Hebrew) and, in his Berlin congregation, intro-
Rad’s highly original views on the nature of personified Wis-
duced radical reforms into the prayer book and ritual. His
dom as “the self-revelation of creation.”
approach to Reform found expression in America 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
HOL¯I
4081
the efforts of David Einhorn of Baltimore and later Philadel-
Holika¯ climbs the pyre taking in her lap Prahla¯da, a faithful
phia; Holdheim can thus be identified as an architect of the
devotee of Vis:n:u who is either her brother or the son of her
“classical Reform” position in the United States.
brother Hiran:yaka´sipu (Vis:n:u’s enemy). Prahla¯da, who is
sometimes identified with the central pole that rises out of
BIBLIOGRAPHY
the fire, survives the ordeal through his fervent devotion to
Perhaps the best summary of Holdheim’s thought appears in Max
Vis:n:u; Holika¯, the evil one, perishes in the flames.
Wiener’s Jüdische Religion im Zeitalter der Emanzipation
(Berlin, 1933), pp. 87–101. A great deal of information
This exemplary narrative does not really explain the
about Holdheim’s career and thought can be found in David
erotic and occasionally violent mood of “playing Hol¯ı.” Peo-
Philipson’s The Reform Movement in Judaism (New York,
ple—usually members of the lower social strata—drench
1967), while Jakob J. Petuchowski’s Prayerbook Reform in
each other as well as powerful and prestigious members of
Europe (New York, 1968) describes Holdheim’s approach to
the upper classes with water stained with various powders,
liturgy. In a superb article, “Abraham Geiger and Samuel
cattle urine, and mud. Those victims of the various tricks and
Holdheim: Their Differences in Germany and Repercussions
pranks played on them, including those men who during the
in America,” Leo Baeck Institute Yearbook 22 (1977): 139–
festival have been beaten with sticks by women, must simply
159, Petuchowski analyzes the significance and impact of
go along with their reversed status for the time being. The
Holdheim in both Germany and America.
Hol¯ı celebration is marked by the selection of the King of
New Sources
Hol¯ı, the hearty enjoyment of lewd singing and shouting,
Meyer, Michael A. “‘Most of My Brethren Find Me Unaccept-
the drinking of bhang, a drink of hashish mixed with milk
able’: The Controversial Career of Rabbi Samuel Hold-
and yogurt, and the fondling of phallus-shaped effigies. An-
heim.” Jewish Social Studies 9 (2003): 1–19.
thropologists have been intrigued by these rites. McKim
DAVID ELLENSON (1987)
Marriott, for example, notes that “the dramatic balancing of
Revised Bibliography
Hol¯ı—the world destruction and world renewal, the pollu-
tion followed by world purification—occurs not only on the
abstract level of structual principles, but also in the person
HOL¯I is a popular North Indian festival noted for its Sat-
of each participant” (Marriott, 1966, p. 212). The negation
urnalia-like excitement celebrated each year at the full moon
of social status is, however, a limited one, and Hol¯ı does not
in the lunar month of March–April. The ceremony is not
involve the complete reversal of everyday norms (Babb,
found in South India, but a similar festival in honor of the
1975, p. 174). According to Hindus of northern and central
god of love, Ka¯ma, takes place there at the same time. While
India, the frenzy and licentiousness of the festival is merely
there does not seem to be a direct link between the two rites,
a reenactment of the l¯ıla¯s of Kr:s:n:a, the amorous and frolic-
literary sources suggest that both occasions are examples of
some “plays” that the god enjoys with cowherd boys and
an age-old tradition of celebrating the arrival of spring.
girls. Indeed, Hol¯ı is the “feast of love” (Marriott, 1966), and
its excesses are clothed in the emotional feelings and motives
People in northern India usually celebrate Hol¯ı during
of Kr:s:n:a bhakti movements (Biardeau, 1981, pp. 156–161).
the few days after the full moon. However, in many places
the festival starts before the full moon, sometimes as early as
In a Bengali variant of the festival, the burning of a
Vasanta (“spring”), the fifth day of the waxing moon in the
human effigy is associated with the Kr:s:n:aite swing festival
lunar month of February–March, when the Hol¯ı fire is first
(Bose, 1953). In India, the swing carries erotic connotations
prepared for lighting. At this time, people begin to collect
and may be an element of a generalized marriage ritual. Al-
and contribute wood and cowdung to pile up around a cen-
though Kr:s:n:a does not appear in all variations of the celebra-
tral pole; in addition, a pot is sometimes filled with seeds and
tions, the burning of a human or animal effigy is ubiquitous
buried beneath this pile. The main Hol¯ı ritual centers
and has gone on for years (ibid., p. 83).
around a bonfire ceremoniously kindled at the time of the
In Andhra Pradesh, the festival to Ka¯ma mentioned ear-
rising moon. Both men and women circumambulate the fire,
lier retains some of the frenzy of the North Indian Hol¯ı
into which they often throw coconuts or on which they roast
(Christian, 1982, p. 255). Such ritual delirium does not ap-
new barley. Divinations of the coming harvest are cast by in-
pear to any significant extent in Tamil Nadu. Although a fes-
terpreting the direction of the flames (when the fire is burn-
tival to Ka¯ma may take place here and there in orthodox S´iva
ing) or by the state of the seeds in the buried pot (when the
temples, Tamil celebrations usually involve only small local
fire has gone out). People sometimes take embers from the
groups instead of entire villages. The Ka¯ma festival begins
fire to their homes in order to rekindle their own domestic
after S´ivara¯tri and runs until the full moon. An effigy of
fires; they also collect the ashes from the Hol¯ı fire for use as
Ka¯ma is constructed while people recount his story. Assisted
protection against disease.
by the effects of alcohol, the participants dance wildly, some
The Hol¯ı fire is also regarded as a funeral pyre (Marri-
of them dressed like tribal women (which evokes a good deal
ott, 1966, pp. 201, 204), for it is understood to destroy a
of erotic behavior). The effigy of Ka¯ma is burnt in the fire
female demon commonly known as Holika¯. Certain through
in a ritual reenactment of a well-known tale in which Ka¯ma
a boon she was granted that she was never to die by fire,
sends an arrow to S´iva in order to distract him from his med-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4082
HOLINESS MOVEMENT
itation long enough to allow the god to father a son. En-
movement’s mission and ethos was the perfectionist call by
raged, S´iva destroys Ka¯ma with a bolt of lightening from his
John Wesley (1703–1791) to Christian believers, subsequent
third eye, reducing the Lord of Desire to ashes. However, the
to their justification, to be entirely sanctified in a second
terrible yogin (S´iva) himself becomes “Desire” for a short
work of grace and by faith alone. Wesleyans believed that this
time and enjoys the pleasures of sexual union with Pa¯rvat¯ı.
work of the Holy Spirit cleansed the hearts of believers from
For that moment S´iva becomes, in effect, Ka¯ma. The theo-
their bent to sinning and restored in them God’s image of
logical reversal echoes the ritual reversal.
love. It established a relationship with God of continuing
The element of bhakti does not appear in the South In-
faith in which it was possible to live without willful rebellion,
dian festival, but here the ritual is more explicit. First, in con-
but never without the possibility of again falling into sin
formity with the Hindu sacrificial context, the Ka¯ma rite fo-
through willful unbelief and disobedience. The movement
cuses on the element of desire—its fulfillment and
that gathered around these beliefs left an enduring imprint
destruction. Although ka¯ma (the fulfillment of desire) may
upon the subsequent theological, cultural, and institutional
be the lowest of the four traditional goals of life (the others
life of Protestant evangelicalism.
being artha, or “prosperity”; dharma, or “religious duty”; and
THE FORMATIVE YEARS. Pioneer bishop Francis Asbury
moks:a, or “salvation”) it is just as essential as the others, for
(1745–1816) set this call to personal and social holiness as
no aspect of the other three goals can be met withough desire
the keystone of American Methodism’s religious life and
(Biardeau, 1981, pp. 49–54, 78). The ascetic S´iva is also
evangelism. However, by the 1830s the church’s phenome-
Ka¯ma, and thus sires Skanda, for the heroic son must eventu-
nal growth fostered concerns that its mission of spreading
ally save the world by destroying the demons who are forever
Wesley’s evangelical Arminian message of free grace, free
threatening the power of the gods. In addition, ka¯ma—desire
will, and freedom from sin was being compromised. In 1835
without knowledge—is the goal attributed particularly to the
weekly class meetings for women, led first by Sarah Lankford
´su¯dra, the noninitiated, lowest order of Hindu society. In the
(1806–1896) and then by her sister Phoebe Palmer (1807–
springtime, the time of cosmic renewal, everyone ritually be-
1874), became the seedbed of Holiness promotion and re-
comes a ´su¯dra in order to re-create the world. This tempo-
newal. These “Tuesday Meetings” for conversations and tes-
rary inversion of the social hierarchy and of the four goals
timonies of spiritual experience held in the New York home
of Hindu life is marked in the ritual when Ka¯ma, or Hol¯ı,
shared by the sisters and their spouses became the model for
is crowned king.
a network of hundreds of similar centers across the nation.
Within a short time, the meetings attracted clergy and laity
SEE ALSO Hindu Religious Year; S´iva.
of both sexes and participants from many non-Wesleyan
churches. In 1839 friends of Palmer’s began publication of
BIBLIOGRAPHY
the Guide to Holiness, which was dedicated to coordinating
McKim Marriott’s “The Feast of Love,” in Krishna: Myths, Rites
the revival’s activities and promoting its cause.
and Attitudes, edited by Milton Singer (Honolulu, 1966),
pp. 200–231, gives a firsthand account of the festival and in-
Palmer’s promotion of Holiness had always met with
teresting interpretations of its meaning from an anthropolo-
opposition in Methodism, but continued support by many
gist’s perspective. Although slightly out of date, Nirmal
of the church’s most respected leaders of the period made it
Kumar Bose’s “The Spring Festival of India,” in Cultural An-
difficult to criticize her; instead, opponents attacked the
thropology and Other Essays, edited by Bose (Calcutta, 1953),
pp. 76–135, is useful for its information on regional varia-
movement’s understanding of Wesleyan perfectionism as
tions. See also Lawrence A. Babb’s The Divine Hierarchy:
skewed. They challenged the immediacy of the revival’s call
Popular Hinduism in Central India (New York, 1975) and
for simple faith in the naked word of God as the promised
Jane M. Christian’s “The End Is the Beginning: A Festival
path to one’s experience of cleansing and holiness of heart.
Chain in Andhra Pradesh,” in Religious Festivals in South
Palmer taught that God said it, faith grasps it, and it is done;
India and Sri Lanka, edited by Guy R. Welbon and Glenn
this “shorter way,” her opponents charged, was “un-
E. Yocum (Delhi, 1982), pp. 243–267. Madeleine
Wesleyan.” Some contemporary theologians see in Palmer’s
Biardeau’s L’hindouisme: Anthropologie d’une civilisation
simple spiritual formula an omen of the “Name it, claim it”
(Paris, 1981) provides pertinent interpretations of some of
theology that rose in late twentieth-century revivalism. Palm-
the basic Hindu conceptions crucial to the working of the
er’s four years of ministry in Great Britain, largely among the
ritual.
constituencies of the gathering evangelical alliance, strength-
MARIE-LOUISE REINICHE (1987)
ened the already existing interrelationships that characterize
the history of U.S. and British and European revivalism. Her
forty years of Holiness evangelism, her numerous widely read
publications, and her public ministry in Methodist and other
HOLINESS MOVEMENT is the term commonly
churches and camp meetings in the United States and Cana-
used to identify a perfectionist sector of renewal and reform
da made her the spiritual mother of the Holiness movement.
which sometimes paralleled and sometimes fused with the
broader stream of the Protestant revivalism in the United
Palmer’s ministry became the model for the freedom
States of the nineteenth century. The focal point of the
and authority of women in the movement. She stoutly 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
HOLINESS MOVEMENT
4083
fended women’s participation in the public life of the
sanctification. The camps became the dominant shapers of
church. Her book, The Promise of the Father (1866), was the
the ethos and mores that were common to the hundreds of
first systematic defense of women’s rights to public ministry
small associations that formed the heart of the movement.
written by a woman. In it she claimed that Joel’s promise
Through them, and the wealth of journals and publications
that the Spirit of God would fall on “all flesh” made the Pen-
that reinforced their cause, the movement became the major
tecostal text the authoritative text for interpreting any other
platform for the rising divine healing movement. The min-
texts, which traditionally had been used to deny women a
gling of non-Methodist themes with the Holiness message,
public ministry. Her example inspired the cofounder of the
and the adoption of Plymouth Brethren preacher John Nel-
Salvation Army, Catherine Booth (1829–1890), to exert her
son Darby’s (1800–1882) dispensational premillennialism
rights to leadership and ministry.
by large sectors of the movement in opposition to Method-
ism’s traditional postmillennialism, began to weaken institu-
The revival’s milieu also gave birth to other radical re-
tional Methodism’s control of the movement.
form movements. In 1843 thousands of Methodist aboli-
tionists, with Congregationalists and others, left their de-
Many Holiness associations that became Holiness
nominations to form the Wesleyan Methodist Connection
church congregations at the end of the century made salva-
of America. Their leader, Orange Scott (1800–1847), rooted
tion, sanctification, healing, the second coming of Christ,
the new church’s call for immediate emancipation of slaves
and the free worship style of the Holiness camp meeting their
in the ethical implications of Wesley’s perfectionist theology.
church model; they became known as “camp meeting
In 1860 a second group, the Free Methodists, led by Meth-
churches.” The freedom promised by Holiness teaching and
odist pastor B. T. Roberts (1823–1893), became the first to
worship style attracted increasing numbers of African Ameri-
organize a Holiness denomination in response to what they
cans to the movement out of the existing African American
perceived to be Methodism’s rejection of Wesleyan perfec-
Methodist and Baptist churches. In the last quarter of the
tionism and its increasing neglect of Wesley’s concerns for
nineteenth century, the African American woman evangelist
the poor. The new church also called for the immediate abo-
Amanda Smith (1837–1915) became one of the most re-
lition of slavery.
spected of the Holiness movement’s itinerant preachers.
The success of the Wesleyan revivalists became the cata-
From 1873 to 1875 Hannah Whitall Smith (1832–
lyst for the rise of parallel Holiness movements in New
1911), author of the best-selling devotional classic The Chris-
School Calvinism. Wesley’s writings contributed directly to
tian’s Secret of a Happy Life (1875) and an ardent Holiness
the Oberlin perfectionism of Charles Finney (1792–1875)
advocate, feminist, and advocate of temperance and women’s
and Asa Mahan (1799–1899). Finney sought to keep his
suffrage, spread the Holiness message with her husband Rob-
Holiness convictions within the confines of his New School
ert Pearsall Smith (1827–1898) to both the established and
theology; Mahan embraced Wesleyanism more openly.
free churches of England and continental Europe. A series
Princeton University professor B. B. Warfield (1851–1921)
of Holiness conferences at Oxford and Cambridge Universi-
strongly criticized Finney’s and Mahan’s forms of “Wesley-
ties, and the annual camp meetings held on the Broadlands
anism,” but Finney and Mahan are enshrined in Wesleyan/
estate of Lord and Lady Mount Temple culminated in an
Holiness hagiography along with others in the Reformed tra-
1875 meeting at Brighton, England. Thousands of pastors,
dition.
theologians, and university students from all across Europe
attended. The impact of the Smiths’ brief Holiness ministry
THE POST-CIVIL WAR REVIVAL. In the summer of 1867
upon the British and European churches was significant. In
thousands responded to the call of a committee of Methodist
Germany it excited the renewal of the pietistic German Fel-
Episcopal pastors to attend a national camp meeting in Vine-
lowship Movement and the Inner-City Movement within
land, New Jersey, dedicated to the promotion of Christian
the established churches, and the formation of the German
holiness. The success of the venture prompted the pastors to
Holiness Movement within the free churches. In England
create the National Camp Meeting Association for the Pro-
the most enduring result was the rise of the Keswick Move-
motion of Holiness. Under the leadership of Methodist pas-
ment, whose annual meetings for the promotion of scriptural
tor John Inskip (1816–1884), the association’s national
holiness sparked renewal among Reformed evangelicals, both
committee changed the dynamics of Holiness promotion.
Anglican and free. Keswick gave birth to faith missions
Hundreds of affiliated local, county, and state interdenomi-
movements and student Christian movements around the
national Holiness evangelistic associations, most with their
world.
own annual camp meetings, became the preaching circuit for
hundreds of Holiness evangelists. The camp meetings be-
INSTITUTIONALIZATION. By the closing decades of the nine-
came the primary centers for the movement’s nurture and
teenth century, many Methodists, tired of the decades-long
revivalism. The family atmosphere encouraged by living to-
tensions over the “holiness question,” turned from Wesley’s
gether for an extended period of time, the private and corpo-
perfectionist vision to the theologies rooted in the Enlighten-
rate prayer, praise, solemn hymns, and spirited gospel songs
ment. In addition, the revival’s expansion into non-
created the ambience that prepared the campers for the ur-
Methodist environments weakened the national committee’s
gency of the evangelist’s call to decisions for salvation and
control over the movement as Holiness Baptists, Quakers,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4084
(HOLMBERG-) HARVA, UNO
Presbyterians, Congregationalists, Mennonites, and Episco-
from the larger Holiness bodies in protest to what they saw
palian evangelicals sought to assimilate the Holiness message
as the established movement’s tendencies to modernism. The
into their own theologies and experiences. Holiness adher-
worldwide constituency of the Wesleyan/Holiness churches
ents, together with more numerous “populist” association
numbers 10 to 15 million. The Church of the Nazarene, the
leaders, began to challenge the increasingly strained efforts
Salvation Army, the Church of God (Anderson, Indiana),
of the Methodist-controlled National Holiness Association
the Wesleyan Church (the result of a 1968 merger of the
to keep a vibrant and diverse interfaith movement under the
Wesleyan Methodist and the Pilgrim Holiness Churches),
aegis of institutional Methodism.
and the Free Methodist Church are the largest Holiness
Churches. Several of these are active members of the World
Between 1882 and the century’s end disenchanted Holi-
Methodist Council.
ness Methodists, joined by converts to the independent Ho-
liness associations who had never been Methodists, formed
As a whole, these Wesleyan evangelical churches, which
new Holiness denominations and institutions out of the re-
have continuing commitments to the plenary inspiration of
vival’s constituency. This period marked the largest creation
the Bible and its final authority for doctrine and life, often
of new denominations in so short a period in U.S. religious
find themselves in a mediate position in world Protestantism,
history. Other sectors of the revival, within the ministries of
between the more socially conservative stances of some fellow
Dwight L. Moody (1837–1899), A. T. Pierson (1837–
evangelicals and the more liberal theologies that pervade the
1911), A. J. Gordon (1836–1895), and A. B. Simpson
religious culture of much of contemporary Protestantism.
(1843–1919), all rooted in the revivalistic Calvinism of the
S
day, became centers for promoting a Higher-Life theology,
EE ALSO Evangelical and Fundamental Christianity; Meth-
odist Churches; Pentecostal and Charismatic Christianity;
the name commonly given to the holiness revival in the Cal-
Salvation Army; Smith, Hannah Whitall; Wesley Brothers.
vinist churches. Organizations of new African American Ho-
liness churches also gathered sectors of the movement to
B
themselves in this organizational phase of the movement’s
IBLIOGRAPHY
Dayton, Donald W. Discovering an Evangelical Heritage. New
life.
York, 1976. A concise account of the movement’s innovative
As the major segments of the Holiness/Higher-Life re-
and sometimes radical stances on historical, ethical, and so-
vival movement were finding homes in new denominations
cial issues.
and agencies, a third movement gathered around the preg-
Dieter, Melvin E. The Holiness Revival of the Nineteenth Century,
nant eschatological expectations born of the revival’s steadily
2d ed. Lanham, Md., and London, 1996. A basic interpre-
increasing emphasis on the significance of the Pentecost
tive narrative of the rise, development, and significance of the
revival.
event and anticipated new age of the Spirit. The new Pente-
costal movement’s structure, leadership, and major theologi-
Jones, Charles E. Black Holiness: Black Participation in Wesleyan
cal and worship cultures all were born within the diverse mi-
Perfectionist and Glossolalic Pentecostal Movements. Metuc-
lieu of the Holiness revival. With few exceptions, most
hen, N.J. and London, 1987. An encyclopedic introduction
to the revival’s place and influence within African American
established Wesleyan/Holiness leaders quickly condemned
Protestantism.
the new movement’s teachings as “heretical,” particularly its
insistence that “speaking in unknown tongues” was a neces-
Kostlevy, William. Holiness Manuscripts: A Guide to Documenting
the Wesleyan Holiness Movement in the United States and Can-
sary element of Spirit baptism. Today, although the theologi-
ada. Metuchen, N.J., and London, 1994. Opens up basic re-
cal differences between the two movements still exist, their
sources, many still untapped, available to the researcher.
common membership in the National Association of Evan-
gelicals and other interdenominational agencies have less-
Smith, Timothy L. Called Unto Holiness: The Story of the Naza-
renes; The Formative Years. Kansas City, Mo., 1962. A histo-
ened the stridency that had often marked the interaction be-
ry of the largest Holiness church in the United States, a story
tween the two closely related movements.
of revival and church formation which is typical of the histo-
By the second decade of the twentieth century the
ries of most of the denominations and agencies born of the
movement.
movement had largely located within the confines of its new
Holiness institutions, with the major exception of the thou-
MELVIN E. DIETER (2005)
sands of Holiness adherents who stayed with the older de-
nominations out of hope for renewal from within. Most
Wesleyan/Holiness churches and their international affiliates
(HOLMBERG-) HARVA, UNO SEE HARVA,
and agencies maintain an informal association with one an-
UNO
other and other independent Holiness mission agencies and
educational institutions through the Christian Holiness Part-
nership, the direct descendant of the National Camp Associ-
HOLOCAUST, THE
ation. A similar association, the Interchurch Holiness Con-
This entry consists of the following articles:
vention, has brought together a group of smaller Holiness
HISTORY
adherents who in the post–World War II period separated
JEWISH THEOLOGICAL RESPONSES
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HOLOCAUST, THE: HISTORY
4085
HOLOCAUST, THE: HISTORY
poses (many of which partially overlapped with Hitler’s own
From the French Revolution to the 1860s, the Jews of west-
goals). He was appointed chancellor in January 1933.
ern and central Europe experienced political emancipation.
While Hitler consolidated his dictatorship in short
Unencumbered by ties to an agrarian way of life, many Jews
order, an equally rapid solution to the Nazis’ self-imposed
also experienced economic prosperity and social mobility
Jewish problem was not forthcoming. Hitler’s obsessive anti-
during the following decades of industrialization and urban-
Semitism provided sanction for various kinds of attacks upon
ization, as they seized the opportunities that a period of rapid
the Jews but neither assured coordination of such attempts
change offered. However, late nineteenth-century Europe
nor clarified the ultimate goal. Furthermore, Hitler and the
also witnessed the emergence of radical protest movements
Nazis had to take into account various inhibitive factors,
by those who bore the cost of modernization. Such move-
such as the fragile state of the economy, foreign reaction, and
ments were usually anti-Semitic, as the Jew was an easy sym-
the sensibilities of their conservative allies and the German
bol of all that these people perceived to be the ills of modern
public. What emerged was a cyclical pattern of intensifying
society: urbanization; democratization; disruptive social mo-
persecution, as periodic pressure from party radicals for vio-
bility; and a large-scale, impersonal market economy under-
lent attacks upon the Jews was mollified with legislative dis-
mining the livelihoods of tradesmen, artisans, and peasants.
crimination more conducive to economic stability and less
The adoption of the Jew as such a symbol was facilitated by
disturbing to the majority of the German public. In 1933
a ready-made and widespread negative Jewish stereotype fos-
the Jews were deprived of civic equality and barred from vari-
tered by centuries of religious anti-Semitism. A racist brand
ous professions. In 1935 the Nuremberg Laws completed the
of Social Darwinism that emerged at this time was quickly
social ostracism of Jews by forbidding marriage or sexual in-
utilized to provide a veneer of pseudoscientific respectability
tercourse between Jews and “Aryans.” In 1938 another wave
suited to a more secular age. In this later view the Jews had
of legislation impoverished the Jews by systematically strip-
such a baneful influence because they were by nature rootless
ping them of their property.
and subversive cosmopolites who could never become true
The party radicals made one last attempt to take control
members of a national community shaped by “blood and
of Nazi Jewish policy when Joseph Goebbels incited the Kris-
soil.”
tallnacht riots of November 9–10, 1938. The arson of syna-
In Germany and Austria this antimodernist protest was
gogues and vandalism of Jewish businesses throughout Ger-
known as the völkisch movement, and it received added im-
many caused dismay among many Germans who did not
petus after World War I from the humiliating defeat, revolu-
want to be confronted with a choice between their loyalty
tionary turmoil, and disintegrative inflation that afflicted
to and illusions about the regime on the one hand and their
central Europe. The most successful mobilizer of this discon-
innate respect for property and order on the other. Heinrich
tent was the National Socialist German Workers’ Party of
Himmler and Hermann Göring joined forces and, with Hit-
Adolf Hitler, and the antimodernist, anti-Semitic völkisch
ler’s approval, centralized control of Jewish policy, effectively
tradition was the ideological force behind most of its early
excluding Goebbels. Henceforth the persecution of the Jews
activists. For Hitler himself, however, the Jew was an even
would be carried out through the orderly administration of
deeper psychological obsession. He saw the Jew not only as
the German bureaucracy, not through the violent pogroms
the cause of present ills, manifested above all in the rising
of local party activists. Unobtrusive but relentless, this bu-
reaucratic persecution proved far more conducive to the in-
Bolshevik threat, but also as the very metaphysical source of
difference of the German public and far more dangerous to
evil itself spanning the centuries. Thus, in addition to a war
the Jews.
of expansion in the east assuring Germany of the territorial
base (Lebensraum) necessary for its status as a major power,
With the growing role of Himmler’s Schutzstaffel (SS)
Hitler also advocated the “removal” of the Jews from Germa-
(a complex and expanding conglomeration of elite party or-
ny. But Hitler did not come to power because of his promises
ganizations, police forces, and eventually even military for-
for war and racial persecution. A much broader, often con-
mations) in shaping Nazi Jewish policy, one clear vision
tradictory appeal for a “renewal” of German life underlay the
gradually emerged—a Germany free of Jews through emigra-
Nazis’ electoral breakthrough in the early 1930s. The hopes
tion. But it was a vision unrealized. Faced with mounting
for the restoration of effective government to deal with the
immigration barriers in a world gripped by economic depres-
communist threat and the economic depression, the recon-
sion and thus decidedly unsympathetic to impoverished refu-
ciliation of a highly factionalized German society into a uni-
gees, German Jews were reluctant to abandon career, proper-
fied racial entity with a common purpose, and a new
ty, and a country to which they were deeply attached.
meritocracy opening up careers to the professionally disad-
Emigration proceeded slowly, and the addition of Austrian
vantaged of Germany’s tradition-bound society won votes
and Czech Jews in 1938–1939 brought more Jews into the
from all sectors of the population but above all from the mid-
Reich than had emigrated over the past six years. The Kristal-
dle and lower-middle classes. With the votes of more than
lnacht had removed any remaining illusions of waiting out
one-third of the German population behind Hitler, the old
the Nazi regime, and almost all German Jews were now des-
elites gambled that they could use him for their own pur-
perate to leave. The SS conducted experiments in coerced
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4086
HOLOCAUST, THE: HISTORY
emigration organized by Adolf Eichmann to get rid of the
sands of arriving Jews within a few hours. This vision was
Austrian and Czech Jews as quickly as possible. Nevertheless,
approved by Hitler in late September or early October 1941,
time ran out. The outbreak of war in September 1939 closed
and construction of the two earliest death camps, Belzec and
most borders, and the acquisition first of two million Polish
Chelmno, was soon underway. The construction of four ad-
Jews and then another half million Jews in western Europe
ditional death camps eventually followed: the Birkenau sec-
by June 1940 shattered any expectation of a solution to the
tion of Auschwitz, Sobibor, Treblinka, and Majdanek.
Jewish question through emigration.
When Reinhard Heydrich met with representatives from the
various German ministries at the Wannsee Conference on
The Nazis now sought a solution to their Jewish “prob-
January 20, 1942, to coordinate the deportation of all Euro-
lem” through increasingly ambitious expulsion schemes.
pean Jews “to the east,” the “final solution” to the Nazis’ self-
First the Jews of Germany, especially the additional 550,000
imposed Jewish problem was at hand.
of the newly annexed Polish territories, were to be expelled
to a “Jewish reservation” in the Lublin region of Poland.
In Poland the Germans descended upon the ghettos in
Then, with the defeat of France the Nazis conceived a
savage “ghetto-clearing” operations, taking off the nonwork-
scheme for expelling all the Jews of Europe to the French is-
ing population first. Everywhere Jewish leaders faced the
land colony of Madagascar. Neither plan proved feasible, but
same excruciating dilemma. Resistance in the ghetto invited
in the meantime the Polish Jews were herded into the major
instant and overwhelming German retaliation against the en-
cities of Poland and gradually ghettoized. With economic
tire community. Escape of the young fighters to the forests
ties severed and most of their property confiscated, the Jews
involved the abandonment of families. Compliance meant
of these frightfully overcrowded ghettos seemed destined to
the incremental destruction of the community but at least
extinction through starvation and disease. One-half million
initially held out hope that a remnant of workers would sur-
Jews died in the ghettos between 1939 and 1941. The rest
vive. This course was thus generally followed by Jewish lead-
survived while Jewish leaders, forced into Jewish councils on
ers as the least intolerable evil, until family members had
German orders, tenaciously struggled to restore minimal
been lost, along with the illusion that the Germans were suf-
communal life and above all a viable ghetto economy that
ficiently utilitarian to preserve skilled labor. Only then did
would keep the Jews alive by giving the Germans a stake in
armed resistance seem rational. The Warsaw ghetto uprising,
the productive potential of Jewish labor.
for instance, broke out in April 1943 when only seventy
thousand of its nearly one-half million Jews were still alive.
Germany’s decision to invade the Soviet Union posed
once again the dilemma engendered by military success,
Outside Poland and Russia the number of prospective
which inevitably would bring more Jews into the expanding
victims was much less but the political obstacles to deporta-
German empire. To break this vicious circle, Hitler called for
tion to the death camps were much more complicated. With-
an unprecedented “war of destruction” in the east, that was
in the Third Reich both the police and a wide variety of local
simultaneously a campaign for territorial conquest, an ideo-
authorities handled the uprooting process. In the areas of
logical crusade against Bolshevism, and a racial struggle
German military administration and among Germany’s allies
against the Slavs and Jews. In the first month following the
and satellites, help from local collaborators was essential to
June 22, 1941, invasion of the Soviet Union, the Germans
identify and round up the Jews. Throughout all these regions
experienced spectacular success. In the euphoria of seeming
the complex deportation program was coordinated by Hey-
victory, the mass murder of “potential enemies” by mobile
drich’s specialist, Eichmann. Deportations began from the
SS firing squads (Einsatzgruppen) as well as other police and
Third Reich in the fall of 1941, and from Slovakia, France,
military units quickly escalated to include the killing of all
Belgium, the Netherlands, and Norway in 1942. In 1943 the
Soviet Jews. The previous policies of expulsion and ghetto-
deportation effort spread to Greece, Bulgaria, Denmark, and
ization had at least implied a decimation of the Jewish popu-
Italy, though it faltered in Bulgaria and was thwarted almost
lation, but now the leap to systematic mass murder, at least
entirely in Denmark through local obstruction. In Romania
on Soviet territory, had been taken.
and Yugoslavia most of the Jews perished locally without re-
sort to deportations. Finally, in May and June of 1944, near-
Intoxicated by victory and the prospect of a whole con-
ly one-half million Hungarian Jews were the victims of the
tinent at their feet, Hitler and other leading Nazis contem-
largest single deportation of the war.
plated extending the “final solution” to all European Jews.
The firing-squad method was proving inadequate even on
As the Holocaust ran its course within the German em-
occupied Soviet territory because of the lack of secrecy of the
pire, the outside world gradually learned of but never truly
mass executions, the psychological burden on the killers, and
comprehended the magnitude and significance of the disas-
the staggering number of victims to be murdered. The tech-
ter. The first reports of a German plan to murder the entire
nocrats of the Nazi regime solved these problems, however,
Jewish population of Europe reached the West in the sum-
by inventing the death camp. Secrecy, efficiency, and psy-
mer of 1942 through contacts in Switzerland. By November
chological detachment were to be achieved by deporting the
the reports had been fully confirmed, and an Allied declara-
victims to “factories of death” where a small staff would
tion followed that condemned the Nazi actions and threat-
apply assembly-line methods to rob, gas, and cremate thou-
ened punishment after the war. But little more was done.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HOLOCAUST, THE: HISTORY
4087
Old bureaucratic attitudes and patterns of behavior, shaped
Murder of the European Jews (London, 1999). The definitive
in an era when policy had been to turn back the tide of refu-
study of the Einsatzgruppen is Helmut Krausnick and Hans-
gees from Nazism, did not change quickly. Rescue through
Heinrich Wilhelm, Die Truppe des Weltanschauungskrieges
military victory provided an easy excuse for inaction, and Al-
(Stuttgart, 1980). For the death camps, see Yitzhak Arad,
lied leaders did not insist upon a fundamental change in pri-
Belzec, Sobibor, Treblinka: The Operation Reinhard Death
orities necessary to alter this situation. The vast majority of
Camps (Bloomington, 1987), and Robert Jan van Pelt and
Hitler’s victims were beyond any rescue effort, but inability
Deborah Dwork, Auschwitz: 1290 to the Present (New York,
to stop the murder of millions was only made more horrify-
1996). For contrasting studies of the motivations of the
ing by the pervasive passivity of the Allies concerning the
members of the killing squads: Christopher R. Browning,
possible rescue of additional thousands of threatened Jews.
Ordinary Men: Reserve Police Battalion 101 and the Final So-
lution in Poland (New York, 1992); and Daniel Jonah Gold-
When the Nazi regime finally collapsed in defeat, be-
hagen, Hitler’s Willing Executioners: Ordinary Germans and
tween five and six million Jews (approximately one-third of
the Holocaust (New York, 1996).
world Jewry) had perished in the Holocaust. A nearly equal
number of non-Jews were also murdered by the Nazis: more
For an analysis of various arguments concerning the decisions for
three million Russian prisoners of war, the physically and
the “final solution,” see Christopher R. Browning, The Path
to Genocide (New York 1992), and the same author’s Nazi
mentally handicapped, the Roma and Sinti, the Polish intel-
Policy, German Workers, German Killers (New York,
ligentsia, political opponents and resisters, homosexuals and
2000).The classic analysis of the implementation of the
others defined as “asocials,” numerous slave laborers kept in
“final solution” is Raul Hilberg, The Destruction of the Euro-
unlivable conditions, and countless victims—especially Rus-
pean Jews (1961), rev. & exp. ed. 3 vols. (New York, 1985).
sians, Poles, and Yugoslavs—of mass reprisals and indiscrim-
Other comprehensive studies include Leni Yahil, Holocaust:
inate terror aimed at subduing the civilian populations of oc-
The Fate of European Jewry (New York, 1990), and Peter
cupied territories. The Nazi regime showed itself capable of
Longerich, Politik der Vernichtung: Eine Gesamtdarstellung
mass murder against virtually any group of people. But no
der nationalsozialisstichen Judenverfolgung (Munich, 1998).
other group of victims occupied the role in Hitler’s mind of
For ghetto life, the dilemma of the Jewish leadership, and
metaphysical evil incarnate as did the Jews. No other victims
Jewish resistance, see Isaiah Trunk, Judenrat: The Jewish
were threatened so totally and pursued so relentlessly. And
Councils in Eastern Europe under Nazi Occupation (New
no other victims died so helpless and abandoned.
York, 1972); Yisrael Gutman, The Jews of Warsaw, 1939–
1943: Ghetto, Underground, Revolt (Bloomington, Ind.,
SEE ALSO Anti-Semitism; Persecution, article on Jewish Ex-
1982); The Warsaw Diary of Adam Czerniakow, edited by
perience; War and Warriors, overview article; Zionism.
Raul Hilberg et al.; and The Chronicle of the Lodz Ghetto,
1941–1944, edited by Lucjan Dobroszycki (New Haven,
B
Conn., 1984). Allied reaction to the Holocaust has been
IBLIOGRAPHY
studied in a series of important books: Henry L. Feingold,
On anti-Semitism in late nineteenth-century Europe, see P. G. J.
The Politics of Rescue: The Roosevelt Administration and the
Pulzer, The Rise of Political Anti-Semitism in Germany and
Holocaust, 1938–1945 (New Brunswick, N.J., 1970); Ber-
Austria (New York, 1964); and Albert Lindemann, Esau’s
nard Wasserstein, Britain and the Jews of Europe, 1939–1945
Tears: Modern Antisemitism and the Rise of the Jews (New
(Oxford, 1979); Walter Laqueur, The Terrible Secret: Sup-
York, 1997). George L. Mosse, The Crisis of German Ideology
(New York, 1964) discusses the völkisch origins of Nazism.
pression of the Truth about Hitler’s “Final Solution” (London,
Eberhard Jäckel, Hitler’s Weltanschauung (Middletown,
1980); David S. Wyman, The Abandonment of the Jews:
Conn., 1972) is the best treatment of the shaping of Hitler’s
America and the Holocaust, 1941–1945 (New York, 1984);
ideology in the 1920s. Also on Hitler, see Ian Kershaw, Hit-
and Tony Kushner, The Holocaust and the Liberal Imagina-
ler 1889–1936: Hubris and Hitler 1936–1945: Nemesis (New
tion: A Social and Cultural History (Oxford, 1990).
York, 1998 and 2000). Sarah Gordon, Hitler, Germans, and
the “Jewish Question” (Princeton, 1984) examines German
For the fate of the Soviet prisoners of war, see Christian Streit,
attitudes toward the Jews, which is also the subject of David
Keine Kameraden: Die Wehrmachtd und die sowjetischen
Bankier, The Germans and the Final Solution: Public Opinion
Kriegsgefangenen (Stuttgart, 1978). For the fate of the handi-
under Nazism (Oxford, 1992) and David Bankier, ed., Prob-
capped, see Henry Friedlander, The Origins of Nazi Genocide:
ing the Depths of German Antisemitism: German Society and
From Euthanasia to the Final Solution (Chapel Hill, 1995).
the Persecution of the Jews, 1933–1941 (New York, 2000).
For the fate of the “Gypsies” or Roma and Sinti, see Michael
For the experience of a single German Jew, see Victor Klem-
Zimmermann, Rassenutopie und Genozid: die nationalsozialis-
perer, I Will Bear Witness: A Diary of the Nazi Years (New
tische “Lösung der Zigeunerfrage” (Hamburg, 1996), and Gu-
York, 1998). The evolution of Nazi Jewish policy in the
enter Lewy, The Nazi Persecution of the Gypsies (New York,
1930s is treated in Karl A. Schleunes, The Twisted Road to
2000). For the wider context of Nazi racial persecution, see
Auschwitz (Urbana, Ill., 1970); Uwe Adam, Judenpolitik im
Michael Burleigh and Wolfgang Wippermann, The Racial
Dritten Reich (Düsseldorf, 1972); and Saul Friedlander, Nazi
State: Germany 1933–1945 (New York, 1991).
Germany and the Jews: The Years of Persecution (New York,
1997). For Nazi population policies and “ethnic cleansing,”
CHRISTOPHER R. BROWNING (1987 AND 2005)
see Götz Aly, “Final Solution”: Nazi Population Policy 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
4088
HOLOCAUST, THE: JEWISH THEOLOGICAL RESPONSES
HOLOCAUST, THE: JEWISH THEOLOGICAL
children of Europe, and more generally all of slaughtered Is-
RESPONSES
rael, are seen as martyrs to God who willingly sacrifice them-
The Holocaust (Heb., sho Dah), the willed destruction of Eu-
selves and their loved ones in order to prove beyond all doubt
ropean Jewry and the intended complete eradication of
their faithfulness to the Almighty (see Shalom Spiegel, The
world Jewry by the Nazi regime, casts its shadow over all Jew-
Last Trial, New York, 1967, and the medieval religious
ish realities in the post-Holocaust era. The nature of this
poems collected in A. M. Habermann’s Sefer gezerot Ash-
event, and the particularity and peculiarity of its assault
kenaz ve-Tsarfat, Jerusalem, 1945).
against Jewish life and Jewish dignity, force a fundamental
The appeal of this interpretation lies in its conferring
reexamination of all inherited Jewish norms, not the least of
heroic status on the dead because of their sanctity and obedi-
which are Judaism’s traditional theological foundations. This
ence to the God of Israel. Their death is not due to sin, to
is not to assert that these classical assumptions will necessarily
any imperfection on their part, or to any violation of the cov-
change or prove inadequate to the test, but only that they
enant; rather, it is the climactic evidence of their unwavering
must again be asked to answer age-old questions of theodicy.
devotion to the faith of their fathers—not its abandonment.
To grasp the challenge of the Holocaust one must un-
As a consequence, the traditional (and present-day) reproach,
derstand the unique racial/Manichaean Weltanschauung of
that what befell Israel is “because of our sins,” is wholly inap-
Nazism and the role of the Jew in it. For Hitler and his
propriate. Not sin but piety is the key factor. God makes
Reich, anti-Semitism and the struggle against world Jewry
unique demands upon those who love him and whom he
were not only subjective sentiments of personal will but also
loves, and, as did Abraham, so too do the Jewish people re-
actualizations in history of metahistorical antitheses, and as
spond with a fidelity of unmatched purity and selflessness.
such, necessary and inevitable. Killing Jews, or more precise-
As such, the dreadful events become a test, the occasion for
ly eliminating “the Jews,” or Judaism itself, was in this mod-
the maximal religious service, the absolute existential mo-
ern Gnostic myth a sacred obligation. “The Jew,” the collec-
ment of the religious life, whose benefits are enjoyed both
tive singular, was the generic, supranatural enemy. The
by the martyrs in the world to come and by the world as a
Endlösung, the “final solution,” was not primarily under-
whole, inasmuch as it benefits from such dedication.
stood by its cruel initiator as a political or socioeconomic
In evaluating the appositeness of this reading of the
force. It was not an expression of class struggle or nationalism
Holocaust one appreciates its positive elements: It does not
in any recognizable sense. It was intended as, and received
assign sin to the victims and denies sin as the cause of the
its enormous power from, the fact that it aimed at nothing
horrific events that unfolded; it praises Israel’s heroism and
less than restructuring the cosmos. “Those who see in Na-
faithfulness. Yet the analogy between biblical and modern
tional Socialism nothing more than a political movement,”
events breaks down before other elemental features of the
Hitler unflinchingly observed, “know scarcely anthing of it.
EAqedah paradigm. First, in Genesis it is God who commands
It is more even than a religion: It is the will to create man-
the test. Are Jews likewise to impute Auschwitz to a com-
kind anew” (Hermann Rauschning, Gespräche mit Hitler,
mand of God? Second, in the original it is Abraham, God’s
Zurich, 1940, pp. 231f.). Thus, as if it were the conclusion
especially faithful servant, who is tested because of his special
of an immutable tautology, Hitler felt that the Jewish people
religious status: “Take now thy son, thy only son, whom
must be annihilated.
thou lovest” (Gn. 22:2). One cannot transfer, as the analogy
In responding to the catastrophic consequences of this
requires, Hitler and his Schutzstaffel (SS) into the pivotal role
racial fantasy, which claimed six million Jewish lives, Jewish
of the Abraham who would sacrifice his “beloved.” Finally,
thinkers have explored many theological avenues—some old,
in the biblical circumstance the angel of the Lord brings the
some new. As to the old, Jewish history is no stranger to na-
matter to a conclusion with no blood being shed: “Lay not
tional tragedy and, as a consequence, there is an abundance
thy hand upon the lad, neither do thou anything to him”
of traditional explanatory models that could be and have
(Gn. 22:12).
been adapted and reapplied to the Holocaust. From these,
JOB. The biblical Book of Job, the best-known treatment of
six have regularly been looked to by modern thinkers as pro-
theodicy in the Hebrew Bible, naturally presents itself as a
viding maps for understanding the theological complexities
second possible model for understanding the Holocaust.
raised by the Holocaust.
(See, for example, Maybaum, 1965, p. 70, and Greenberg,
THE EAQEDAH. The EAqedah, or “binding,” of Isaac, the bib-
1981.) According to such a rendering—which is not unlike
lical narrative recounted in Genesis 22:2ff., is often appealed
that offered by the EAqedah—Job provides an inviting para-
to as a possible paradigm for approaching the Holocaust.
digm because again Job’s suffering is not caused by his sinful-
(See, for example, Berkovits, 1973, pp. 124–125, and Neher,
ness but rather by his righteousness, which is perceived by
1981.) Such a move is rooted in Jewish tradition, especially
Satan as a cause for jealousy. Moreover, the tale ends on a
that of the medieval martyrologies of the Crusader and post-
“happy” note, as Job is rewarded for his faithfulness with
Crusader periods, in which the biblical event became the
God’s double blessing. On a deeper level, the resolution of
prism through which the horrific medieval experience be-
Job’s doubts is never really clear; God’s reply through the
came refracted and intelligible. Like Isaac of old, the Jewish
whirlwind is, in important ways, no answer to Job’s ques-
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tions; and Job’s first wife and family are still dead through
ham Joshua Heschel (1954 and 1955) and in that of Ortho-
no fault of their own.
dox thinkers such as Eliezer Berkovits (1973) and Irving
Greenberg (1981). “God’s servant,” writes Berkovits, “carries
Job presents details that lead away from rather than to-
upon his shoulders God’s dilemma with man through histo-
ward an analogy with the Holocaust, and hence disallow the
ry. God’s people share in all the fortunes of God’s dilemma
use of Job’s faithfulness as an appropriate response to Hitler’s
as man is bungling his way through toward Messianic realiza-
demonic assault. First, the reader of Job knows, by way of
tion” (p. 127).
the prologue, that the pact between God and Satan over the
conditions of Job’s trial explicitly stipulates that Job not be
One theologian, Ignaz Maybaum, a German Reform
killed. This, above all, renders the situation of Job and that
rabbi who survived the war in London, takes the paradigm
of Auschwitz altogether different. Second, except for the few
outside the traditional Jewish framework and uses it to con-
who survived them, all theological ruminations are the work
struct a more systematic, theological deconstruction of the
of those who were not in the death camps, and hence the
Holocaust. First in the “servant of God” in Isaiah, then in
theologian’s situation is not that of Job but, as Eliezer
the Jew Jesus, and now at Treblinka and Auschwitz, God
Berkovits has said, of Job’s brother. Third, the haunting mat-
uses the Jewish people to address the world and save it: “They
ter of those who died in order to make the test possible finds
died though innocently so that others might live” (May-
no resolution in Job. God’s capriciousness appears all too
baum, 1965, p. 67). According to this reading of the Holo-
manifest. Finally, the climax of Job occurs when God reveals
caust the perennial dialectic of history is God’s desire that
himself. He may not provide an answer to the specific bill
the Gentile nations come close to him while they resist this
of complaints raised by Job, but at least Job knows there is
call. To foster and facilitate this relationship is the special
a God and hence, at a minimum, some reason to “trust in
task, the “mission,” of Israel. It is they who must make God’s
the Lord,” even if he does not understand his ways. Job re-
message accessible in terms the Gentile nations will under-
ceives some sort of “answer,” as Martin Buber among others
stand and respond to. But what language, what symbols, will
has emphasized, through this manifestation of God’s pres-
speak to the nations? Modern Israel repeats collectively the
ence: “I had heard of thee by the hearing of the ear; but now
single crucifixion of one Jew two millennia ago and by so
mine eye sees thee; wherefore I abhor my words and repent”
doing reveals to humankind its weaknesses as well as the need
(Jb. 42:5–6; see Martin Buber, At the Turning, New York,
for its turning to Heaven. In a daring parallelism Maybaum
1952, pp. 61ff.). By contrast, those who went to their death
writes: “The Golgotha of modern mankind is Auschwitz.
in the death camps received no such comforting revelation
The cross, the Roman gallows, was replaced by the gas cham-
of the divine.
ber. The gentiles, it seems, must first be terrified by the blood
of the sacrificed scapegoat to have the mercy of God revealed
THE SUFFERING SERVANT. One of the richest theological
to them and become converted, become baptized gentiles,
doctrines of biblical theodicy is that of the Suffering Servant.
become Christians” (ibid., p. 36). For Maybaum, through
Given its classic presentation in the Book of Isaiah (especially
the Holocaust the world moves again forward and upward,
chapter 53), the Suffering Servant doctrine is that of vicari-
from the final vestiges of medieval obscurantism and intoler-
ous suffering and atonement in which the righteous suffer
ance, of which the ShoDah is a product, to a new era of spiri-
for the wicked and hence allay, in some mysterious way,
tual maturity, human morality, and encounter between the
God’s wrath and judgment, thus making the continuation
human and the divine.
of humankind possible. According to Jewish tradition, the
Suffering Servant is Israel, the people of the covenant, who
Applied to the Holocaust, the doctrine of the Servant
suffer with and for God in the midst of the evil of creation.
seems worse than the problem: It means that God can act
By suffering for others, the Jewish people make it possible
cruelly, demand terrible sacrifices, and regulate creation by
for creation to endure. In this act of faithfulness the guiltless
“unacceptable” means. Surely the omnipotent, omniscient
establish a unique bond with the Almighty. As they suffer
creator could have found a more satisfactory principle for di-
for and with him, he shares their suffering and agony and
recting and sustaining his creation. Recourse to mystery, to
comes to love them in a special way for loving him with such
saying “God’s ways are not our ways,” is not an explanation;
fortitude and depth. (For the rabbinic use of this concept see,
rather, it is a capitulation before the immensity of the ShoDah
in the Babylonian Talmud, Sanhedrin 98b, Berakhot 5a, and
and a cry of faith.
Sotah 14a.)
The more specific, elaborate, form given the doctrine by
In Jewish theological writings emanating from the
Maybaum empties Jewish life of all meaning other than that
Holocaust era itself and continuing down to the present day,
intelligible to and directed toward the gentile nations. Only
this theme has been enunciated. One finds it in the writings
the Christocentric pattern now applied to the people of Israel
of Hasidic rebeyim (see, for example, Kalman Kalonymus
gives this people’s history and spirituality meaning. In addi-
Spiro, Esh qodesh [Holy fire], Jerusalem, 1960, and the mate-
tion, this view is predicated on a false analogy between the
rial presented in Eleh ezkerah [These will I remember], edited
Holocaust and Good Friday. Christians are able to declare
by Isaac Lewin, 6 vols., New York, 1956–1965). It is also
that “Christ died for the sins of humankind” for (at least)
evinced in the work of Conservative thinkers such as Abra-
two cardinal reasons. The first and most weighty is that
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Christ is believed to be God Incarnate, the second person of
In applying the doctrine of hester panim to the Holo-
the Trinity: The crucifixion is God taking the sins of human-
caust, modern theologians are attempting to vindicate Israel,
ity on himself. He is the vicarious atonement for human-
to remove God as the direct cause of the evil by suggesting
kind. There is thus no terrible cruelty or unspeakable “crime”
that evil is something humans do to other humans, and to
but only divine love, the presence of unlimited divine grace.
affirm the reality and even the saving nature of the divine de-
Second, the human yet divine Christ, the hypostatic union
spite empirical evidence to the contrary. Hester panim is not
of humanity and God, mounts the cross voluntarily. He will-
merely or only the absence of God; rather, it entails a more
ingly “dies so that others might live.” How very different was
complex exegesis of divine providence stemming from an
the ShoDah. How very dissimilar its victims (not martyrs) and
analysis of the ontological nature of the divine. God’s ab-
their fate. The murdered were not divine, they were all-too-
sence, hester panim, is a necessary, active, condition of his
human creatures crushed in the most unspeakable brutality.
saving mercy; that is, his “hiddenness” is the obverse of his
If God was the cause of their suffering, how at odds from
“long-suffering” patience with sinners. In other words, being
the traditional Christian picture this is. For here God pur-
patient with sinners means allowing sin. “One may call it the
chases life for some by sacrificing others, not himself. Fur-
divine dilemma that God’s Erekh Apayim, his patiently wait-
thermore, the Jews were singled out “unwillingly”; they were
ing countenance to some is, of necessity, identical with his
not martyrs in the classical sense—though some may wish
hester panim, his hiding of the countenance, to others”
to transform this fate for their own needs by seeing them as
(Berkovits, 1973, p. 107). Hester panim also is dialectically
such.
related to the fundamental character of human freedom
without which human would not be human. It should also
The disanalogy of the Holocaust and Good Friday
be recognized that this notion is an affirmation of faith. The
would yet reveal something more. According to Maybaum,
lament addressed to God is a sign that God exists and that
the symbol of the crucifixion is one of vicarious atonement.
his manifest presence is still possible. Even more, it proclaims
But given the circumstances of the vicarious sacrifice of the
that God in his absence is still, paradoxically, present. It is
ShoDah, is it not the case that the nature of the atonement
a sign that one believes that ultimately evil will not triumph,
is far more criminal and infinitely more depraved than the
for God will not always “hide his face.” For some contempo-
sins for which it atones? What sort of kohanim (“priests”)
rary Jewish theologians, like Emil L. Fackenheim, Eliezer
were the Nazis, and what sort of sacrifice could they bring
Berkovits, Irving Greenberg, and Martin Buber, the state of
about? Can one truly envision God, the God of Israel, mak-
Israel is proof of the vindication of the forces of good over
ing such a vicarious expiation?
evil, light over darkness.
HESTER PANIM. In wrestling with human suffering, the He-
Martin Buber, in his contemporary idiom, modernized
brew Bible appeals, especially in the Psalms, to the notion
the biblical phrase and spoke of the era, during and after the
of hester panim, “the hiding of the face” of God. This concept
Holocaust, as a time of “the eclipse of God” (as he titled his
has two meanings. The first, as in Deuteronomy 31:17–18
book, 1952). This felicitious description represents Buber’s
and later in Micah 3:4, is the causal one that links God’s ab-
wish to continue to affirm the existence of God despite the
sence to human sin. God turns away from the sinner. The
counterevidence of Auschwitz. Yet this again is an appeal to
second sense, found particularly in certain psalms (e.g., Ps.
faith and mystery despite strong evidence to the contrary.
44, 69, 88 and variants in, e.g., Ps. 9, 10, 13; see also Jb.
Also, this gambit still fails to answer the pressing question:
13:24), suggests protest, despair, and confusion over the ab-
Where was God in the death camps? Given the moral attri-
sence of God for no clear reason, and not as a consequence
butes, the qualities of love and concern, that are integral to
of sin. Here humankind stands “abandoned” for reasons that
God’s nature, how can one rest in the assertion of his self-
appear unknown and unfathomable. Thus the repetitive
willed absence, that is, in passivity, in the face of the murder
theme of lament in the Psalms as the psalmists implore God
of a million Jewish children. The solution only produces a
“why” or “how long” he will be absent.
larger conundrum.
In the rabbinic sources the term hester panim is further
MIPPENEI H:ATADEINU. In biblical and later Jewish sources
developed in a variety of contexts, most notably in response
the principal though not unique “explanation” for human
to the destruction of the Second Temple in 70 CE. Its em-
suffering was sin, as has been seen. There was a balance in
ployment is an indication (1) that the traditional, more wide-
the universal order that was inescapable: Good brought forth
ly used explanation for that event—that it was brought on
blessing and sin retribution. Both on the individual and col-
by sin—is either not compelling or is being rejected; and (2)
lective level the law of cause and effect, of sin and grief, oper-
that the sages were profoundly perplexed by this and related
ated. In the present time it is not surprising that some theolo-
events and yet could not or would not account for it through
gians—particularly traditional ones—and certain rabbinical
appeal to either human sinfulness or divine capriciousness.
sages have responded to the tragedy of European Jewry with
Their faith in divine providence required that they not aban-
this classical “answer.” Harsh as it is, the argument advanced
don trust in God, but just how his will and presence was to
is that Israel sinned grievously and God, after much patience
be deciphered seemed increasingly uncertain; hence the ap-
and hope of return, finally “cut off” the generation of the
peal to hester panim.
wicked. The reasoning is expressed in the phrase mippenei
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h:ataDeinu (“because of our sins” are Jews punished). Though
THE FREE WILL DEFENSE. Among philosophical reflections
the majority of those who have wrestled with the theological
concerning theodicy, none has an older or more distin-
implications of the ShoDah have rejected this line of analysis,
guished lineage than that known as the free will defense. Ac-
an important, if small, segment of the religious community
cording to this argument human evil is the necessary and
have consistently advanced it.
ever-present possibility entailed by the reality of human free-
dom. If human beings are to be capable of acts of authentic
Two questions immediately arise in pursuing the appli-
morality they must be capable of acts of authentic immorali-
cation of the age-old doctrine to the contemporary tragedy
ty. Applying this consideration to the events of the Nazi
of the Holocaust. The first is: “What kind of God would
epoch, the ShoDah becomes a case of the extreme misuse of
exact such retribution?” Christian thinkers who “explain”
human freedom. At the same time such a position in no way
Auschwitz as one of many punishments of a rebellious Israel
forces a reconsideration of the cosmological structure in
for the crime of deicide, and Jewish thinkers who pronounce
which the anthropological drama unfolds, nor does it call
Israel’s sinfulness are both obligated to reflect, to be self-
into question God’s goodness and solicitude, for it is human-
conscious, about the implications of their idea of God.
ity and not God who perpetrates genocide. God observes
Could a God of love, the God of Israel, use a Hitler to anni-
these events with his unique divine pathos, but refrains from
hilate the Jewish people?
intercession in order to allow human morality to be substan-
Second, what sin could Israel be guilty of to warrant
tively real. At the same time that he is long-suffering with
such retribution? Here the explanations vary depending on
evil elements of humanity, his patience results in the suffer-
one’s perspective. For some, such as the Satmar rebe YoDel
ing of others.
Teitelbaum (1888–1982) and his small circle of Hasidic and
This situation, however, is not ultimate or final in the
extreme right-wing, anti-Zionist followers, the sin that pre-
Jewish context, for there is also the deeply held contention
cipitated the Holocaust was Zionism. For in Zionism the
that God must absent himself for humankind to be but must
Jewish people broke their covenant with God, which de-
also be present in order that meaninglessness does not ulti-
manded that they not try to end their exile and thereby has-
mately gain final victory. Thus God’s presence in history
ten the coming of the Messiah through their own means. In
must be sensed as hiddenness, and his anonymity must be
return “we have witnessed the immense manifestation of
understood as the sign of his presence. God reveals his power
God’s anger [the Holocaust]” (Sefer va-Yo Del Mosheh, Brook-
in history by curbing his might so that humankind too might
lyn, New York, 5721/1961, p. 5). For others on the right
be powerful. In Israel’s experience, as Berkovits declares in
of the religious spectrum the primary crime was not Zionism
making this case, one sees both attributes of God. The con-
but Reform Judaism. In this equation the centrality of Ger-
tinued existence of the Jewish people despite its long record
many as the land that gave birth simultaneously to Reform
of suffering is the strongest single proof that God does exist
Judaism and Nazism is undeniable proof of their causal con-
despite his concealment. Israel is the witness to God’s pres-
nection. (See, for the presentation of this position, Elh:anan
ence in space and time. Nazism understood this fact, and its
Wasserman, EIqvata de-meshihaD [In the footsteps of the
slaughter of Jews was an attempt to slaughter the God of his-
Messiah], Tel Aviv, 5702/1942, p. 6; H:ayyim EOzer
tory. The Nazis were aware, even as Israel sometimes fails to
Qanyevsqi, H:ayyei EOlam [Eternal Life], Rishon Le-Zion,
be, that God’s manifest reality in the world is necessarily
5733/1972.) In a similar, if broader vein, others of this theo-
linked to the fate of the Jewish people.
logical predisposition identified Jewish assimilation as the
This defense has been—not surprisingly, given its his-
root issue. Again the key role played by Germany is “proof”
torical tenacity and intellectual power—widely advocated by
of the mechanism of cause and effect. Alternatively, in these
post-Holocaust thinkers of all shades of theological opinion.
same very traditional Orthodox circles, Issachar Teichthal
The two most notable developments of the theme in the gen-
saw the negative catalyst not in the Jewish people’s Zionist
eral theological literature are in Berkovits’s Faith after the
activity but just the reverse, in their passionate commitment
Holocaust and Arthur A. Cohen’s The Tremendum.
to life in exile and their failure to support willingly and freely
the sanctified activity of Zionist upbuilding and thereby
In trying to estimate the power of the free will argument
bring the exile to a close. In his book Em ha-banim semeh:ah
in the face of Auschwitz, two counterarguments are salient.
(The mother of children is happy), written in Hungary in
First, could not God, possessed of omniscience, omnipo-
1943, Teichthal, writing in the belief that the twin events
tence, and absolute goodness, have created a world in which
of the Holocaust and the growth of the Zionist movement
there was human freedom but less evil—or even none at all?
marked the beginning of the messianic era, declaimed: “And
The sheer gratuitous evil manifest during the Holocaust goes
these [anti-Zionist leaders] have caused even more lamenta-
beyond anything that appears logically or metaphysically
tion; [and because of their opposition] we have arrived at the
necessary for the existence of freedom and beyond the
situation we are in today . . . this abomination in the house
bounds of toleration for a just, all-powerful God. Secondly,
of Israel—endless trouble and sorrow upon sorrow—all be-
it might be argued that it would be morally preferable to have
cause we despised our precious land” (Em ha-banim semeh:ah,
a world in which evil did not exist, at least not in the magni-
Budapest, 5703/1943, p. 17).
tude witnessed during the ShoDah, even if this meant doing
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without certain heroic moral attributes or accomplishments.
actually “spoke” to the people of Israel. Fackenheim, howev-
That is to say, for example, though feeding and caring for
er, would reject this literal meaning in line with his dialogical
the sick or hungry is a great virtue it would be far better if
premises. It would seem that for him the word has only ana-
there were no sickness or hunger and hence no need for such
logical or metaphorical sense in this case; if so, what urgency
care. Here it is important to recognize that free will is not,
and compelling power does it retain? Secondly, should Hitler
despite a widespread tendency so to understand it, all of one
gain such prominence in Jewish theology, to the extent that
piece. Free will can be limited to apply only in certain, specif-
Judaism survives primarily in order to spite his dark memo-
ic circumstances, just as action can be constrained in certain
ry? Raising these two issues only begins to do justice to the
ways. Consider, too, that God could have created a human-
richness and ingenuity of Fackenheim’s position.
kind that, while possessing free will, nonetheless also had a
THE COVENANT BROKEN: A NEW AGE. A second modern
proportionately stronger inclination for the good and a cor-
thinker who has urged continued belief in the God of Israel,
respondingly weaker inclination to evil.
though on new terms, is Irving Greenberg. For Greenberg
A NEW REVELATION. To this point the first six positions an-
all the old truths and certainties have been destroyed by the
alyzed have all been predicated upon classical Jewish re-
Holocaust. Any simple faith is now impossible. Greenberg
sponses to national tragedy. In the last two decades, however,
explicates this radical notion in this way. There are three
a number of innovative, more radical, responses have been
major periods in the covenantal history of Israel. The first
evoked from contemporary post-Holocaust thinkers. The re-
is the biblical era. What characterizes this first covenantal
mainder of this article will concentrate on the most impor-
stage is the asymmetry of the relationship between God and
tant of these explorations, beginning with the contention ar-
Israel. The biblical encounter may be a covenant, but it is
gued by Emil L. Fackenheim, that the Holocaust represents
clearly a covenant in which “God is the initiator, the senior
a new revelation. Rejecting any account that analyzes Ausch-
partner, who punishes, rewards and enforces the punishment
witz as a mippenei h:at:aDeinu event, or, in fact, any notion of
if the Jews slacken” (Greenberg, 1981, p. 6). This type of re-
an “explanation” for the Holocaust, Fackenheim, employing
lationship culminated in the crisis engendered by the de-
a Buberian model of dialogical revelation, revelation as the
struction of the First Temple in 587/6 BCE. To this tragedy
personal encounter of an I with the eternal Thou (God),
Israel, through the prophets, in keeping with the logic of this
urges Israel to continue to believe despite the moral outrage
position, responded primarily through the doctrine of self-
of the ShoDah. God, in this view, is always present in Jewish
chastisement: The destruction was divine punishment rather
history, even at Auschwitz. One does not, and cannot, un-
than rejection or proof of God’s nonexistence.
derstand what he was doing at Auschwitz, or why he allowed
it, but one must insist that he was there. Still more, from the
The second, rabbinic phase in the transformation of the
death camps as from Sinai, God commands Israel. The na-
convenant idea is marked by the destruction of the Second
ture of this commanding voice, what Fackenheim has called
Temple. The reaction of the rabbis was to argue that now
the “614th Commandment” (there are 613 commandments
Jews must take a more equal role in the covenant, becoming
in traditional Judaism) is: “Jews are forbidden to hand Hitler
true partners with the Almighty. “The manifest divine pres-
posthumous victories” (1970, p. 84); that is, Jews are under
ence and activity was being reduced but the covenant was ac-
a sacred obligation to survive; after the death camps Jewish
tually being renewed” (ibid., p. 7). For the destruction sig-
existence itself is a holy act; Jews are under a sacred obliga-
naled the initiation of an age in which God would be less
tion to remember the martyrs; Jews are, as Jews, forbidden
manifest though still present.
to despair of redemption or to become cynical about the
Greenberg believes that a “third great cycle in Jewish
world and humanity, for to submit to cynicism is to abdicate
history” has come about as a consequence of the Holocaust.
responsibility for the world and to deliver the world into the
The ShoDah marks a new era in which the Sinaitic covenantal
hands of Nazism and similar potentially evil forces. And
relationship was shattered and thus an unprecedented form
above all, Jews are “forbidden to despair of the God of Israel,
of convenantal relationship, if there is to be any covenantal
lest Judaism perish” (ibid.). The voice that speaks from
relationship at all, must come into being to take its place. “In
Auschwitz above all demands that Hitler win no posthumous
retrospect, it is now clear that the divine assignment to the
victories, that no Jew do what Hitler could not do. Facken-
Jews was untenable. After the Holocaust, it is obvious that
heim invests the Jewish will for survival with transcendental
this role opened the Jews to a total murderous fury from
significance. Precisely because others would eradicate Jews
which there was no escape. . . . Morally speaking, then,
from the earth, Jews are commanded to resist annihila-
God can have no claims on the Jews by dint of the Cove-
tion. Paradoxically, Hitler makes Judaism after Auschwitz a
nant.” What this means, Greenberg argues, is that the
necessity.
covenant
This interesting, highly influential response to the
can no longer be commanded and subject to a serious
ShoDah requires detailed analysis. How do historical events
external enforcement. It cannot be commanded because
become “revelatory”? And what exactly does Fackenheim
morally speaking—covenantally speaking—one cannot
mean by the term commandment? In the older, traditional
order another to step forward to die. One can give an
theological vocabulary of Judaism, it meant something God
order like this to an enemy, but in a moral relationship,
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I cannot demand giving up one’s life. I can ask for it
also familiar with the work of the process theologians. After
or plead for it—but I cannot order it. (ibid., p. 23)
arguing for the enormity of the Holocaust, its uniqueness,
Out of this complex of considerations, Greenberg pro-
and its transcendence of any meaning, Cohen suggested that
nounces the fateful judgment: The Jewish covenant with
the way out of the dilemma posed by classical thought is to
God is now voluntary. Jews have, quite miraculously, chosen
rethink whether “national catastrophes are compatible with
to continue to retain their Jewish identity and to build a col-
our traditional notions of a beneficent and providential
lective Jewish state, the ultimate symbol of Jewish continuity.
God” (p. 50). For Cohen the answer is no, at least to the ex-
But these acts are, after Auschwitz, the result of the free
tent that the activity and nature of the providential God
choice of the Jewish people. The consequence of this volun-
must be reconceptualized. Against the traditional view that
tary action transforms the existing covenantal order. First Is-
asks, given its understanding of God’s action in history, how
rael was a junior partner, then an equal partner, and finally,
it could be that God witnessed the Holocaust and remained
after Auschwitz, it becomes the senior partner, “so in love
silent, Cohen would pose the contrary “dipolar” thesis that
with the dream of redemption that it volunteered to carry
“what is taken as God’s speech is really always man’s hearing,
on with its mission” (ibid., p. 25).
that God is not the strategist of our particularities or of our
historical condition, but rather the mystery of our futurity,
In turn, Israel’s voluntary acceptance of the covenant
always our posse, never our acts” (p. 97). That is, “if we begin
and its continued will to survive suggest three corollaries.
to see God less as an interferer whose insertion is welcome
First, these factors point, if obliquely, to the continued exis-
(when it accords with our needs) and more as the immensity
tence of the God of Israel. By creating the state of Israel, by
raising Jewish children, Israel shows that “covenantal hope
whose reality is our prefiguration . . . we shall have won a
is not in vain” (ibid., pp. 37–38). Second, in an age of volun-
sense of God whom we may love and honor, but whom we
tarism rather than coercion, living as a Jew under the cove-
no longer fear and from whom we no longer demand”
nant can no longer be interpreted monolithically, that is,
(ibid.).
only in strict halakhic (traditional rabbinic) fashion. Third,
This redescription of God, coupled with a form of the
any aspects of religious behavior that demean the image of
free will defense, made all the more plausible because God
the divine or of humanity, such as racial prejudice, sexism,
is now not a direct causal agent in human affairs, resolves
and oppression of all sorts, must be purged.
much of the tension created by the tremendum.
Interpretation of Greenberg’s view must turn on the fol-
lowing issues: the correctness of his theological reading of
This deconstruction of classical theism and its substitu-
Jewish history, an open and difficult question; the theologi-
tion by theological dipolarity fails to deal adequately with the
cal meaning and status of key categories such as “covenant,”
problem of God’s attributes. Is God still God if no longer
“revelation,” “commandment,” and the like—that is, on the
the providential agency in history? Is God still God who
one hand, whether Greenberg has done justice to the classical
lacks the power to enter history vertically to perform the mi-
meaning of these terms, and, on the other, whether his re-
raculous? Is such a “dipolar” God still the God to whom one
vised rendering is justifiable and functional; and whether
prays, the God of salvation? Put the other way round, it cer-
Jews should allow Hitler and the Holocaust such decisive
tainly does not appear to be the God of the covenant, nor
power in determining the inner, authentic nature of Jewish
the God of exodus and Sinai, nor yet the God of the prophets
theology.
and the h:urban bayit riDshon (“destruction of the First Tem-
A R
ple”) and the h:urban bayit sheni (“destruction of the Second
EDEFINITION OF GOD. An important school in modern
theological circles known as “process theology,” inspired by
Temple”). These counterevidences suggest that Cohen’s God
the work of Alfred North Whitehead and Charles Hart-
is not the God of the Bible and rabbinic tradition. Hence
shorne, has argued that the classical understanding of God
it is legitimate to ask whether, if Cohen is right—indeed,
has to be quite dramatically revised, especially in terms of
particularly if Cohen is right—there is any meaning left in
Jewish conception of God’s power and direct, causal involve-
Judaism, in the idea of God in Jewish tradition, or any cove-
ment in human affairs. According to those who advance this
nantal role or meaning left to the Jewish people? Cohen’s re-
thesis God certainly exists, but the old and the more recent
visionism in this particular area is so radical that it sweeps
difficulties of theodicy and related metaphysical problems
away the biblical ground of Jewish faith and tradition and
emanating from classical theism arise precisely because of an
allows the biblical evidence to count not at all against his
inadequate description of the Divine, a description that in-
own speculative metaphysical hypotheses.
correctly ascribes to God attributes of omnipotence and om-
Secondly, is the dipolar, noninterfering God “whom we
niscience.
no longer fear and from whom we no longer demand” yet
Arthur A. Cohen, in his The Tremendum: A Theological
worthy of “love and honor?” This God seems closer, say, to
Interpretation of the Holocaust (1981), made a related propos-
Plato’s Demiurge or perhaps better still to the God of the
al. Although he draws on the writing of F. W. J. Schelling
deists. What difference in Jewish lives is there between this
(1775–1854) and Franz Rosenzweig (1886–1929) and on
God and no God at all? What sense is there, given his nonin-
Qabbalah (Jewish mysticism) as his sources, he is no doubt
terference, in calling him a God of love and salvation?
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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HOLOCAUST, THE: JEWISH THEOLOGICAL RESPONSES
Nevertheless, The Tremendum is an important work of
of overcoming it; humans must submit to and enjoy their
Jewish theology that forces scholars to engage in theology as
physicality—not try to transform or transcend it. Rubenstein
few recent books by Jewish authors have and that is saturated
sees the renewal of Zion and the rebuilding of the land with
with an intense concern with the people of Israel; it is the
its return to the soil as a harbinger of this return to nature
product of a deep and broadly educated mind.
on the part of the Jew who has been removed from the earth
GOD IS DEAD. It is natural that many should have respond-
(symbolically, from nature) by theology and necessity for al-
ed to the horror of the Holocaust with unbelief. Such skepti-
most two thousand years. The return to the land points to-
cism usually takes a nonsystematic, almost intuitive, form:
ward the final escape of the Jew from the negativity of history
“I can no longer believe.” However, one contemporary Jew-
to the vitality and promise of self-liberation through nature.
ish theologian, Richard L. Rubenstein, has provided a for-
Rubenstein’s challenging position raises two especially
mally structured “death of God” theology as a response to
difficult issues. The first has to do with how one evaluates
the ShoDah.
Jewish history as “evidence” for and against the existence of
In Rubenstein’s view the only honest response to the
God. It may well be that the radical theologian sees Jewish
death camps is the rejection of God, the statement “God is
history too narrowly. He takes the decisive event of Jewish
dead,” and the open recognition of the meaninglessness of
history to be the death camps. Logic and conceptual adequa-
existence. One’s life is neither planned nor purposeful, there
cy require that if one gives negative theological weight to
is no divine will, and the world does not reflect divine con-
Auschwitz one must give positive theological weight to the
cern. Humankind must now reject its illusions and recognize
re-creation of the Jewish state, an event of equal or greater
the existential truth that life is not intrinsically valuable, that
import in Jewish history. Another issue raised by the ques-
the human condition reflects no transcendental purpose, and
tion of “evidence” is the adoption by Rubenstein of an em-
that history reveals no providence. All theological “rational-
piricist theory of meaning as the measure by which to judge
izations” of Auschwitz pall before its enormity and, for Ru-
the status of God’s existence. History, in its totality, provides
benstein, the only worthy reaction is the rejection of the en-
evidence both for and against the nonexistence of God on
tire Jewish theological framework: There is no God and no
empirical or verificationist grounds—that is, there is both
covenant with Israel. Drawing heavily upon the atheistic ex-
good and bad in history.
istentialists such as Camus, Sartre, and earlier Nietzsche, Ru-
benstein interprets this to mean that in the face of history’s
MYSTERY AND SILENCE. In the face of the Holocaust, re-
meaninglessness human beings must create and project
course to the God of mystery and human silence are not un-
meaning.
worthy options. However, there are two kinds of silence, two
kinds of employment of the idea of a God of mystery. The
What makes Rubenstein’s theology a Jewish theology
first is closer to the attitude of the agnostic: “I cannot know.”
are the implications he draws from his radical negation with
Hence all profound existential and intellectual wrestling with
respect to the people of Israel. Rubenstein inverts the ordi-
the enormous problems raised by the ShoDah and with God
nary perception and argues that with the death of God, the
after the ShoDah are avoided. The second is the silence and
existence of the community of Israel is all the more important.
mystery that Job and many of the prophets manifest, to
Now that there is nowhere else to turn for meaning, Jews
which the Bible points in its recognition of God’s elemental
need each other all the more to create meaning: “It is precise-
otherness. This is the silence that comes after struggling with
ly because human existence is tragic, ultimately hopeless, and
and reproaching God, after feeling his closeness or his pain-
without meaning that we treasure our religious community”
ful absence. This silence, this mystery, is the silence and mys-
(1966, p. 68). Though Judaism has to be “demythologized,”
tery of seriousness, of that authenticity that will not diminish
that is, it has to renounce all normative claims to a unique
the tragedy with a too quick answer, yet that, having forced
“chosen” status, at the same time it paradoxically gains
reason to its limits, recognizes the limits of reason. Had
heightened importance in the process.
Abraham accepted God’s judgment at Sodom too quickly,
Coupled to this psychoanalytic revisionism in Ruben-
or Job his suffering in a too easy silence, they would have be-
stein’s ontology is a mystical paganism in which the Jew is
trayed the majesty and morality of the God in whom they
urged to forgo history and return to the cosmic rhythms of
trusted. In the literary responses to Auschwitz by survivors
natural existence. The modern Jew is exhorted to recognize
one finds this attitude more commonly than in works of
the priorities of nature. So, for example, he or she must come
overt theology. It is preeminent, for example, in the novels
to understand that the real meaning of messianism is “the
of Elie Wiesel, André Schwarz-Bart, and Primo Levi and in
proclamation of the end of history and return to nature and
the poetry of Nelly Sachs. Assuredly, there is great difficulty
nature’s cyclical repetitiveness” (ibid., p. 135). The future
in ascertaining when thought has reached its limit and silence
and final redemption is not to be the conquest of nature by
and mystery become proper, but, at the same time, there is
history, as traditionally conceived in the Jewish tradition, but
the need to know when to speak in silence.
rather the conquest of history by nature and the return of
all things to their primal origins. Humanity has to rediscover
SEE ALSO Jewish Thought and Philosophy, article on Mod-
the sanctity of its bodily life and reject forever the delusion
ern Thought.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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4095
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Biale, David. Review of Emil Fackenheim’s The Jewish Return into
in Post-Holocaust Jewish Thought. Princeton, N.J., 1998.
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Cohn-Sherbok, Dan. Holocaust Theology: A Reader. New York,
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New York, 2002.
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Haynes, Stephen R., and John K. Roth, eds. The Death of God
Jewish Thinking in the Aftermath of the Holocaust. New York,
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Jonas, Hans. Mortality and Morality: A Search for Good after Ausch-
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Fackenheim, Emil L. God’s Presence in History. New York, 1970.
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Feminist Theology of the Holocaust. Religion and Gender.
Fackenheim, Emil L. To Mend the World. New York, 1982.
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Greenberg, Irving. “Judaism and History: Historical Events and
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Greenberg, Irving. The Third Great Cycle in Jewish History. New
HOLY, IDEA OF THE. [This entry attempts an assess-
York, 1981.
ment of the role of the German theologian Rudolf Otto and his
Katz, Steven T. Post-Holocaust Dialogues: Critical Studies in Mod-
book The Idea of the Holy in setting forth a distinctively phe-
ern Jewish Thought. New York, 1983.
nomenological interpretation of the nature of religion.]
Maybaum, Ignaz. The Face of God after Auschwitz. Amsterdam,
Rudolf Otto’s work during the first half of his career
1965.
culminated with his publication, at the age of forty-eight, of
Meyer, Michael A. “Judaism after Auschwitz.” Commentary 53
Das Heilige (1917), translated as The Idea of the Holy (1923).
(June 1972): 55–62.
Published in an age of high hopes for science, it has as a cen-
Neher, André. The Exile of the Word: From the Silence of the Bible
tral concern the assertion of the autonomy of religion. Otto’s
to the Silence of Auschwitz. Philadelphia, 1981.
position is diametrically opposed to what has come to be
Rubenstein, Richard L. After Auschwitz: History, Theology, and
called reductionism, that is, the explanation of religion as a
Contemporary Judaism. Indianapolis, 1966.
creation of human culture, a response to psychological or so-
Rubenstein, Richard L. The Religious Imagination. Indianapolis,
cial needs that is in some sense the product of those needs.
1968.
Otto, by contrast, asserts the autonomy of religion in the
Rubenstein, Richard L. Morality and Eros. New York, 1970.
sphere of its own activity and its status as a response to a
Rubenstein, Richard L. Power Struggle. New York, 1974.
power transcending the human.
Rubenstein, Richard L. The Cunning of History: Mass Death and
A landmark among theories of religion, Otto’s book ap-
the American Future. New York, 1975.
peared only five years after the major work by the French so-
Rubenstein, Richard L. The Age of Triage: Fear and Hope in an
ciologist Émile Durkheim (1858–1917), Les Formes élé-
Overcrowded World. Boston, 1983.
mentaires de la vie religieuse. To situate Otto in European
Tiefel, Hans O. “Holocaust Interpretations and Religious As-
intellectual history, it will be useful to discuss Durkheim
sumptions.” Judaism 25 (Spring 1976): 135–149.
briefly. This is not because of any direct response by Otto
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4096
HOLY, IDEA OF THE
to Durkheim; as far as can be told, they never met in person,
the affirmations or practices of a particular community and
nor did the German theologian and the French sociologist
tradition.
discuss each other’s works. Rather, the contrast between
these two influential books demonstrates the presence of an
The subtitle of Otto’s The Idea of the Holy declares his
issue that has persisted in the interpretation of religion.
agenda: An Inquiry into the Nonrational Factor in the Idea of
Durkheim, who analyzes the sacred as originating in a sym-
the Divine and Its Relation to the Rational. Otto was not seek-
bolic projection of the clan or tribal group identity, stands
ing to deny an important role to rationality. Far from it.
as a polar opposite to Otto, who portrays the holy as a power
Otto, in the tradition of Immanuel Kant (1724–1804), in-
far greater than, and lying far beyond, the human realm.
sisted that reason could operate a priori to establish mathe-
matics, rules of inference, and the like, and could operate a
Although Otto does not seem to have reacted directly
posteriori to distill impressive amounts of information from
to Durkheim, he did write an article in 1910 that was sharply
sense data. In particular, Otto sought to extend and refine
critical of a figure Durkheim found attractive: the German
the application of the Kantian critique of reason promoted
psychologist Wilhelm Wundt, whose Völkerpsychologie
by Kant’s disciple Jakob Friedrich Fries (1773–1843). Those
(Leipzig, 1900–1909) offered an evolutionary theory of reli-
today who read Das Heilige in isolation should note Otto’s
gion as a social phenomenon, the product of group fantasy.
priorities in his foreword to the 1923 English translation: “I
Otto flatly denied the possibility of a social account of cus-
feel that no one ought to concern himself with the ‘Numen
toms and myths in the absence of a capacity for religious feel-
ineffabile’ who has not already devoted assiduous and serious
ing in the individual, and he asserted the uniqueness of such
study to the ‘Ratio aeterna.’” Religious orthodoxy in general,
a feeling as a distinctively human spiritual capacity.
and Christian doctrine in particular, have a tendency toward
rationalization, Otto asserts. But while highly developed ra-
The significance of Rudolf Otto’s work is that it takes
tional, conceptual systems have their place, Christian theolo-
account of the cumulative critical and scientific tradition of
gy has tended to overlook the nonrational element in reli-
modern Europe and claims a place of respect for religious ex-
gious experience. It is this element that Otto seeks to
perience and religious thought in a modern age. That critical
characterize and illustrate in Das Heilige as “something re-
heritage, too vast to be set forth in detail here, included the
markably specific and unique” (p. 4).
institutional challenges to church authority of the Renais-
sance, Reformation, and French Revolution. It included the
The principal and abiding interest of Rudolf Otto’s phi-
rationalist critique of revealed knowledge made by the eigh-
losophy of religion has centered on his description of reli-
teenth-century Enlightenment. It included nineteenth-
gious experience. In Das Heilige Otto presented as character-
century scientific discovery, comprehending a view of the
istic of religion a particular awareness of the presence of
evolution of human biology that many saw as paradigmatic
divinity for which he coined the word numinous. He derived
for culture as well. And it included comparative linguistic,
the word from numen, the Latin term for a divine spirit or
historical, and cultural studies fueled by an expanding fund
localized power that the ancient Romans perceived in nature.
of information from Europe’s contact with the rest of the
The numinous, for Otto, is a feeling that one has as a crea-
world; this new knowledge tended to remove the element of
ture in the presence of a superior power. Otto gives it a three-
uniqueness from various aspects of the Christian heritage.
factor explication: It is the awareness of a mystery (something
Otto, then, was a product of modern European culture, seek-
wholly other than one’s self); which is tremendum (awe-
ing an up-to-date but sympathetic expression of religion in
inspiring, overpowering, possessed of its own emotion-like
terms of what that culture had at its disposal.
initiative) yet at the same time fascinating (such that one is
drawn to seek communication with it). Having set this forth
RELIGIOUS FEELING. By and large, the use of the expression
in forty pages, Otto seeks in the balance of the book to de-
the holy as a noun has spread since the appearance of Rudolf
scribe ways in which the sense of the numinous is expressed
Otto’s book, and as a direct result of it. Otto was not the first
in religious art, in biblical literature, and in the writings of
to employ the holy as a noun; that distinction may belong to
the Christian mystics. Writing as a Lutheran, Otto is particu-
the German philosopher Wilhelm Windelband (1848–
larly interested in mystical elements in the faith of Martin
1915), who did so in an essay in 1903. In any event, the pat-
Luther.
tern of making noun concepts out of adjectival qualities was
not new; for instance, the term das Göttliche (“the divine”)
Although Das Heilige seems to start out as a treatment
is found in the writings of the German philosopher G. W.
of a philosophical problem, namely the role of the rational
F. Hegel (1770–1831).
and the nonrational as sources of religious knowledge, the
bulk of the book is not so much an argument as a collection
In the academic study of religion in the English-
of illustrations. Herein perhaps lie both the book’s weakness
speaking world, reference to the holy has implied an appreci-
and its strength. The reader is drawn into material from the
ation of divine potency as a reality. The usefulness of the
history of religious life rather than the history of doctrine,
term has been generic: It has been possible to take references
drawn into territory that is more psychological or symbolic
to the source or object of religious veneration as examples of
than conceptual. Bit by bit, the reader is shown that a reli-
human religiosity generally, without committing oneself to
giously satisfying response to the Kantian problem of knowl-
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HOLY, IDEA OF THE
4097
edge of the transcendent is likely to be a deeply personal rath-
experience, is requested to read no farther; for it is not
er than a rationally analytical one. Otto is by no means the
easy to discuss questions of religious psychology with
first religious philosopher to have made such a point; the
one who can recollect the emotions of his adolescence,
limits of reason had been discussed by early Christian theolo-
the discomforts of indigestion, or, say, social feelings,
gians, and the twelfth-century Muslim thinker Abu¯ H:a¯mid
but cannot recall any intrinsically religious feelings.
al-Ghaza¯l¯ı proposed a particularly appealing synthesis of the
This fundamental element of religion, the sense of the numi-
roles of reason and experience. But Otto’s innovation ap-
nous, is held to be a primary datum of human experience.
pears to have been to provide a structure for the description
The explicit contention appears to be that, as in the case of
of feeling and in so doing to commend feeling itself to people
physical sensations, emotions, or aesthetic feelings, if one has
of a rational bent.
not had the experience, one cannot understand the subject;
Otto’s term numinous has subsequently become part of
and it is at least loosely implied that if one has had the experi-
the general vocabulary of the study of religion, often in two
ence, one can.
senses. In one of these senses, the quality inheres in the expe-
Otto appears to expect people to have had religious ex-
rience; one has a numinous experience or feeling, numinosity
perience. But his memorable injunction “to read no farther”
or numinousness is an aspect of that experience or feeling,
takes on significance because it is evident that religious expe-
and the reality that is held to exist is an event in the con-
rience is not universal—that is, it is something that some
sciousness of the religious individual. In the other of these
people have and others do not. Even if most people have it
senses, numinous refers to the quality of that presumed reality
and only a few lack it, there are still some persons who must
beyond the individual; it produces, or is the object of, that
be treated as rational, as perceptive, yet not as religious. Thus
experience or feeling, and it is held by religious participants
religiousness, however characteristic it may be of humans in
and religiously committed observers to be a reality far tran-
general, and however “normal” it may be, is not universal.
scending the experience of any one individual.
This normality or normativeness of religion, not the univer-
Essentially, in the rhetoric of Otto’s presentation, both
sality of religion, can be seen as both a strength and a weak-
of these connotations of the term numinous are implied; Otto
ness of Otto’s position: a strength, in that many have been
wants the term to function in both senses. On page 7 of The
tempted to take the objects of religion as experientially evi-
Idea of the Holy he says, “I shall speak, then, of a unique ‘nu-
dent without exhaustive rational proof; but a weakness, in
minous’ category of value and of a definitely ‘numinous’
that for those who seek such a proof there is nothing conclu-
state of mind, which is always found wherever the category
sive forthcoming.
is applied.” The overall thrust of Otto’s presentation involves
SEMANTICS OF “HOLY” IN ENGLISH. One of the more inter-
the conviction that there exist not only a state of mind and
esting aspects of the use of Otto’s discussion of the holy in
a realm of value as two distinct realities, but that the first of
the two generations since his book appeared is the wide-
these is intimately linked to the second and constitutes a
spread equation between the terms the holy and the sacred in
form of evidence for it.
writings sympathetic to religion in general.
For centuries a recurring problem of religious philoso-
Speakers of English are not surprised to find in their lan-
phy has been whether anything in the realm of the transcen-
guage two common and near-synonymous terms for the
dent or divine can be demonstrated to the uncommitted or
same phenomenon. In instance after instance, a word of Ger-
skeptical inquirer to be an existing reality. On the whole, the
manic (Anglo-Saxon) background such as get or gut will be
post-Kantian consensus has been that there is no “objective”
matched by a word of Romanic (Latin or French) origin such
knowledge of the transcendent possible through the opera-
as obtain or intestine. Frequently the Germanic word is felt
tion of reason on the data received from the senses. Experi-
to be more direct or down-to-earth. But while the word of
ence of the transcendent, however compelling to the person
Romanic origin may connote greater sophistication, its de-
who has it, is not necessarily compellingly transferable to the
noted meaning may often be the same as the Germanic. The
person who does not have it.
result is that speakers of English can display a tendency to
Although the bulk of Otto’s book amounts to a descrip-
expect synonyms, to assume for practical purposes an equiva-
tive inventory of various people’s intense experiences of di-
lence in terminology, without seriously testing the matter.
vine power, which seeks to elicit an appreciation of intensely
An instance of this disposition is that in the English-
felt religion (particularly of mysticism) from the reader, the
speaking world, writers on the nature of religion in general
inescapable fact that Otto himself realizes is that there is no
have referred sometimes to the holy and sometimes to the sa-
demonstration by argument that can substitute for religious
cred as though the phenomena were identical and the termi-
experience itself. Perhaps the best-known phrases in The Idea
nology a rather incidental matter of personal taste. This has
of the Holy appear on page 8:
been true not merely when the subject has been mentioned
The reader is invited to direct his mind to a moment
in passing apropos of another argument; it has also been the
of deeply-felt religious experience, as little as possible
case in critical works on this very topic, such as Mircea
qualified by other forms of consciousness. Whoever
Eliade’s The Sacred and the Profane, or in discussions of
cannot do this, whoever knows no such moments in his
Eliade such as Thomas J. J. Altizer’s Mircea Eliade 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
4098
HOLY, IDEA OF THE
Dialectic of the Sacred (Philadelphia, 1963, p. 24). Eliade’s
sert that the thing in question had been hallowed by God.
generation has invested the sacred with the same connotations
Sacred, a past participle of a now-archaic verb sacren, mean-
that Otto’s generation found in the holy, a point to which
ing “to consecrate,” implicitly commits the speaker or writer
this article shall return shortly. Otto’s English translator,
merely to a description of human veneration, whereas holy
John W. Harvey, assumes the sacred and the holy to mean
may more likely imply that the user of the term holds that
the same thing in a sentence he adds to the text of The Idea
the object in question has indeed been hallowed by God. Sa-
of the Holy at a prominent juncture at the end of the first
cred, though frequently used by religiously committed per-
chapter. And in his own appendix to the English translation,
sons, had also the potential of being a descriptive term used
“The Expression of the Numinous in English” (The Idea of
by an outsider to a religious community, while holy was
the Holy, pp. 216–220), he finds holy “a distinctly more nu-
much more exclusively a participant’s term. Thus, one says
minous word than sacred” but does not specify a difference
“the holy Bible” in a context where the book is treated with
in denotation. Indeed, for Harvey the two terms are part of
reverence, but in referring to others’ scriptures one is com-
“the English wealth of synonyms” that “has presented the
fortable with expressions such as “the sacred books of the
translator with an embarrassment at the very outset”
East.”
(p. 216).
A telling illustration of this difference appears in English
On equivalency of vocabulary, it should be noted that
translations of the Bible. In the King James Version of 1611,
while English is one of the world’s more self-consciously cos-
the Hebrew qadosh is regularly rendered as holy, whereas in
mopolitan languages, it is by no means the only one. The
the Revised Standard Version of 1946–1952, it is sometimes
Norman conquest of England in the eleventh century, which
holy but in other cases sacred; the instances in which the
superimposed a Latin vocabulary on a Germanic one, is sug-
twentieth-century translators departed from the usage of
gestively parallel to the Islamic conquest of Iran in the sev-
their seventeenth-century predecessors have primarily to do
enth century, which gave Persian a massive inventory of Ara-
with the cultic utensils of the Hebrew temple, a ritual expres-
bic loanwords as synonyms for the vocabulary of pre-Islamic
sion of religion from which mid-twentieth-century Protes-
Iran.
tant biblical scholarship appears to have sought to keep a dis-
What does the English word holy mean? For the range
tance, feeling presumably that God’s real intent for people
of its usage, with dated examples of the first appearance of
was located elsewhere than in the Hebrew sacrifices.
various senses, the Oxford English Dictionary (1933) provides
Conduct is an area in which sacred has never taken over
three copious pages of material. For the purposes of this arti-
the territory of holy. A person, to be holy, must conform to
cle, the usage divides into three categories: first, the attributes
the divine standards of conduct: either ritual, or moral, or
of God (who is definitively holy) or the divine; second, the
both. Thus holiness, through the centuries, has been the pat-
attributes of things that derive their holiness from association
tern of obedience put forward as the ideal for the pious devo-
with God; and third, the attributes of people and actions
tee that, when most supremely achieved, renders one a holy
conforming to what is held to be God’s expectation. On God
person—a “saint.” Holiness, in this sense of religious prac-
as holy, one has such phrases as “Holy art thou,” “the Holy
tice, was a prime goal for a religiously motivated person, and
One of Israel,” and the like. Examples of holy things are the
was self-consciously reflected on. Indeed, the content of arti-
Holy Bible and the Holy Grail. For people and actions, con-
cles on holiness in theological dictionaries and encyclopedias
sider the phrases “holy man,” “to lead a holy life,” etc. Inevi-
prior to the twentieth century was regularly a discussion of
tably, there are borderline cases: “Holy matrimony” falls
the ideals of the religious life and not a generic discussion
under the second heading if one regards it as an institution
of the holy as it has come to be treated.
(and therefore a “thing”), but under the third if it is seen as
an activity.
The second decade of the twentieth century saw a shift
from such devotional discussions of holiness to a more com-
Sacred may today be a near equivalent of holy, but it dif-
parative treatment. A pioneer in this development was the
fers in two important respects. First, it is more recent as a
Swedish historian of religions (and subsequently archbishop)
word in English. Whereas holy, a term of Germanic origin,
Nathan Söderblom (1866–1931), who contributed a sub-
occurred in Old and Middle English, sacred, coming from
stantial article on holiness to the Encyclopaedia of Religion
Latin by way of French, made its appearance only gradually
and Ethics (vol. 6, 1913). As Otto would do four years later,
in the centuries after the Norman conquest. Second, sacred
Söderblom sought not to discuss so much the practice of ho-
took over some, but by no means all, of the semantic range
liness in the sense of an attribute of human conduct as the
of holy: Specifically, it referred to respected or venerated ob-
awareness of it in the sense of an attribute of divinity. To ac-
jects but not to the divine itself and not to persons as individ-
complish this discussion cross-culturally, Söderblom recapit-
uals. The God of the Bible did not become the “sacred one
ulated various terms suggestive of supernatural power, such
of Israel,” nor did a “holy man” become a “sacred man.”
as the positive holiness of mana and the negative holiness of
What was at stake in the extension of the word sacred
taboo, from the languages of tribal societies—terms that had
in English usage appears to have been an effort to describe
come to be used by late nineteenth-century European and
the veneration accorded by human beings rather than to as-
American theorists of religion to indicate the most pervasive,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HOLY, IDEA OF THE
4099
the simplest, the most fundamental, and presumably the
twentieth century, heilig covered what has been reviewed as
original feature of religion throughout human culture.
the participant’s semantic field of English holy as well as the
Cross-cultural discussions of the nature of religion had been
observer’s connotation of English sacred. As long as Western
common since the work of F. Max Müller on comparative
discourse regarding religion dealt almost exclusively with the
mythology in the mid-nineteenth century. It appears, how-
received Judeo-Christian tradition, and as long as the dispo-
ever, to have been Söderblom who first applied the term holi-
sition of most speakers was to accept at least a major subset
ness to such a topic.
of the tenets of that tradition, pressure for precision tended
T
not to arise. Indeed, it can be argued that Rudolf Otto
RANSLATION EQUIVALENTS. The semantic differentiation
between sacred and holy that this article has sketched is limit-
tapped the predispositions of a largely willing audience when
ed to English and is not necessarily found in other languages.
he published Das Heilige. Writing in a language in which the
Elsewhere one might expect to find (a) two (or more) terms,
holy and the sacred are one and the same, he was able to com-
possibly with a different distinction than that between sacred
bine a participant’s appreciation of religious experience with
and holy in English; (b) one term, covering both senses; or
an observer’s range of comparative detail. To a very consider-
(c) no readily identifiable vocabulary equivalent.
able extent, the excitement that he generated revolved
around his call for a participant’s appreciation of religion,
Latin and the languages descended from it are an exam-
but this was focused on his discussion of experience; neither
ple of the first possibility; German and Russian, of the sec-
he nor his readers directed attention to the “insider” conno-
ond; and the languages of certain tribal cultures appear to
tation built into the German term heilig. To the extent that
furnish examples of the last category.
readers thought about the word, it appears they gave Otto
Latin has two words that have been frequently translat-
credit for having given it a more comparative or cross-
ed as “holy”: sanctum and sacrum. Unlike the situation in En-
cultural denotation.
glish, where two words have etymological sources in different
The capacity of the German word heilig to leave open
languages, the two Latin terms go back to the same Indo-
the possibility of God-given holiness, while also referring to
European root, sak-, with an -n- infix occurring in the case
human respect, has had more than minor consequences. A
of sanctum. The spheres of use of the two Latin terms, how-
German scholar, Albert Mirgeler (1901–1979) mentions the
ever, appear roughly parallel to English. On the whole, sanc-
semantics of holiness as a contributing factor to the medieval
tum, like holy, generally commits the speaker to an endorse-
investiture controversy, a major political struggle involving
ment of the holiness in question as a reality, and it applies
northern versus southern Europe over the role of the Roman
to the divine power (God is sanctus) and to the conduct of
church in the designation of rulers (Mutations of Western
individuals (saint being derived from sanctus). Sacrum, on the
Christianity, London and New York, 1964, pp. 96–97).
other hand, denotes human veneration.
What may have been only a claim for human respect in the
Latin’s “daughter languages,” which emerged from ver-
Latin name sacrum imperium Romanum came to be under-
nacular Latin in the Middle Ages, preserve this vocabulary
stood as a more sweeping claim in its German translation,
distinction. From sanctum come santo in Italian and Spanish,
heiliges römisches Reich (“Holy Roman Empire”). One must
saint in French; while from sacrum come Italian sacro, Span-
be cautious in pressing this point, for, after all, a divine sanc-
ish sagrado, and French sacré. Yet in the usage of these various
tion for the power of the state was claimed; and, moreover,
languages, it is not always the case that the same adjective
many examples could be adduced to show that where words
is applied to a particular object. If for holy one would expect
are ambiguous people do have ways of identifying the am-
sanctum and its derivatives rather than sacrum, then French
biguity and deciding which sense of a word applies. Still, the
usage will meet one’s expectations with la sainte Bible, but
possibility of confusion was clearly present.
Latin, Italian, and Spanish will surprise one with Biblia sacra
Russian is another language with only one common
(or, in Spanish, sagrada). Could it be that Catholic Europe
word for holy and sacred: sviaty. Rudolf Otto expressed fasci-
did not hold the Bible in as high regard as did the Protes-
nation with the chanting of this term, which he had heard
tants, who turned to it as a source of authority over against
from the lips of Russian priests. Again in the Russian case,
that of the church? Such a view might fit in with the Italian
there are theopolitical overtones. For centuries prior to the
and Spanish usage, but hardly explains the expression la sain-
victory of Marxist atheism, Russians referred to their land
te Bible in French. This illustration, then, may be sufficient
(both its territory and its tradition as a state) as sviaty Rus,
to convince one that the semantic distinction between holy
“holy Russia.” Russia is not the only territory that has been
and sacred can serve as an indicator of a potential confusion
called holy; specific temple precincts frequently are, and the
but not necessarily as a precise tool with which to resolve it.
land of the Bible is called “the Holy Land” (“Terra Sancta,”
German has not classically had two terms to use. To be
etc.) in the various languages of Christendom. But the holi-
sure, there is a word sakral, meaning “cultic,” but only in re-
ness claimed for Russia is probably best understood at the
cent years has it seen much use as in noun form for an orga-
level of Latin sacrum, not sanctum, at a level, in short, not
nizing concept, and even then it is primarily used to translate
like the spiritual holiness associated with the Holy Land but
the sacred from works in other languages. Prior to the mid-
like the institutional sacredness of the Holy Roman 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
4100
HOLY, IDEA OF THE
Researchers in comparative and cross-cultural studies
In a looser sense of the term, however, Otto was a phe-
have generally been ready to suppose that there exists in tribal
nomenologist of religion, indeed one of the pioneers of the
societies on all continents, as well as in all the great classic
enterprise. If by phenomenology one means the type of sympa-
traditions of the Eurasian land mass, a universal human pat-
thetic treatment of material from a variety of religious tradi-
tern of setting apart certain moments in time or precincts in
tions, seeing recurring features of religion as a response to a
space and of finding in them hints of a transcendent power
divine stimulus, in the pattern of the Dutch comparativists
or value. It seems to be granted that the phenomenon of a
of the 1930s through the 1960s, then this name for the ap-
sense of the sacred or holy is virtually universal. It is, howev-
proach can be applied retroactively to Rudolf Otto. After
er, far less clear that appropriate vocabulary is equally wide-
Otto’s time, this sympathetic treatment of religion in gener-
spread. There appear to be languages without an equivalent
al, stressing similarities (which refrained from arguing the su-
covering the same range of meaning as the word holy. This
periority of one tradition over another, stressing differences),
is a problem encountered frequently by Bible translators,
would become a major methodological option in the aca-
whose attempts to render Holy Spirit have sometimes yielded
demic study of religion. Many of its practitioners would look
expressions like “clean ancestor” in the target language.
back to Rudolf Otto’s work of 1917 as a charter document
Indeed, much of the principal ritual expression of holi-
for phenomenology’s attitude of sympathy for religion (Mir-
ness is bound up with the notion of purity. For persons most
cea Eliade does this in The Sacred and the Profane, for exam-
familiar with the religious tradition of the Hebrew and
ple), just as they would look back to P. D. Chantepie de la
Christian scriptures, this may be not immediately evident,
Saussaye’s Lehrbuch der Religionsgeschichte (Manual of the
because many interpreters in recent centuries have concen-
science of religion; 1887–1889) as a prototype of phenome-
trated on an ethical conception of holiness, crediting the He-
nology of religion’s taxonomic treatment of data from vari-
brew prophets or Jesus with a repudiation of ritual. The inti-
ous religions.
mate relationship between holiness and purity can also be
One does not need to be a comparativist to appreciate,
overlooked because a separate vocabulary for purity exists in
and to be influenced by, Rudolf Otto’s presentation of the
both Hebrew and Greek. But the notion that the holy itself,
holy in Das Heilige. In fact, what made Otto’s book a theo-
as well as human beings who seek to draw near to it, should
logical best-seller was only marginally the existence in the
be kept apart from the profane, finds symbolic as well as
first quarter of the twentieth century of a cross-cultural cos-
practical expression in the avoidance of various sorts of con-
mopolitanism with respect to religion. Such an interest
taminating or polluting substances and actions. Jewish
would account far more for the sales of James G. Frazer’s
avoidance of pork, Muslim traditions regarding fasting,
Golden Bough (1897; 3d ed., 1907–1911), whose net effect
Christian practice of celibacy, Zoroastrian precautions to
was to explain away various religious practices as benighted
safeguard the holy fire, traditional Hindu deitary and social
and to suggest that modern men and women had outgrown
taboos, Shinto¯ ablutions at shrines—all these and many
traditional religion. Much more important was a widespread
more are instances of the maintenance of some sense of puri-
desire to hold that traditional religion could be felt, if not
ty worthy of holiness in the “great” religions. It should be
proved, to be authentic even in a modern age. Most people
no surprise that when investigators of tribal traditions have
who read Otto were looking for intellectual and psychologi-
looked at behavior expressing a sense of, or response to, the
cal respectability for their own religious faith, not for an elab-
sacred, the maintenance of standards of purity has been a sa-
oration of the faith of others. And it has become common-
lient finding. Where an explicit theoretical conceptualization
place to suggest that the events of World War I, by shattering
of holiness has seemed to be lacking, emphasis on ritual puri-
many easy assumptions of the inevitability of human prog-
ty has offered an obvious approximation in the custom and
ress, turned many people to a renewed quest for religious val-
the languages of tribal societies.
ues. This development is often cited as a factor in assessing
OTTO’S LEGACY. One of the principal options in the study
the impact of Karl Barth in Der Römerbrief (1919), a book
of religion in the mid-twentieth century has been termed the
differing sharply in its religious assumptions from Das
“phenomenology” of religion. Definitions of this term have
Heilige but sharing with it the status of theological best-seller
varied from strict to loose. Understood strictly, the phenom-
in the aftermath of the war.
enology of religion is supposed to be a precise application to
religion of insights from the European philosophical move-
However much Rudolf Otto was aware of the diversity
ment known as phenomenology, launched by Edmund
of religions, he made his principal mark by contributing to
Husserl (1859–1938), in which the self’s awareness of what
the faith-and-reason agenda of Western philosophy of reli-
presents itself to consciousness is explored. Phenomenology
gion and Christian theology. Immanuel Kant, in demon-
in that sense has little to do with Rudolf Otto, because he
strating convincingly the limits of rational proof, had “made
antedated many of the philosophical phenomenologists and
room for faith” as not only unprovable but undisprovable.
did not employ their terminology; to the extent that philo-
After him, Friedrich Schleiermacher (1768–1834) was to
sophical phenomenology has influenced the phenomenology
characterize religion as rooted in a feeling of absolute depen-
of religion, that influence has occurred through certain com-
dence. Otto’s presentation of the “sense of the numinous”
parativists writing since Otto’s time, particularly in Holland.
likewise takes feeling or experience as what must be dealt
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HOLY ORDER OF MANS
4101
with rather than questioned. In the decades since Otto, prob-
Festugière, A.-J. La sainteté. Paris, 1942.
ably the most illustrious bearer of this intellectual lineage has
Nisbet, Robert A. “The Sacred.” In his The Sociological Tradition,
been the Protestant theologian Paul Tillich (1886–1965),
pp. 221–263. New York, 1966.
who (in contrast with Karl Barth’s emphasis on revelation)
Oxtoby, Willard G. “Holy (the Sacred).” In Dictionary of the His-
argues from human concern as the starting point for dis-
tory of Ideas, edited by Philip R. Wiener, vol. 2,
course about God.
pp. 511–514. New York, 1973.
The type of position that largely since Otto’s day has
Söderblom, Nathan. “Holiness (General and Primitive).” In Ency-
come to be known as religious existentialism, arguing from
clopaedia of Religion and Ethics, edited by James Hastings,
experience and commitment as a primary datum, remains,
vol. 6. Edinburgh, 1913.
despite the obvious problems of objective proof, a major
Williger, Eduard. Hagios. Giessen, 1922.
twentieth-century option in the philosophy of religion. To
call Otto an existentialist philosopher of religion would be
Windelband, Wilhelm. “Das Heilige.” In his Präludien, 3d ed.,
vol. 2, pp. 295–332. Tübingen, 1907.
a retroactive designation of the same kind as my calling him
a phenomenologist of religion.
New Sources
Ballard, Steven. Rudolf Otto and the Synthesis of the Rational and
In the end Otto’s Das Heilige remains a classic in the
the Non-Rational in the Idea of the Holy: Some Encounters in
field probably not because his attempts at a solution have
Theory and Practice. Frankfurt am Main and New York,
great enduring value but because he has put some of the basic
2000.
questions in an arresting fashion. Many who pick up the
book today feel that they have the measure of it by the forti-
Poland, Lynn. “The Idea of the Holy and the History of the Sub-
lime.” Journal of Religion 72, no. 2 (1992): 175–198.
eth page. Just as a standard newspaper article must face the
“cut off test,” it seems to make its main point at the begin-
Schlamm, Leon. “Numinous Experience and Religious Lan-
ning, following that up with optional detail. But the chal-
guage.” Religious Studies 28 D (1992): 533–551.
lenge of page 8, “whoever knows no such moments in his
Twiss, Sumner B., and Walter H. Conser. Experience of the Sacred:
experience, is requested to read no farther,” is as compelling
Readings in the Phenomenology of Religion. Hanover, N.H.,
today as when Otto wrote it. Page 8 of The Idea of the Holy
1992.
will be with Western civilization for a long time to come.
Williams, Jay G. “The Idea of the Holy: A Study of the Develop-
ment of Rudolf Otto’s Thought.” Journal of Religious Studies
SEE ALSO Otto, Rudolf; Sacred and the Profane, The.
18, nos. 1–2 (1992): 50–66.
B
W
IBLIOGRAPHY
ILLARD G. OXTOBY (1987)
Revised Bibliography
Primary Sources
Almond, Philip C. Rudolf Otto: An Introduction to His Philosophi-
cal Theology. Chapel Hill, N.C., 1984.
Davidson, Robert F. Rudolf Otto’s Interpretation of Religion.
HOLY ORDER OF MANS was a prominent New
Princeton, N.J., 1947. Includes full biographical informa-
Age spiritual community whose radical transformation into
tion (pp. 207–209).
an Eastern Orthodox Christian brotherhood during the
Moore, John Morrison. Theories of Religious Experience, with Spe-
1980s illustrates the instability of charismatically led reli-
cial Reference to James, Otto, and Bergson. New York, 1938.
gious communities during their founding generation. As the
Otto, Rudolf. Das Heilige. Breslau, 1917. Translated by John W.
renamed Christ the Saviour Brotherhood, the community
Harvey as The Idea of the Holy: An Inquiry into the Non-
has shrunk to a few hundred members unified primarily by
Rational Factor in the Idea of the Divine and Its Relation to
a commitment to Orthodoxy and a shared odyssey through
the Rational (1923; 2d ed., Oxford, 1950; reprint, New York,
late-twentieth-century America’s pluralistic religious market-
1970).
place.
Turner, Harold W. Rudolf Otto, the Idea of the Holy: A Guide for
Students. Aberdeen, 1974. Includes an “Introduction to the
The order had its origins in the cultural ferment of mid-
Man” by Peter R. McKenzie.
1960s San Francisco. Its founder, Earl W. Blighton (1904–
Wach, Joachim. “Rudolf Otto and the Idea of the Holy.” In his
1974), was a retired electrical engineer and social worker
Types of Religious Experience: Christian and Non-Christian,
whose spiritual explorations in California’s alternative reli-
pp. 209–227. Chicago, 1951.
gions subculture led him to such organizations as the Theo-
Secondary Sources
sophical Society, the Subramuniya Yoga order, the Spiritual-
Baetke, Walter. “Das Phänomen des Heiligen in den Religionen.”
ist church, and the Ancient and Mystical Order Rosae
In his Kleine Schriften, edited by Kurt Rudolph and Ernst
Crucis. Together with his wife, Helen Ruth Blighton, he
Walter, pp. 56–84. Weimar, 1973.
opened a prayer shrine in 1966 to minister to the young peo-
Durkheim, Émile. The Elementary Forms of the Religious Life
ple who were wandering the streets of San Francisco in search
(1915). New York, 1965.
of spiritual enlightenment. The committed core of disciples
Eliade, Mircea. The Sacred and the Profane: The Nature of Religion.
who gathered around the Blightons evolved into an inten-
New York, 1959.
tional spiritual community organized according to 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
4102
HOLY ORDER OF MANS
al Christian monastic rules. The Holy Order of MANS
zation to include a lay discipleship movement and lay fami-
(there is some controversy surrounding the meaning of the
lies (Christian Communities) that were interested in practic-
acronym, which was purportedly revealed only to initiates)
ing the order’s path of esoteric spirituality. Blighton also
was incorporated on July 24, 1968.
established two suborders, the Immaculate Heart Sisters of
Mary and the Brown Brothers of the Holy Light, to provide
Blighton’s order developed a unique system of initiatory
intermediate training for renunciate members. Members of
spirituality that included elements of qabbalism, Rosicru-
the suborders performed community service and special
cianism, New Age millennialism, New Thought philosophy,
Marian devotions, and they engaged in missionary teaching.
and Tantrism. The mission of the order was to prepare the
In 1971 the order opened Raphael House, a shelter for the
earth and its peoples for an imminent golden dawn of spiri-
homeless and for victims of domestic violence. This service
tual enlightenment by initiating the masses into the “ancient
outreach would spark a movement across the United States
Christian mysteries.” These mystical teachings, Blighton
to establish anonymous shelters for battered women and
maintained, had disappeared from view once Christianity
children.
became a powerful, wealthy institution. In the New Age that
was dawning, these esoteric teachings were being revealed
Blighton’s sudden death in 1974 precipitated a four-
again to the world. The order ordained priests under the aus-
year leadership crisis for the order. A succession of “master-
pices of the Great White Brotherhood, a hierarchy of ad-
teachers” (the movement’s highest level of spiritual attain-
vanced spiritual masters who were believed to be responsible
ment) took charge of the group and attempted to impress
for humankind’s evolution. Blighton claimed to have re-
upon it their own personal interpretation of Blighton’s
ceived the power to ordain these priests from Christ through
teachings. This period of instability did not impede recruit-
revelation. The priests were empowered to perform “solar
ment, however. The movement reached its height of mem-
initiations” that represented stages of the soul’s evolution to
bership, three thousand, in 1977. Also during this period,
“mastery.” The order’s initiations were believed to be re-
international centers opened in London, Bordeaux, San Se-
creations of the sacramental initiations of the early Christian
bastian, Amsterdam, Buenos Aires, Tokyo, and San Juan,
church, whose true function had been forgotten with the
Puerto Rico.
passage of time.
In the spring of 1978, Andrew Rossi was elected director
In the first initiatory rite, baptism, aspirants declared
general of the order. Rossi was an erudite former Roman
their dedication to the path of spiritual regeneration under
Catholic preseminarian whose résumé included a stint as a
the order’s guidance. Blighton taught that the rite triggered
Chinese-language specialist with the Intelligence Section of
an infusion of the “Christ force” into the disciple’s body and
the U.S. Navy. In his first public statements, Rossi embraced
purged the body of the effects of past errors. The second ini-
Blighton’s Gnostic and New Age vision of the order’s mis-
tiation, “illumination,” implanted and sealed the “new body
sion. He proclaimed that Jesus was calling all peoples to a
of light” in the aspirant. The rite included an awakening of
new understanding of his teachings and divinity, an under-
the kun:d:alin¯ı energy at the base of the spine and an activa-
standing based on “living Revelation” and unbound by past
tion of the aspirant’s chakra currents. The third initiation,
symbols, dogmas, and scriptures. Though he was the “very
“self-realization,” was a neoshamanic rending of an etheric
form of God Incarnate” and was due the greatest respect and
veil that was believed to cover the indwelling spark of divini-
honor, Jesus was not to be worshiped as God himself. The
ty at the core of the aspirant’s being. After this rite, the disci-
order’s mission, according to Rossi, was to present Jesus’
ple could receive interior revelation from the Godhead and
teachings in a universal and inclusive way in the dawning
was considered a functioning “God-Being.” The order also
millennial age. This new way would lead Christians beyond
administered a daily communion rite, which was understood
religion, beyond form, and beyond the figure of Jesus him-
as a work of spiritual alchemy in which the wine and bread
self, to a state in which all would find their true being in the
were transmuted into Christ’s body and blood. Communi-
“Father-Mother God.” In obedience to this mission, the
cants believed that they were being infused with the attri-
order would redouble its efforts to remove the barriers that
butes and experience of the Master Jesus, who had taken on
separated humankind, especially those that had been erected
the being of the Cosmic Christ during his earthly sojourn.
in Jesus’ name.
Between 1969 and 1974, Blighton’s order spread quick-
On November 18, 1978, the first reports of the Jones-
ly throughout the United States. It established mission sta-
town mass suicide-murder reached the national media.
tions and “brotherhouses” in over sixty cities in forty-eight
Within a short time, the cultural context in the United States
states. Like traditional monks, order members took vows of
with regard to new religions changed from one of tolerance
obedience, service, poverty, purity, and humility, practiced
and acceptance to one of suspicion and outright hostility.
regular fasting, wore clerical robes, and held all assets in com-
The anticult movement used the national mood of shock and
mon. Unlike traditional monasteries, however, order centers
revulsion at the Jonestown events to intensify its efforts to
were coeducational, elevated women to the priesthood, and
convince politicians and judges to regulate “dangerous
embraced spiritual practices from non-Christian sources.
cults.” Soon, increasingly hostile public scrutiny was brought
During this early period, the order also expanded its organi-
to bear on the order, which heretofore had enjoyed a positive
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HOLY ORDER OF MANS
4103
public image because of its service outreach in local commu-
The order’s decision to become Orthodox led to a
nities. The order also appeared on the “cult lists” of such
steady loss of both members and vitality during the 1990s.
leading countercult groups as the Christian Research Insti-
Its cohesiveness as a community disintegrated with the dis-
tute and the Spiritual Counterfeits Project. To make matters
banding of its renunciate (monastic) brotherhood and the
worse, the order community began to experience increasing
consolidation of its membership into nuclear families. An-
member defections and a steep drop in recruitment rates.
other problem was the nonrecognition of Pangratios’s arch-
diocese by the Standing Conference of Orthodox Bishops in
In response to this crisis, Rossi initiated a strong defense
the Americas (SCOBA), the main legitimating body for Or-
of the order in various public forums. The culmination of
thodox jurisdictions in North America.
these efforts was Rossi’s 1980 article in the order’s journal,
Epiphany. Titled “By Their Fruits Ye Shall Know Them:
In the late 1990s, following documented proof of Pan-
Proclaiming the Spiritual Authenticity of the Holy Order of
gratios’s conviction for sodomy with minors, Christ the Sav-
MANS in a Counterfeit Age,” the article laid out a carefully
iour Brotherhood member communities distanced them-
reasoned apology that defended the order’s Christian pedi-
selves from the Archdiocese of Queens and negotiated
gree, as well as its ecumenical and nonsectarian foundations.
acceptance into SCOBA-approved Orthodox jurisdictions
Rossi declared that the brotherhood’s purpose was to develop
throughout the United States. Although some members have
a Christian community built around the worship of God,
joined the Serbian Orthodox Church or the Russian Ortho-
discipleship to Christ, and service to the world. The order,
dox Church outside Russia, most Christ the Saviour Brother-
he claimed, lived “within the norms of the Christian Tradi-
hood parishes have been received into communion with the
tion.” Rossi also inaugurated a search by the order’s member-
Orthodox Church in America. Some of the brotherhood’s
ship for precedents in the history of Christianity for what the
remaining members have set up small Orthodox missions
throughout the country that sell Orthodox books and peri-
movement was attempting to accomplish in the world. This
odicals and sponsor periodic Orthodox liturgies.
would allow members to explain the order to mainstream
Christians in terms that were comprehensible and familiar
The order’s legacy is best realized in three initiatives pio-
to them.
neered in its early history. The first is the Raphael House
movement, which has led to a growing national awareness
These initiatives began to move the order’s public and
of domestic violence and the need for anonymous shelters
private identity away from its New Age and Rosicrucian/
for battered women and children. The second is Rossi’s Elev-
Gnostic origins and towards mainstream Christianity. After
enth Commandment Fellowship, which was instrumental in
flirtations with Protestant evangelicalism and Roman Catho-
the creation of the North American Conference on Chris-
lic traditionalism, Rossi directed the group to study Eastern
tianity and Ecology and in the raising of ecological awareness
Orthodox Christianity, and in particular its tradition of light
among mainstream Christians. The third significant initia-
mysticism. This directive followed Rossi’s secret personal
tive is the order’s early advocacy of spiritual equality for
conversion to Eastern Orthodoxy during the early 1980s. At
women and its ordination of women to its priesthood. Many
the same time, the order’s director general consolidated the
mainstream denominations now ordain women, including
group into ten large communities in the United States and
the Episcopalians and the Lutherans. Women also now play
Europe and began to jettison its system of esoteric initiatory
an increasingly influential role in Roman Catholic parishes,
spirituality. Between 1982 and 1986 the brotherhood fo-
serving as parish administrators and liturgical leaders among
cused its energies on the preservation of “authentic cultural
other roles. Ironically, Christ the Saviour Brotherhood now
traditions of ancient Christianity,” the celebration of season-
accepts Eastern Orthodoxy’s traditional proscription of
al festivals, and the creation of alternative schools for its chil-
women priests.
dren based on traditional Christian principles.
The order’s history also provides persuasive evidence
With the assistance of a defrocked Russian Orthodox
that the glue holding new religious communities together
monk, Herman Podmoshensky, Rossi orchestrated a gradual
can be primarily affective in nature rather than ideological.
conversion of order members during the mid-1980s to Or-
In short, the many shifts in doctrine that characterize new
thodox monastic spirituality. Blighton’s core teachings and
religious movements in their first generation do not necessar-
practices were replaced with Orthodox doctrines and rituals.
ily threaten group cohesiveness if that cohesiveness is based
Following several years of negotiations with various Ortho-
on strong feelings of group solidarity and affection. Finally,
dox jurisdictions, the order community was received into the
the order’s history stands as a paradigmatic example of how
autocephalous Archdiocese of Queens, New York, in 1988
new religious movements are shaped by their surrounding
by its metropolitan, Pangratios Vrionis. The brotherhood’s
cultural environment. Blighton’s eclectic, nonsectarian, and
remaining 750 members were rebaptized and renamed as
universalist movement reflected the innovative, tolerant, and
Christ the Saviour Brotherhood. They proclaimed their new
experience-seeking mood of the 1960s and 1970s. In a simi-
mission as “bringing the light and truth of Orthodox Chris-
lar manner, Rossi’s exclusivist and traditionalist Eastern Or-
tianity to the spiritually perishing peoples of these darkening
thodox brotherhood reflected the conservatism and yearning
and crucial times.”
for “traditional values” of America in the 1980s.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4104
HOLY PLACES
SEE ALSO Anticult Movements; Eastern Christianity; Jones-
such, it is a kind of man:d:ala, or symbol of wholeness, con-
town and Peoples Temple; New Age Movement; Rosicru-
taining within itself all opposites. Among the Tiv of Nigeria
cians; Theosophical Society.
these opposites are primarily social. Spatially, home (the
compound of huts and granaries) represents kin and domes-
BIBLIOGRAPHY
tic group. Genealogy typically governs both hut and com-
Holy Order of MANS. The Golden Force. San Francisco, 1967.
pound location. Consequently, a death in the family necessi-
Holy Order of MANS. Uniting All Faiths. San Francisco, 1973.
tates readjustment of hut positions to reflect the resultant
Holy Order of MANS. History of the Great White Brotherhood and
social order. When a father dies, his son assumes the father’s
its Teachings. San Francisco, 1974.
reception hut and allows the houses of the father’s wives to
Lucas, Phillip C. The Odyssey of a New Religion: The Holy Order
decay. He then builds new huts for the widows among those
of MANS from New Age to Orthodoxy. Bloomington, Ind.,
of the heirs, usually brothers, of the deceased, who now be-
1995.
come the women’s new husbands through a practice known
Lucas, Phillip C. “From Holy Order of MANS to Christ the Sav-
as levirate. Meanwhile, new huts are built for the son’s wives
ior Brotherhood: The Radical Transformation of an Esoteric
adjacent to his reception hut. With the death of a compound
Christian Order.” In America’s Alternative Religions, edited
head, fission of a compound often occurs so that sets of
by Timothy Miller. Albany, N.Y., 1995.
brothers and their families leave the compound with a new
Lucas, Phillip C. “The Eleventh Commandment Fellowship: A
leader.
New Religious Movement Confronts the Ecological Crisis.”
Journal of Contemporary Religion 10, no. 3 (1995): 229–241.
Commonly the home symbolizes a cosmic order, as ex-
Lucas, Phillip C. “Enfants Terribles: The Challenge of Sectarian
emplified by the tents of the prerevolutionary Mongol Bur-
Converts to Ethnic Orthodox Churches in the United
iats. The Buriats divided their dwellings into four sections:
States.” Nova Religio 7, no. 2 (2003): 5–23.
the south portion from the door to the hearth was the low-
Rossi, Andrew. “By Their Fruits Ye Shall Know Them: Proclaim-
status half; that from the hearth back, the high-status half.
ing the Spiritual Authenticity of the Holy Order of MANS
Each half was then again divided, the west side being male
in a Counterfeit Age.” Epiphany 1 (1980): 2–40.
and ritually pure, the east, female and ritually impure. There-
PHILLIP CHARLES LUCAS (2005)
fore male visitors would stay in the southwest quadrant, fe-
male in the southeast. The seat of honor for the host and
high-status guest always rested in the northwest sector. Even
HOLY PLACES SEE GEOGRAPHY; PILGRIMAGE;
objects were categorized in this way; valuables and hunting
SACRED SPACE
equipment, for example, were male, household utensils fe-
male.
Most Native American cultures saw similar cosmic cor-
HOLY SPIRIT SEE GOD; TRINITY
relations, leading them to characterize their dwellings as both
temple and house. For the Plains Indians, the floor of the
tipi represented the earth, the walls the sky, and the poles the
HOLY WAR SEE CRUSADES; JIHA¯D
paths linking earth and humanity to the sky and Wakan-
tanka (“the great mystery”). A small altar of bare earth be-
hind the fireplace, often with sod and roots removed and the
HOME is a universal concept of central importance to reli-
earth pulverized and swept clean, represented Mother Earth.
gious thought. Like such other general symbols as sun and
Sweet grass, cedar, or sage were burned here as incense to the
earth, it recurs from prehistoric times across cultures, in con-
spirits.
trast to more culture-specific analogues such as the cross and
In Africa, the layout of Dogon villages and houses also
the KaEbah. Besides its symbolic importance, home is also a
correlates cosmos, village, house, and individual in a series
significant locus of ritual in many traditions.
of scales. Both village and house approximate the figure of
As with most sacred symbols, home is simultaneously
a man, some of whose “body parts” are female. The outer
an abstraction and a concrete object (as when it is embodied
door of the house is a phallus, its kitchen door a vagina, and
in a dwelling). The development of home as dwelling place
the entire ground floor a woman on her back, ready for sex.
can be traced from animal to human habitats; from the dens,
The ceiling is her male partner. Such cosmic correlations of
windbreaks, and caves of nature to the tents, huts, and hous-
home and universe are common to the folklore of many ar-
es of culture. To automatically equate house and home, how-
chaic cultures.
ever, is to oversimplify, for home transcends all physical
HOMELESSNESS. When connections linking self, ancestors,
dwellings. Nonetheless, this distinction must be applied cau-
society, and cosmos dissolve, homelessness ensues. Dread of
tiously, for it assumes a secular separation of symbol and re-
such a state is universally expressed in conceptions of the
ferent alien to preliterate thought.
“unhoused” dead. In ancient Greek and Roman thought, for
The qualities that make home a sacred symbol include
example, the unburied were doomed to wander forever as
the way it traditionally functions as an ordering symbol. As
phantoms incapable of stopping for the offerings necessary
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HOME
4105
to rescue them. The connection to home is also threatened
ize Orthodox Judaism, Korean mudang, Haitian Voodoo,
by enslavement, which severs all bonds to family, tribe, and
and the resurgent practice of witchcraft, or Wicca.
village, and by banishment, a punishment frequently im-
POLLUTION. In contrast to consecration, which is designed
posed in preindustrialized cultures.
to vitalize and protect a dwelling by installing a strong pro-
CONSECRATION AND DOMESTIC RITUALS. Consecration ini-
tective spirit, prophylactic processes are enacted to exorcise
tiates the process whereby dwelling becomes home. World-
malevolent spirits or evil substances, the most malevolent of
wide, various kinds of foundation rites effect this transforma-
which involve blood as in giving birth, fatally wounding an
tion. Typically they begin by employing divination (such as
occupant, or natural death. Death especially pollutes a dwell-
the elaborate system of feng-shui in China) or astrology (as
ing, so that its occupants must be ritually purified before
in India) to select the appropriate site. Exorcism follows, and
freely resuming their lives. Among the Yoruba, for example,
then the foundation is laid according to the directions of a
if purification rites fail and a dwelling is believed to be ghost-
priest or sorcerer. Archaeological evidence indicates the uni-
infested, it will be abandoned.
versality of foundational “charms” from at least as early as
Pollution almost universally attends the onset of men-
the Shang period in China (c. 1751–1028 BCE), when hu-
struation as well, and a young woman is frequently required
mans were customarily sacrificed at each house post; similar
to leave her home until ritual purification renders her fit
customs were observed into the twentieth century by groups
again for home life. This ritual is enacted by various tribal
such as the Maori. Thought to underlie such blood-related
cultures, such as that of the Bolivian Yuracare who require
offerings is the belief that victims of violent death become
her to live in a specially constructed leaf hut for four days.
demons who make powerful house spirits. Animal substi-
Similarly, an almost universal pattern of purification rites at-
tutes have long been used in foundation rites, as among the
tends childbirth in preindustrial cultures. Houses that fail in
Arabs of ancient Moab (present-day Jordan), who sacrifice
these various struggles against pollution are often considered
a sheep to pacify the jinn before laying a tent. Other surro-
demonic, as Leviticus 14:43–44 describes: “If the disease has
gate victims have included statues (Rome), images of the
spread in the house, it is a malignant leprosy in the house;
house god (India), and animal parts, pottery, and vegetable
it is unclean.” The motifs in folklore of people-eating and
remains (Europe).
haunted houses are additional manifestations of this phe-
In the Korean shamanistic tradition known as mudang,
nomenon.
this essential process of consecration (so˘ngjo baji) is repeated-
On a daily basis, too, pollution of the home must be
ly reenacted even today to symbolize cosmic renewal. Typi-
guarded against, as Judaism well illustrates. In a traditionally
cally, pine branches are hung on the gate and white papers
observant Jewish home, all food must be kosher, meaning
on the roof beams of the central hall room to protect and
that it must conform to Jewish dietary laws developed from
renew the home. Additional rituals of renewal, the Tto˘kkosa
Leviticus 11:1–43 and must be prepared properly, using one
and Sulkosa, are held at every full moon to correlate cosmic
set of dishes and cooking utensils for meat, another for dairy
change to the building ground of the new home: as the moon
products. If mixing accidentally occurs, the polluted object
appears the ground is renewed. In this tradition the house
becomes impure and must be rendered ritually and legally
replaces the more common archaic symbols of mountains or
fit again, or discarded.
cosmic trees as symbols of the axis mundi.
DEATH AND DWELLING PLACES. “Home” means belonging,
In Judaism, h:anukat-habayit, “dedication of the home,”
dwelling in one’s proper habitat. In this sense, the term ap-
is based on Deuteronomy 20:5 (“What man is there that has
plies equally to the living and the dead, the grave being as
built a new house and has not dedicated it? Let him go back
much a home for the dead as a house is for the living. The
to his home, lest he die in the battle and another man dedi-
nearly universal custom of bestowing grave goods on the
cate it”). No established form exists for this ceremony be-
dead underscores this connection, as does the custom of con-
yond the uttering of appropriate blessings and the affixing
structing tiny dwellings specifically for the soul, a practice
of a mezuzah, a parchment believed to protect the occupants
common in the Yang-shao period of China and in ancient
from committing sin, inscribed: “And you shall write them
Egypt. The present-day Sakai of the Malay Peninsula similar-
on the doorposts of your house and on your gates” (Dt. 6:9,
ly fill huts with doll-sized furniture and implements for use
11:20).
of the dead, and images of ancestors are kept in miniature
“soul houses” in parts of Papua and Melanesia.
In some traditions, domestic rituals augment or replace
practices otherwise performed in sacred places specifically set
Such intimate connection between home and deceased
aside for religious purposes. Daily prayers are common to
family members is dramatically expressed in the dwellings of
many religions, but more elaborate home-based rituals occur
the Kwakiutl of the Northwest Coast of North America. For
in the post-Vedic Hindu pu¯ja rites, in which images of dei-
them, the house itself lives as a kind of double of its owner,
ties must be attended daily. In the morning the deity is awak-
becoming “empty” or “broken” when he dies. When the
ened, bathed, dressed, perfumed, garlanded, and fed. Food
family regroups around its new head, a new house is built.
is again proffered at noon and at night, with an evening song
Characteristics of the “life” of the house are its “speaker’s
closing the day. Domestic rituals also significantly character-
posts,” open-mouthed figures through which ceremonial
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4106
HOME
words of welcome emerge as if from the ancestor himself, and
Among the shamanistic Samoyed of the Arctic coast of
the gigantic mouth of the frontal pole that “swallows” those
Russia, the domestic spirits (haha), usually one male and one
who enter.
female, are represented by oddly shaped roots and stones or
H
anthropomorphic figures kept on a special haha sledge.
OUSEHOLD SHRINES. From Neolithic times, the practice
of setting aside a corner or room of a dwelling as a shrine
Whenever the family moves, special haha reindeer carry it.
has been common to many traditions. In ancient Egypt this
No woman, even a shaman, may uncover the haha or care
domestic shrine, usually recessed in the wall of the central
for the domestic gods. The haha sledge ordinarily stands be-
hall and adorned with religious scenes, contained a figure of
hind the chum (“tent”) on the outer side of the si, the place
a household god made of pottery or precious metal. Among
of honor, occupied only by the eldest family male.
the Banyankole in Africa each hut contains a special grass-
In most West African tribes, the family fetish and a class
covered, hard-beaten mound of earth, about a foot high, to
of ancestral spirits known as the “well-disposed ones” protect
hold sacred objects. Among the Gold Coast tribes, an hon-
their particular village and family. Among the Kenyahs, a
ored place is set aside in one corner of the home for special
rude image of the minor deity Bali Atap, who protects the
offerings to the domestic spirit known as the suhman. The
house against sickness and attack, stands beside the gangway
Yoruba place a humanized image of the house god Olarosa
connecting house and riverbank. A different god, Bali
at the door and make a recess in the wall for their personal
Utong, brings prosperity.
fetish as well. Among the Udmurts, the vorsud or clan god
customarily resided on a shelf in the outhouse. Household
Among the Ainu of Japan a family spirit, inaw, is invest-
altars also prominently characterize domestic observances in
ed with life, dwelling in a special corner of the hut behind
China, Japan, and Tibet.
the heirlooms. In times of trouble he is stuck in the hearth
and offered prayers. The incorporeal eingsaung nat of the
HOUSE SPIRITS, DOMESTIC DEITIES, AND FAMILY. Almost
Burmese scares off burglars; it lives in the southern post of
universally, home, as opposed to mere dwelling, is vivified
the house, which is devotionally adorned with leaves. The
by a spirit of some sort, usually an ancestor. Evidence in the
Burmese also pray to images of respected relatives as house
form of cave burials, skull cults, and sacrifices to the dead
guardians.
dates from the Paleolithic era, suggesting a sacred connection
linking ancestors with dwelling places. In pre-Christian Eu-
THE SACRED HEARTH FIRE. The sacred quality of household
rope, the house god was commonly represented as a snake,
spirits and deities has frequently been associated with one of
which was believed to be a vehicle for the souls of the dead.
the most common attributes of home, the sacred hearth fire.
Among the Lithuanians, for example, the paterfamilias typi-
In Brahmanism, the householder rekindled the sacred fire
cally maintained his serpent (givojitos, “the living ones”;
whenever religious rites were performed. For all domestic
givoitos, “immortal ancestor”) in a corner of the house where
ceremonies (sma¯rta-karman) the fire of a clay hearth
he offered it food and sacrificed to it.
(grhya¯gni) was sufficient. Every morning the family assem-
bled around the fire in prayer before “feeding” it with bits
An elaborate system of household deities existed among
of consecrated wood (samidh) from the pala¯´sa tree. If the
the ancient Romans: the manes were the benign gods, an un-
smoldering embers were inadvertently extinguished, the
differentiated collective of ancestors; the penates were gods
household would be plunged into chaos; only for an expiato-
of the store closet; and the lar familiaris was the primitive
ry ceremony (pra¯ya´scitta) was the fire intentionally rekin-
concept of home personified, to which offerings were made
dled. The fire god, Agni, functioned as both the god of the
on all family anniversaries. Among the Teutons, the house-
household and of the clan, protecting both from evil, much
hold spirit often assumed manikin form. The cofgodar
as Hestia did in Greece and Vesta in Rome.
(“house gods”) of the Anglo-Saxons have their counterparts
today in the Kobolde and Butzen of the Germans; Puck of
Among Native Americans of the Northern Hemisphere
the English; the brownies of the Scots; and the gardsvor,
the sacred fire burned by day in the hearth at the center of
tomte, and nisse of the Scandinavians, all still frequently be-
the dwelling. Fire, a gift of the gods, symbolized the sun,
lieved to be spirits of ancestors.
much as the surrounding home symbolized the universe. The
door or tent flap was positioned facing the east to catch the
Among the Slavs every house has a domovoi, the spirit
morning’s first rays.
of the founder of the family. At festivals commemorating an-
cestors, this little old grayhaired man in old-fashioned dress
Since ancient times the sacredness of the hearth fire has
is honored, too. Before the family moves, its members pray,
been symbolized in China by the stove god, Zao-wang, and
offering bread and salt to entice the house spirit to accompa-
in Japan by the kitchen gods Okitsuhiko and Okitsuhime
ny them. Before Lent, the head of the house invites the do-
and the god of the stove, kama no kami. Bronze Age Chinese
movoi to supper by going into the yard and bowing to the
dwellings all had a central opening for smoke called “the cen-
four cardinal points. In Russia the spirit is named according
ter of the house.” The spot beneath it was sacred to the tute-
to location: in the cattle shed he is the chlevnik; in the yard,
lary god of the ground on which the house stood. Here food
dvorovoi; in the drying kiln ovinnik; and in the bathroom,
was prepared and eaten, family council held, and the god
bannik.
worshiped. Originally, the god represented the mystery 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
HOMER
4107
fire, guardianship of the house ground, and the family’s
viduation (Missoula, Mont., 1978). For an easily readable ac-
ideals and traditions.
count of home-centered ritual within Judaism, The Jewish
Catalog, edited by Richard Siegel, Michael Strassfeld, and
SECULARIZATION. In traditional cultures, “home” is a sacred
Sharon Strassfeld (Philadelphia, 1973), is unsurpassed. Two
symbol capable of transforming chaos into cosmos and en-
excellent sources on domestic rituals in the classical world are
gendering personal wholeness. But for many industrial and
Numa Denis Fustel de Coulanges’s La cité antique (Paris,
postindustrial cultures, home has become a purely secular in-
1864), translated by Willard Small as The Ancient City: A
stitution, particularly in those societies that accept Plato’s
Study of the Religion, Laws and Institutions of Greece and
denigration of the private sphere associated with home in
Rome, 11th ed. (Gloucester, Mass., 1956); and Georges
favor of the public one associated with politics. Accordingly,
Dumézil’s La religion romaine archaïque, 2d ed., rev. (Paris,
two strongly opposed orders are thought to govern existence.
1974), the first edition of which was translated by Philip
Krapp as Archaic Roman Religion, 2 vols. (Chicago, 1970).
One, to which all humans belong, is the natural order of
The classic analysis of the persistent split between the public
things determined by biology, in which woman bears chil-
and private spheres is Hannah Arendt’s chapter “The Polis
dren and man maintains the life of the family. The center
and the Household,” in The Human Condition (Chicago,
of this existence, which is ruled by necessity (anagk¯e), is the
1958). Helpful short discussions on various symbolic and rit-
hierarchically arranged household (oikia) dominated by the
ual aspects of home in specific cultures appear in Irving
eldest male. Contrasting with and transcending this order,
Goldman’s The Mouth of Heaven: An Introduction to Kwaki-
however, is the city-state, the polis, in which every member
utl Religious Thought (New York, 1981); Paul Bohannan and
is equal. In this “higher” realm of the polis, members are most
Laura Bohannan’s Tiv Economy (Evanston, Ill., 1968);
truly alive, as they engage in the two “highest” forms of
Sechin Jagchid and Paul Hyer’s Mongolian Culture and Soci-
human activity, action (praxis) and speech (lexis). But only
ety (Boulder, Colo. 1979); and Jung Young Lee’s Korean Sha-
citizens can be members—women, children, slaves, and for-
manistic Rituals (New York, 1981). An excellent general dis-
cussion of the theme of home as cosmic image occurs in
eigners are automatically excluded.
Mircea Eliade’s The Sacred and the Profane (New York,
Both implicitly and explicitly, this praise of the public
1968).
and denigration of the private elevates males to a place of ex-
KATHRYN ALLEN RABUZZI (1987)
istence from which women, by virtue of their anatomy, are
barred. Historically, the public sphere of men is extolled
while the domestic sphere of women, the home, is both trivi-
alized and despised (except briefly in Victorian times in the
HOMER (eighth century BCE), according to unanimous
West when it was sentimentalized). Thus, much as Freud in
ancient Greek tradition, was the author of the Iliad and the
Totem and Taboo openly derides the concept of God as a be-
Odyssey. His authorship of other epic poems and of long hex-
liever’s internalized image of his or her father, many contem-
ametrical hymns was already disputed in antiquity. Tradition
porary Western feminists, Marxists, and utopian thinkers
assigns to him several dates, all earlier than the foundation
now ignore or dispise the institution of home. For them
of the Olympic Games in 776 BCE. All ancient information,
home has become an ugly image of privatism instead of a
however, is much later than any of these dates and has rightly
symbol of cosmic order and personal wholeness.
been seen as unhistorical in modern scholarship. The Iliad
and Odyssey are now seen as the result and culmination of
SEE ALSO Demons; Domestic Observances; Exile; Fire;
a long tradition of oral poetry; in their substance, they were
Foundation Rites; Geomancy.
composed between the late eighth century BCE and the early
seventh century BCE, with a growing consensus for a later
BIBLIOGRAPHY
rather than an earlier date. As part of a tradition reaching
A contemporary work that deals with the religious significance of
back to the Late Bronze Age, the poems are an important
home and related aspects is my book The Sacred and the Fem-
source of information on early Greek religion and cult prac-
inine: Toward a Theology of Housework (New York, 1982).
tice. Because throughout most of later Greek culture the
Within the context of the nineteenth-century American doc-
poems had become normative, they in turn shaped the Greek
trine of “the cult of true womanhood,” Catherine E. Bee-
way of perceiving polytheism.
cher’s A Treatise on Domestic Economy (New York, 1855)
proselytizes about many aspects of home from a popular per-
RELIGION IN HOMER. Homer’s gods are fully anthropomor-
spective. One of the best treatments of the psychological sig-
phic, with the exception of river gods, whose descriptions os-
nificance of houses is Gaston Bachelard’s La poétique de
cillate between anthropomorphism and their element. An-
l’espace (Paris, 1957), translated by Maria Jolas as The Poetics
thropomorphism regards not only the gods’ appearance but
of Space (New York, 1964); esp. chaps. 1–3. For a compara-
also their way of thinking and feeling. The major gods live
tive visual study of aboriginal domestic architecture from
around the world, Colin Duly’s The House of Mankind (Lon-
together as a loose family that comprises Zeus, patriarch and
don, 1979) presents an outstanding collection of photo-
king; his siblings Poseidon and Hera (who is also his wife);
graphs with accompanying analysis. A useful discussion of
and his children from several women—Apollo and Artemis,
the religious significance of homecoming is Charles E. Win-
Ares, Aphrodite, Hephaistos, and Athena. Only Demeter
quist’s Homecoming: Interpretation, Transformation and Indi-
and Dionysos are curiously nonexistent. They live in a pala-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4108
HOMER
tial setting on Olympus, a mythical place that in Homer has
of birds. Extispicy, especially the art of consulting the liver
already transcended its starting point in geographical reality,
of a sacrificial animal, is widespread in the ancient Near East
Mount Olympus, the highest mountain in Greece. Their
and in Iron Age Etruria, where it must have arrived from the
common meals are usually the occasion for extensive and
Orient. It is conceivable, although somewhat surprising, that
often heated policy debates that precede the decisions of
the transfer of extispicy to the Greek world resulted from cul-
Zeus. Although the other gods have some independence of
tural contacts in the Early Iron Age at about the epoch of
action, Zeus’s will runs the world. The Iliad and Odyssey dif-
Homer.
fer somewhat in their views of how human life relates to the
It is still debated how much the Homeric poems owe
divine world. The Iliad tends to see humans helplessly ex-
to ancient Near Eastern culture, mythology, and literature.
posed to divine caprice, even though Zeus’s decisions are just
Given that both Bronze Age and Geometric Greece were part
and well balanced, whereas the Odyssey explicitly rejects di-
of a much wider Near Eastern common culture, the influ-
vine causation of bad moral decisions by humans. The over-
ence should not be underrated. On a general level are the
all impression is that the gods of the Odyssey are more willing
common and widespread mythological patterns, such as the
to warn and sometimes even guide humans, but in the end
succession myth Homer (as well as Hesiod) shares with Near
to let them take their decisions alone. This reflects different
Eastern mythologies. On a second, more specific level are di-
concerns with theodicy in the Iliad and Odyssey. Whereas the
rect influences in mythological motives, such as the (rather
Iliad juxtaposes Zeus and Fate without ever clarifying their
isolated) mention of Okeanos and Tethys as “ancestors of the
mutual relationship or exploring the origins of bad things,
gods” (Iliad 14.201). This reflects the Akkadian Apsu and
the Odyssey makes it clear at its very beginning that Zeus is
Tiamat as ancestors of the gods as narrated, for example, in
not responsible for evil but that humans (such as Aegisthus)
the Enuma elish. On a third level are highly specific narrative
often act foolishly and against the will and warning of Zeus
motives shared between literary works, such as the apparition
and thus cause their own downfall.
of Patroclus’s shadow to Achilles in a dream (Iliad 23.65–
107), which recalls the apparition of the dead Enkidu to Gil-
Divine mythology in Homer is independent from spe-
gamesh and points to a close connection between two narra-
cific local and cultic traditions. The local connections of
tive traditions.
some gods are acknowledged, such as Hera’s with Argos,
Apollo’s with Delphi and Delos, or Aphrodite’s with Cyprus,
HOMER’S INFLUENCE ON GREEK RELIGION. In the course
but the myths are not the local cult stories of Argos, Delphi,
of the Archaic epoch, the poems of Homer became norma-
or Delos. To some extent this is even true for the four long
tive for Greek culture. The poems’ descriptions of the gods
and early Homeric Hymns. Only the “Hymn to Demeter”
decisively shaped a Panhellenic mythology and iconography.
narrates a cult myth, the foundational story of the Eleusinian
But the anthropomorphism of the Homeric gods that made
mysteries, and the “Hymn to Apollo” combines the Delian
them act and react like humans provoked the criticism of re-
birth story with the foundation myth of the Delphian oracle.
ligious thinkers who were devising a theology in which the
This independence from local traditions made Homeric my-
gods were viewed as ideal moral beings and who were tran-
thology extremely well suited to give a translocal, Panhellenic
scending anthropomorphism for the sake of theology. Xe-
appearance to the Greek gods.
nophanes of Colophon (c. 570–c. 480 BCE) rejected an-
thropomorphism as a human projection onto the divine, and
The world of ritual practice that the Iliad and Odyssey
he heavily criticized Homer and Hesiod for their representa-
depict must to some degree reflect the contemporary reli-
tions of immoral gods who “steal and lie and commit adul-
gion. Cities possess temples of their important gods (Athena
tery.” Plato (c. 428–348 or 347 BCE) went even further. In
or Apollo in Troy, Apollo in Chryse, Poseidon at the Phaea-
the Republic he proposed that the ideal state would censure
cian harbor, Apollo in a grove near Ithaca’s town). Athena’s
poetry and prohibit immoral representations of the gods.
Trojan temple contains a sitting image of the goddess. The
As a way of dealing with these criticisms, rhapsodes and
major Panhellenic sanctuaries—Delphi, Delos, Dodona—
later Stoic philosophers developed the allegorical explanation
are known; Delphi has a stone temple, Delos a famous altar.
of such Homeric scenes. The assumption was that the poet
Humans perform festivals (for example, the festival for Apol-
was hiding physical or ethical statements behind a misleading
lo on Ithaca) and sacrifices, either as a group or individually.
narrative surface; allegorization would reconstruct these orig-
Twice Homer describes these sacrifices in loving detail, and
inal intentions of Homer. Originally developed by the rhap-
once he describes an oath sacrifice. Homeric sacrifice is simi-
sodic interpreters of Homer, such as Stesimbrotos of Thasos
lar to later sacrificial practice with one exception. Whereas
(fifth century BCE), allegorical interpretation turned into a
later a seer inspected the killed animal to determine whether
major tool for adapting the understanding of canonical texts
it was welcome to the gods or not, this custom is absent in
to a given society without changing their textual forms.
the Homeric poems. It is somewhat unclear whether this is
a conscious stylization or an indication of contemporary
SEE ALSO Aegean Religions; Zeus.
usage. Divination as such is known to Homer, and seers ap-
pear in both the Iliad and the Odyssey. But their art seems
BIBLIOGRAPHY
to concentrate on observing omens, especially from the flight
Broccia, Giuseppe. La questione Omerica. Florence, 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
HOMO RELIGIOSUS
4109
Buffière, Félix. Les mythes d’Homère et la pensée grecque. Paris,
HOMO RELIGIOSUS AS RELIGIOUS LEADER. In one meaning,
1956.
homo religiosus refers to a particularly religious person within
Burkert, Walter. “Homer’s Anthropomorphism: Narrative and
a given (religious) community, that is, to a religious leader.
Ritual.” In New Perspectives in Early Greek Art, edited by
The roots of this usage are much older than the Enlighten-
Diana Buitron-Oliver, pp. 81–91. Washington, D.C., 1991.
ment and Linnaeus’s Systema naturae. In antiquity religiosus
Graf, Fritz. “Religion und Mythologie im Zusammenhang mit
denoted persons who were scrupulously but not excessively
Homer: Forschung und Ausblick.” In Zweihundert Jahre
attentive to observances due to gods and humans (Festus,
Homer-Forschung Rückblick und Ausblick, edited by Joachim
pp. 278 and 289 M; Cicero, De natura deorum 2.72). In this
Latacz, pp. 331–362. Colloquiun Rauricum, 2. Stuttgart,
sense, Cicero could speak of homines religiosi (Epistulae ad fa-
1991.
miliares 1.7.4). Christianization brought overtones of dis-
Heubeck, Alfred, Stephanie West, J. B. Hainsworth, A. Hoekstra,
tinctiveness—religiosi became persons of special ecclesiastical
and Joseph Russo, eds. A Commentary on Homer’s “Odyssey.”
standing—and this usage was transferred to the vernaculars,
3 vols. Oxford, 1988–1992.
as in the English noun religious and expressions such as “reli-
Kirk, G. A., ed. The “Iliad”: A Commentary. 6 vols. Cambridge,
gious folk” (Romance of the Rose 6149).
U.K., 1985–1993.
Kullman, Wolfgang. “Gods and Men in the Iliad and the Odys-
Later, in reaction to the Reformation’s universalization
sey.” Harvard Studies in Classical Philology 89 (1985): 1–28.
of the religious life, Pietist and Puritan movements empha-
Kullman, Wolfgang. “Zum Begriff der ‘Homerischen Religion.’”
sized a religious distinctiveness whose center was subjective
In Religio Graeco-Romana: Festschrift für Walter Pötscher, ed-
and individual rather than objective and institutional (a per-
ited by Joachim Dalfen, Gerhard Petersmann, and Franz
sonal Nachfolge Christi). Friedrich Schleiermacher thought of
Ferdinand Schwarz, pp. 43–50. Grazer Beiträge, Supple-
religion as neither knowing nor doing but as an experiential
mentband 5. Graz, Austria, 1993.
awareness of one’s absolute dependence upon God. He con-
Lamberton, Robert. Homer the Theologian. Berkeley, Calif., 1986.
ceived Christ as the unique person in whom this conscious-
Morris, Ian, and Barry Powell, eds. A New Companion to Homer.
ness received ultimate expression, the person whose fully im-
Leiden, 1997. On the history of modern Homeric scholar-
mediate and perfectly open relationship with the Father
ship, see esp. chaps. 5–7, pp. 123–188.
qualified him to be the mediator of the divine.
Morris, Sarah. “Homer and the Near East.” In A New Companion
In the twentieth century homo religiosus as religious lead-
to Homer, edited by Ian Morris and Barry Powell,
er has inherited both the medieval meaning of religiosus and
pp. 599–623. Leiden, 1997.
the liberal Protestant tradition initiated by Schleiermacher.
Privitera, G. Aurelio. Dioniso in Omero e nella poesia greca arcaica.
According to Max Scheler, who developed a full version of
Rome, 1970.
this view, homo religiosus is a particular type of human per-
Vermeule, Emily Townsend. Götterkult. Archaeologia Homerica
sonality: “the man who has God in his heart and God in his
3, fasc. V. Göttingen, Germany, 1974.
actions, who in his own spiritual figure is a transformer of
FRITZ GRAF (2005)
souls and is able in new ways to infuse the word of God into
hearts that have softened and yield” (Scheler, 1960, p. 127).
Scheler distinguished the homo religiosus from four other
HOMO RELIGIOSUS. When the Swedish botanist
exemplars of value: the artist, the leading spirit of a civiliza-
Linnaeus developed his system of biological classification in
tion, the hero, and the genius. These other figures are each
the eighteenth century, the Enlightenment’s ideal of ratio-
exemplary in some aspect or other: the hero in deeds, for ex-
nality strongly governed views of humanity. As a result, Lin-
ample; the genius in works. Homo religiosus, however, is ex-
naeus designated the human species Homo sapiens. Soon,
emplary in his entire being, which in its totality calls for un-
however, the Romantic movement and the incipient human
questioning imitation (Nachfolge). Moreover, Scheler
sciences accentuated other dimensions of humanity than the
distinguished several types of homo religiosus. Of these, the
rational. In time, new terms were coined on the Linnaean
most significant is the original homo religiosus, for historical
model to designate humanity in various distinctive aspects:
religious traditions, the founder. Unique in his or her own
homo ludens (G. F. Creuzer and, later, Johan Huizinga),
community, the founder is the medium for a positive revela-
homo faber (Henri Bergson), homo viator (Gabriel-Honoré
tion of the holy. The various derived homines religiosi—
Marcel), and others. Perhaps the nineteenth century’s grow-
followers, martyrs, reformers, priests, theologians, and oth-
ing awareness of the universality of religion, especially in the
ers—are lesser in stature and reflect the absolute claim ad-
realm of the “primitives” (as they were then known), made
vanced by the existence and nature of the perfect homo
it inevitable that a phrase would emerge to express that aspect
religiosus.
of humanity that the Enlightenment’s ideal had so opposed:
homo religiosus, “the religious human.” In some circles the ex-
Among modern historians of religions, Joachim Wach
pression has gained wide currency, but its sense has not re-
spoke of homo religiosus in this sense. Unlike Scheler, howev-
mained constant. Three general meanings of homo religiosus
er, Wach was heavily indebted to Max Weber. He saw the
are most important to students of religion.
distinctive character of the homo religiosus not in an intrinsic
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4110
HOMO RELIGIOSUS
quality or activity of the personality but in the historical and
festations. Because this view appears above all in the influen-
sociological effect of his personal or official charisma.
tial writings of Mircea Eliade, it is perhaps the most widely
R
known modern use of homo religiosus.
ELIGIOUS HUMANITY. Today, two other senses of homo re-
ligiosus have eclipsed the definition of homo religiosus as reli-
Eliade is struck by the difference between the nature and
gious leader, at least in Anglo-American scholarly parlance.
use of symbols in the ancient classical religions and especially
In both cases the term is employed not in a particularistic
among archaic cultures as opposed to the modern Western
sense—the homo religiosus or homines religiosi—but in a ge-
intelligentsia. He contrasts two distinct modes of existing in
neric sense, homo referring not to an individual but, as with
and experiencing the world. His homo religiosus is driven by
Linnaeus, to humanity. In one usage, the term is a general
a desire for being; modern humanity lives under the domin-
designation for all human beings, referring specifically to re-
ion of becoming. Homo religiosus thirsts for being in the guise
ligion as one constitutive aspect of humanity distinct from
of the sacred. Homo religiosus attempts to live at the center
others. This usage assumes a fundamental unity of all hu-
of the world, close to the gods and in the eternal present of
mankind that is much more than biological, and its propo-
the paradigmatic mythic event that makes profane duration
nents speak more of the human condition than they do of
possible. The experience of time and space for homo religiosus
concrete religious phenomena.
is characterized by a discontinuity between the sacred and the
The Dutch historian of religions Gerardus van der
profane. Modern humanity, however, experiences no such
Leeuw openly set this sort of homo religiosus in opposition
discontinuity. For homo religiosus, neither time nor space is
to Scheler’s. For van der Leeuw, the human as such emerges
capable of distinctive valorization. Homo religiosus is deter-
in the existential tension between two poles: on the one
mined indiscriminately by all the events of history and by the
hand, a fully united collective identity in which the individu-
concomitant threat of nothingness, which produces a pro-
al is submerged (that is, a primitive mentality, the realm of
found anxiety.
mysticism); on the other, a duality of subject and object in
The break between the two, however, cannot be com-
which a human being strives to render everything a technical
plete. Determined by history, modern humankind is thereby
object, in the end even itself. With humanity there emerges
determined by its unrenounceable precursor, homo religiosus.
at the same time both conscientia (conscience and conscious-
For support, Eliade points to religious structures in the mod-
ness) and, from existential anxiety, a sense of sin—hence
ern world, such as mythic images suppressed in the modern
God and religion. While van der Leeuw is not unaware of
unconscious and the religious symbols and functions of
the existence of atheists and agnostics, in his formulation
modern entertainment. Nonetheless, there is a profound dif-
such persons can never escape their own selves, their own
ference between archaic reality and modern relic. For homo
conscientiae.
religiosus, recognized structures determine a whole world and
a whole person. For modern humanity, these unrecognized
More recently, Wilhelm Dupré has seen religion as both
structures are particular and private, repressed or relegated
a “universal pattern of human self-realization” and a “consti-
to peripheral activities.
tutive presence . . . in the emergence of man” (Dupré,
1975, p. 310). Dupré exposits his conception of humanity
The influence of Eliade’s notion of homo religiosus can
by using three expressions, homo existens, homo symbolicus,
be gauged by the amount of discussion it has provoked
and homo religiosus, each of which necessitates the next. The
among scholars. Some, especially anthropologists, question
symbol, not the existential situation of the subject in the
Eliade’s data and methods and have come to the radical con-
world, is the pivot upon which Dupré’s conceptions turn.
clusion that Eliade’s homo religiosus is never encountered in
Because religion is for him both the quality that gives intensi-
the field (see Saliba, 1976).
ty to any process of symbolization and the dimension in
Others point out hidden biases that have skewed what
which symbolization originates, Dupré sees humanity as in-
they see as otherwise careful work. Those concerned with
evitably religious.
women’s issues, for example, may find Eliade’s view of the
HOMO RELIGIOSUS AND HOMO MODERNUS. In a third
genuine human life basically androcentric: Eliade’s homo re-
meaning, as in the second, homo religiosus is a generic term,
ligiosus is actually vir religiosus (see Saiving, 1976).
but here it does not extend to the entire species. Instead, it
A third tack grants Eliade’s universal structures but chal-
characterizes the mode of human existence prior to the ad-
lenges the inferences that he draws. Some wonder, for exam-
vent of a modern, secular consciousness. Thus, this usage dif-
ple, whether archaic structures and their modern survivals
fers from the second in the seriousness with which it takes
might not simply arise from “the organic and psychological
secularization as an abandonment of religion and in the
constitution of Homo sapiens” (Brown, 1981, p. 447). Given
weight it assigns religious elements within the modern, secu-
human biological unity, they question whether Eliade’s dif-
larized world. Its adherents are able to conceive religion in
ferentiation of modern humankind from homo religiosus is
terms of concrete phenomena normally considered religious
relevant.
(such as myths and rites), without recourse to subtle redefini-
tions governed by their views of humanity in general. At the
A final critique questions not Eliade’s notion of homo
same time, they may still appreciate religion’s secular mani-
religiosus but what it sees as his program of revitalizing 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
HOMOSEXUALITY
4111
gious humanity. For example, Kenneth G. Hamilton, a pro-
The Encounter between Contemporary Faiths and Archaic Real-
ponent of the death-of-God theology, finds Eliade’s prefer-
ities (New York, 1960) and his Cosmos and History: The Myth
ences opposed to historical faith (see Hamilton, 1965).
of the Eternal Return (New York, 1954). A recent article by
Religious humanity surrenders questioning and particularity
Eliade discusses technology and mythology in the archaic
for openness and universality, and as a result abandons histo-
and modern worlds: “Homo Faber and Homo Religiosus,” in
ry and morality.
The History of Religions: Retrospect and Prospect, edited by Jo-
seph M. Kitagawa (New York, 1985).
HOMO RELIGIOSUS IN THE STUDY OF RELIGION. Clearly,
Discussions of Eliade’s notions are still in progress, and a defini-
scholars give the term homo religiosus a variety of distinctive
tive verdict cannot be given. Representative of various cri-
meanings. In addition, they use it with great variation in
tiques of his notion of homo religiosus are John A. Saliba’s
specificity and frequency. The expositions given here rely on
“Homo Religiosus” in Mircea Eliade (Leiden, 1976); Valerie
careful and exact discussions, but many scholars also use the
Saiving’s “Androcentrism in Religious Studies,” Journal of
expression casually, and the precise meanings they intend are
Religion 56 (April 1976): 177–197, which discusses particu-
often difficult to determine. Again, some in the field assign
larly Eliade’s treatment of men’s and women’s initiation
homo religiosus a prominent place in their thought, but others
rites; Robert F. Brown’s “Eliade on Archaic Religion: Some
do quite well without mentioning the term at all.
Old and New Criticisms,” Studies in Religion / Sciences reli-
gieuses 10 (1981): 429–449; and Kenneth G. Hamilton’s
The formulation of an adequate concept of homo religio-
“Homo Religiosus and Historical Faith,” Journal of Bible and
sus as such is only rarely a primary scholarly goal. As the var-
Religion 33 (July 1965): 213–222.
ied and often incompatible meanings of the term show,
New Sources
scholars are generally driven by deeper and more substantive
Braun, Hans-Jürg, Karl H. Henking, and Cornelia Vogelsanger.
questions about religion, and they formulate different views
Homo religious. Zürich, 1990.
on religious matters in which a phrase like homo religiosus—a
Christ, Carol P. “Mircea Eliade and the Feminist Paradigm Shift.”
Latin expression that attracts the reader’s attention—can
Feminist Studies in Religion 7 (fall 1991): 75–94. Reprinted
perform a range of services. Nonetheless, so long as the study
in Feminism in the Study of Religion, edited by Darlene M.
of religion is conceived of as a human study, some students
Juschka, pp. 571–590.
will find homo religiosus a convenient and useful expression.
King, Ursula. “A Question of Identity: Women Scholars and the
Study of Religion.” In Religion and Gender, edited by Ursula
B
King, pp. 219–244. Oxford, 1995.
IBLIOGRAPHY
No general survey is available that covers the entire range of uses
Power, William L. “Homo Religiosus: From a Semiotic Point of
of the term homo religiosus. The most convenient source for
View.” International Journal for Philosophy of Religion 21, no.
Friedrich Schleiermacher’s Christology is his systematic work
2 (1987): 65–81.
The Christian Faith, translated by H. R. Mackintosh and
Schmuck, Josef. Homo Religiosus: Die Religiöse Frage in Der
J. S. Stewart (1929; reprint, New York, 1963). Max Scheler
Wissenssoziologie Max Schelers. Munich, 1987.
provides hints of a concrete phenomenology of homo religio-
GREGORY D. ALLES (1987)
sus in On the Eternal in Man, translated by Bernard Noble
Revised Bibliography
(London, 1960); a succeeding volume was to include a fuller
exposition but was never written. Details are provided by
Scheler’s essay “Vorbilder und Führer,” in Schriften aus dem
Nachlass, vol. 1, Zur Ethik und Erkenntnislehre, 2d rev. ed.,
HOMOSEXUALITY. Sexual activity between persons
edited by Maria Scheler (Bern, 1957), pp. 255–344. For Jo-
of the same sex is known from many places far and near
achim Wach’s views, see his Sociology of Religion (1944; re-
throughout history. Because the word homosexuality derives
print, Chicago, 1962), especially chapter 8, “Types of Reli-
from the Greek homos, meaning “same,” and not from the
gious Authority.” An internal, experiential dimension is
Latin homo, meaning “man,” the term refers both to sex be-
added by scattered but infrequent references to homo religio-
tween males and sex between females, though in practice les-
sus in Wach’s posthumously published lectures, The Compar-
bianism is used to refer to sexual relations between females.
ative Study of Religions (New York, 1958).
The image of homosexuality has a special history in the so-
Gerardus van der Leeuw develops his views on homo religiosus in
cial, medical, and religious discourse of Western culture.
the context of a discussion of primitive mentality; see his
This image equates the sexual behavior, personal identity,
L’homme primitif et la religion: Étude anthropologique (Paris,
and sociosexual orientation of a person, often under a nega-
1940). Similarly, Wilhelm Dupré comes to reflect on the
tive rubric. Other cultures, however, do not make this equa-
universality of religion when he examines primitive peoples
in his Religion in Primitive Cultures: A Study in Ethnophiloso-
tion. Thus to say that someone engages in homosexual activi-
phy (Paris, 1975).
ty is different from saying he or she is “homosexual.”
Moreover, since about the eleventh century CE homosexuali-
Indispensable for Eliade’s view of homo religiosus is his The Sacred
and the Profane (New York, 1959), which discusses the expe-
ty has been seen as antithetical to Western ideas of church,
rience of homo religiosus with reference to space, time, nature,
family, and state; this attitude generally reflects a traditional
and life. The volume contains dispersed contrasts of homo re-
Judeo-Christian cosmology. Homosexual relations in reli-
ligiosus and modern humankind. For these contrasts, see also,
gious contexts outside the Western tradition have a wider
among other writings, Eliade’s Myths, Dreams and Mysteries:
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
4112
HOMOSEXUALITY
It has been argued both that homosexuality is universal
types can be studied in different ways, each of which provides
and, to the contrary, that it is culture-bound to certain socie-
a somewhat different interpretation. A focus on overt homo-
ties or historical periods. Part of this controversy depends
sexual behavior, for instance, may reveal little about the expe-
upon how homosexuality is defined. Victorian scholars such
rience or identities of the persons involved. But it is clear that
as Krafft-Ebing suggested that homosexuality as an essence
such ritual homosexual forms do not create the lifelong, ha-
indicated nervous degeneracy that produced an inversion of
bitualized identity that in the West is labelled “the homosex-
innate instincts. Others, such as Havelock Ellis, saw it differ-
ual.” Nor do non-Western homosexual customs necessarily
ently; and Freud believed that it was “remarkably wide-
indicate the sexual orientation of the persons involved, be-
spread” in simple societies, because “all human beings are ca-
cause participants in the age-structured type later marry,
pable of making a homosexual object-choice” based upon
have children, and may or may not engage in extramarital
bisexual potential and social experience (Three Essays on the
homosexual relations. The exact causes of these homosexual
Theory of Sexuality, New York, 1962, pp. 5–11). The ancient
forms are still unknown. Moreover, to ask what causes these
Greeks were an especially puzzling case, as Jeremy Bentham
types of homosexuality is very different from understanding
noted, to Victorian scholars, who admired their beautiful art
how they function or affect individuals and societies. This
and their accomplishments in literature and philosophy but
article shall here examine the latter dimension, on which reli-
who detested their customary homosexuality.
able information exists.
Modern research has confirmed Freud’s view that ho-
AGE-STRUCTURED HOMOSEXUALITY. The most common
mosexual activity occurs in many simple societies. In a classic
form of ritual homosexuality is organized through customary
comparative study of sexual behavior patterns, Ford and
sexual relationships between older and younger males. In
Beach (1951) found that homosexual activity was considered
some cultures the practice is obligatory and universal for all
socially acceptable and normative for certain people in 64
males, usually early in the life cycle and, for the junior part-
percent of the seventy-six societies studied. Moreover, insti-
ner, before marriage. Age-organized homosexuality is associ-
tutionalized homosexuality is known among peoples from
ated with militarized societies as well. Ritual and ceremonial
parts of Africa and Asia, among North and South American
practices frequently provide a social basis for it, thus linking
Indian tribes, among peoples on the islands of the Pacific,
sexuality and religion, though this association is by no means
including New Guinea, and among the Australian Aborigi-
true of all the relevant examples.
nes; it occurs as a religious theme in the ancient world among
Of all age-structured systems, that of the ancient
the Greeks (especially the Dorians and the Spartans), the
Greeks, the West’s cultural ancestors, is the most famous. In
Celts, and the Romans, in ancient Arabia and Islamic fringe
the Hellenic world homosexuality is known among the mili-
areas, in feudal Japan, in ancient China and Indochina, and
taristic Dorians at least as early as 800 BCE. Senior and junior
in selected Indo-European traditions. Here, religious—or, to
males engaged in homosexual relationships as a part of mas-
be more precise, ritual—homosexuality occurs in relation to
culine development. Among the Dorians on Crete, Ephoros
phallic cults and fertility symbolism, mythology, and ideas
describes the experience as an initiation that begins with a
about spirit, seed, and soul, particularly as they concern the
ritual capture (harpag¯e) of a boy by his lover; the community
creation of the cosmos and maleness in humankind. In some
acknowledged this by gift giving and feasting, recalling the
societies, however, same-sex relationships are disliked or de-
myths of the pederastic captures of Chrysippus by Laius and
fined as taboo; certainly ritual homosexuality is not universal.
of Ganymede by Zeus (see Bremmer, 1980, p. 285). Early
An analysis of cross-cultural sexual variations does show that
Greek homosexuality was fundamentally related to the con-
in the cultural traditions listed above homosexuality plays a
cept of aret¯e, which in Homer’s time meant “warlike prow-
role in respect to the experience of the sacred.
ess.” Aret¯e implied masculine valor, beauty, and nobility,
symbolized, on the earthly plane, by the heroic strength of
It has been demonstrated that there are three forms of
warrior and athlete, by the spirit and speed of horses, and,
the cultural structuring of homosexual activities and organi-
on the spiritual plane, by the power of the gods (Jaeger,
zation the world over: (1) age-structured homosexuality, in
1945). Male lovers were known as ero¯menos (“boy, beloved”)
which people of the same sex but of different ages are sexually
and erast¯es (“senior, lover”). The ideal was for the senior to
involved; (2) gender-reversed homosexuality, wherein a per-
transmit the noble qualities of aret¯e to his junior through
son adopts the dress, mannerisms, and sexual activities of the
teaching, love, and sex, the senior receiving sexual pleasure.
opposite sex; and (3) role-specialized homosexuality, in
which a person, by virtue of his or her social or religious role,
The military aspect of Hellenic homosexuality is widely
is entitled to engage in homosexual activity. In simple socie-
noted. Some scholars feel it has been exaggerated (Hoffman,
ties these forms usually do not occur together but are mutu-
1980); certainly it changed over time. The Thebans and
ally exclusive. As described below, most cross-cultural exam-
Spartans were said to have taken boy lovers with them as
ples of these forms concern only male homosexuality;
comrades and bedmates. The youths in turn learned warrior
institutionalized female homosexuality is rare. Contrary to
values and the military arts. The Theban military corps
popular Western thought, the first type—age-structured ho-
known as the Sacred Band was said to derive its strength
mosexual behavior—seems the most frequent. These social
from the homoerotic unity of male warrior couples. Many
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HOMOSEXUALITY
4113
ancient texts tell celebrated stories of how male lovers over-
may have to do with many and diverse influences, which,
threw tyrants and defeated invaders. And Plutarch says that
through Roman conquests, trade, and the advent of Chris-
“an army consisting of lovers and their beloved ones, fighting
tianity, introduced heterogeneous standards into Roman cul-
at each other’s side, although a mere handful, would over-
ture and cosmology.
come the whole world” (Westermarck, 1917, vol. 2,
p. 479). In Classical Attic culture, however, the educational
Age-structured homosexuality appears as a more general
and social dimensions of homosexual love were stressed over
theme in various Indo-European traditions from which his-
the military aspect (Dover, 1978).
torical evidence has survived. Most sources suggest that the
Celts practiced ritual pederasty, whereas the Irish and Welsh
What did male love mean to the ancient Greeks? The
probably did not (see Bremmer, 1980, p. 288). Obligatory
subject has long been a source of controversy, for the ancients
homosexuality existed in ancient Germany and Albania and
have only their texts and art to speak for them. While homo-
was no doubt linked to their warrior traditions. Here again,
sexuality was not directly supported by Greek religion, the
age-structured homoeroticism belonged to a transitional pe-
polymorphous sexuality of the Greek gods—Zeus himself,
riod before adulthood, young men engaging in anal inter-
for instance, engaged in homosexual love capture, and Aph-
course with boys. Because these peoples strongly condemned
rodite served as patroness of both heterosexual and homosex-
passive homosexuality in adults (as did the Greeks and Ro-
ual love—is noteworthy. Perhaps polytheism in Greece and
mans), it is reasonable to conclude that whereas for boys the
in non-Western cultures contributed to the acceptance of
passive role was required, honorable, and masculine, for
homosexuality.
adults it was dishonorable and despised.
Certainly there is no question that the widely known
The evidence indicates that homosexuality was broadly
figures of Greek philosophy, the teacher Socrates and his stu-
accepted and known from the Near East and Mediterranean
dents Plato and Xenophon, among others, engaged in homo-
in biblical times. Homosexual prostitution was known in rit-
sexual relationships as a part of the educational process. The
ual cults of Mesopotamia and Canaan. Mesopotamian law
teacher transmitted the noble qualities of aret¯e, knowledge,
codes do not mention homosexuality. The Hittite code pro-
and virtue in the context of homoerotic love with his stu-
hibits only father-son incest, and the Middle Assyrian code
dents (Dover, 1978). In the Hellenic world, an act could be
forbids only homosexual rape. In the Hebrew scriptures only
described as homosexual or heterosexual, but not a per-
Leviticus 18:22 and 20:13 generally prohibit male homosex-
son—a view markedly in contrast with the modern one. This
uality. It has been argued that negative attitudes toward ho-
was no doubt complemented by the sexual segregation and
mosexuality, however, did not take hold until late antiquity.
the taboo on adultery among the Greeks. Still, homosexuali-
Both Hebrew and Christian dualistic oppositions between
ty was frowned upon between peers (except with slaves, as
good and evil, spirit and flesh, male and female promulgated
among the Romans), and the ero¯menos went on to marry, fa-
an ascetic ethos, which repudiated pleasure of all kinds as
ther children, and play the role of erast¯es, which strove to-
detrimental to salvation and spirituality. Early Christianity
ward honor and beauty, “the very heart of the Greek view
assimilated a view that opposed all sexual pleasure and was
of life” (Jaeger, 1945, p. 13).
generally antagonistic to homosexuality (Greenberg and
Plutarch reports that in Sparta, at least, noblewomen
Bystryn, 1982). Following this, church doctrine was ambigu-
loved girls as well. There, female initiation involved age-
ous regarding homosexuality until about the eleventh centu-
structured lesbian relationships like those of males. The writ-
ry CE; thereafter, ecclesiastical law and centralization of the
ings of Sappho suggest a similar ritual background.
church in the context of European state formation increas-
ingly restricted and criminalized homosexual contact.
Age-asymmetric homosexuality was also known in an-
cient Rome, though the Roman attitude toward it was more
Islamic societies held a different and more tolerant, in-
ambivalent. The Romans drew upon and emulated Greek
formal attitude toward homosexuality. Indeed, S:u¯f¯ıs saw ho-
culture in many ways, and Livy reports male homosexual in-
mosexual relations as an expression of the spiritual link be-
tercourse as a part of Bacchic rites in the early Roman Re-
tween man and God. Some authorities suggest that Islamic
public. Homosexuality among nobles seems to have elicited
ideas influenced the biblical practice of oath taking on the
a mixed reaction among Romans. Most Romans focused
father’s penis. They point to Genesis 47:29–31, wherein
upon the negative character of effeminacy, seduction, and
Jacob, on his deathbed, makes his son Joseph swear he will
prostitution among those who engaged in homosexual activi-
remove him from Egypt, pledging loyalty by touching
ty, consistent with their patriarchal culture and imperialistic
Jacob’s penis. This practice may have been a symbolic surviv-
worldview. Nonetheless, there was probably no law against
al of noble homosexuality in ancient Arabia that involved a
homosexuality until late in the Roman Empire. The mascu-
primitive rite of transference of male force, from a powerful
line senior role in homosexual relationships was widely re-
adult warrior to a younger recruit homoerotically attached
garded and honorable; one need only recall the emperor Ha-
to him in order to acquire military and civic education. The
drian’s unending devotion to his dead male lover, the Greek
same authorities compare the practice to Dorian homosexu-
youth Antinous, as a renowned expression of erotic fidelity.
ality. Modern examples of male homosexuality are known
The complexity of the Roman response to homosexuality
from North Africa and Morocco, and female homosexuality
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4114
HOMOSEXUALITY
is reported in harems of certain Muslim societies around the
vides striking parallels with the warrior homosexual ethos
world. Age-structured homosexuality of the ancient Arabian
noted elsewhere. It has been demonstrated that between 10
form has been reported in modern times in the Oasis of Siwa.
and 20 percent of all Melanesian societies, ranging from Fiji
and New Caledonia to Malekula Island in Vanuatu and
Love between men in ancient China was seen as an alter-
other off-lying islands and lowland areas of New Guinea,
nate erotic expression not antagonistic to the family or to
practiced ritualized male homosexuality; in the Papuan Gulf
heterosexual marriage. In some respects the dualistic cosmol-
region of New Guinea it was universal. Moreover, various
ogy of the ancient Chinese, with the principles of yin and
Australian Aboriginal tribes, especially those of the Kimber-
yang, was neutralized in the homosexual act. Homosexual
leys and central desert area, had similar customs. The current
love appears to have reached a popular high point in the Han
evidence indicates that these traditions resulted from an an-
dynasty, when the emperor Aidi cut off the sleeve of his robe
cient migration of peoples into the area around Melanesia
when called to court audience rather than awaken his male
some thousands of years ago.
lover; after this, in Chinese literature, homosexuality was
known as “the love of the cut sleeve.” Many similar stories
In these societies ritual initiation customs placed homo-
are found in feudal Japanese literature.
sexuality in a highly structured socioreligious context. The
Age-structured homosexuality was prevalent and es-
adjective ritualized applies best to the Melanesian situation
teemed in the militarized feudal order of Japan up to the be-
because (1) homosexual practices were implemented through
ginning of the Meiji era (1868). Some of the great shoguns
male initiation rites (2) that had sacred significance for soci-
and samurai kept male lovers to provide emotional and sexu-
ety and the individual, (3) the cultural rules and social roles
al support. The youth in this role was esteemed and was
of which were supported by the wider moral-jural force of
given a secure position in the feudal hierarchy. In the seven-
society or of a secret men’s society, (4) which prescribed sex-
teenth-century Japanese novelist Saikaku Ihara’s book Com-
ual intercourse between senior and junior males based upon
rade Loves of the Samurai (Tokyo, 1972), are found romantic
social and kinship taboos. Typically, Melanesian homosexual
tales of how samurai sons were urged by their families to
contact made older adolescent or married men the dominant
form homoerotic alliances with warriors that matured into
partners and prepubescent or adolescent boys the passive
lifelong companionships, alongside their marriages. The Jap-
partners. In most groups age-asymmetric homosexuality was
anese attitude toward women was similar to that of the an-
obligatory for all males. It was by nature a transitional socio-
cient Greeks: Women were to be married and produce heirs,
sexual form that masculinized boys, making them into ma-
whereas boys were for pleasure and companionship. “Samu-
ture men who eventually married. However, in certain socie-
rai warriors would select a particular youth as a favorite and
ties, such as the Malekula, the Marind-anim of southwest
like the Homeric Greeks, a samurai would keep a particular
New Guinea, and the Ingiet secret society (of New Britain),
lover by his side during battle” (George DeVos, Socialization
older men were expected to be dominant inseminators of
for Achievement, Berkeley, Calif., 1973, p. 269). Because of
boys, even though they were married and could be grandfa-
this homoerotic interest, both male and female houses of
thers. In such societies, then, it is appropriate to speak of a
prostitution were known in feudal Japan, though the male
pervasive bisexual orientation in the male life cycle.
inmates were probably not boys of noble or samurai birth.
The military character of Melanesian homosexuality was
The Kabuki theater of Japan is said to have originated from
elaborate and should be underlined. Virtually all of the rele-
a shogun’s preference for male performers.
vant cultures were caught in a web of intensive and constant
The Azande of Africa also practiced an age-structured
Stone Age warfare. Their phallic cults and secret societies not
kind of “military homosexuality.” The king’s household con-
only promoted fertility but constituted the warriorhoods that
tained hundreds of wives and some boys, all of whom were
defended the community and raided neighboring tribes. Ini-
“married” to him. Young warriors married boys, and a com-
tiation into the men’s club thus meant entry into military
mander could have more than one “boy-wife.” When they
life. Women and children were excluded from secret cult ac-
married, the boy was given spears by his lover; warrior and
tivities, as would be expected in the extreme form of patrilin-
boy addressed each other as “my love” and “my lover.” They
eal culture found there. Phallic worship was omnipresent.
traveled together, and the boy kept the senior’s household
John Layard in Stone Men of Malekula (London, 1942,
in order. When he matured, the warrior gave him bride-
p. 489) states that in the New Hebrides (Vanuatu) the penis
wealth so he could marry in turn and take boy lovers of his
is held in “high esteem” and the glans penis is accorded “ex-
own. The example of the Azande suggests that asymmetric
treme reverence”; elsewhere he refers to these groups as “male
homosexuality flourished in a situation in which few females
admiring societies.”
were available for marriage because of polygyny, complexity
Melanesian homosexual rites involved the transmission
of marriage arrangements, and warrior segregation (themes
of male power by physical means, anal or oral insemination
also present in Pacific island societies).
strengthening a boy’s penis, body, and masculine character.
The most recent and detailed studies of age-structured
Little wonder that Arnold van Gennep, in his classic Les rites
homosexuality come from Melanesia, a culture area in which
de passage (Chicago, 1960, pp. 169–171), refers to coitus as
the ancient influence of phallic cults and initiation rites pro-
a rite of great efficacy, and to homosexual insemination as
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HOMOSEXUALITY
4115
a final ceremony of incorporation into these male cultures.
velopment ultimately leading to the profane and sexually
Such rites should be seen in the broader context of customs
dangerous adult experience of heterosexual marriage.
that effect boys’ submission to the sacred authority of gods
This dichotomy sheds light on a puzzling bifurcated
and elders. For the Marind-anim, ritual homosexuality was
pattern of homosexuality in Melanesia. Are homosexual rela-
bound up with daring headhunting raids into distant enemy
tions “real” or “mythical,” in Layard’s terms? In the vast ma-
groups; for the Keraki of Papua and the Sambia of the Papu-
jority of these societies it has been found that actual homo-
an fringe, the attainment of manhood required participation
sexual activity occurs for years, as noted. In a small number
in war raids, followed by serving as dominant homosexual
of societies, however, actual homosexual intercourse may or
partners for initiated boys. Homosexuality thus went hand
may not occur, may occur only once, as among the Ingiet
in hand with military training and socialization into the mas-
cult, or may occur only as a theme in social consciousness
culine role.
or mythology. In most groups, homosexual penetration and
Sexual antagonism is a prominent theme in these Mela-
submission stress a stronger relationship to the sacred; those
nesian tribes; some sexual segregation of men and women oc-
cultures that de-emphasize it place homosexuality closer to
curred in all of them. Institutionalized secrecy was supported
the profane arena. An intermediate example is the Kaluli of
by ritual sound-producing instruments, such as sacred flutes
New Guinea, for whom homosexuality was voluntary rather
and bull-roarers, that both protected the cult and symbolized
than obligatory, and who stressed symbolic marriage to fe-
its power over others, thus serving as symbols of male reli-
male spirits as a transition into actual heterosexual relations
gious orthodoxy. The secret significance of these instruments
later (Schieffelin, in Herdt, 1982). Thus the Kaluli saw ho-
has been shown to stem from heterosexual hostility and seg-
mosexuality as a profane counterpart to heterosexuality,
regation and from men’s envious imitation of women’s pro-
which was, for them, socially and spiritually higher.
creative powers. In this context the Dutch authority Jan van
Many scholars have noted the similarities between age-
Baal goes so far as to refer to Marind-anim homosexuality
structured homosexual organizations the world over. The
as the “dark secret” of a phallic religion. Women often were
comparison of the ancient Greeks and Melanesians is widely
perceived by men as fertile, polluting, and depleting of male
cited and seems appropriate, in spite of the cultural differ-
life force. Strict taboos on adultery, menstruation, childbirth,
ences between their worlds. The Melanesian systems are
and virginity were common. Marriage practices were politi-
more closely like those of lowland Amazon tribes, wherein
cal arrangements without much freedom of choice. Sister-
ritualized homosexuality, warfare, and sexual antagonism are
exchange and bride-wealth marriage customs created alli-
also prominent. Yet, Jane Harrison’s idea (in Themis, New
ances between clan groups or villages and enemy groups. It
York, 1961) that among the Greeks and primitive peoples,
has been found that senior men were expected or allowed to
initiations transform boys from a “woman thing” into a
inseminate their wives’ younger brothers (i.e., their brothers-
“man thing” seems to be borne out. The trend of age-
in-law) in tandem with impregnating their wives. Polygyny
structured homosexuality everywhere was to promote and ac-
and a shortage of women, too, made institutionalized homo-
complish the masculinization of boys.
sexuality a pragmatic sexual outlet for unmarried mature
GENDER-REVERSED HOMOSEXUALITY. A different social
males. Among the Big Nambas tribe of Vanuatu, it reached
form is based on the adoption of the gender role, dress, and
an extreme form, in which chiefs were said to exercise a mo-
mannerisms of the opposite sex, leading to a different type
nopoly over females as wives and over boys as lovers, some
of homosexual contact. Sometimes this is referred to as insti-
chiefs becoming so attached to boys that they preferred them
tutionalized transvestism, or cross-dressing. It has been
to their wives. It is notable that Vanuatu is the only Melane-
found to occur in selected indigenous societies of North and
sian area in which institutionalized lesbianism is known.
South America, island Polynesia, and Southeast Asia, and
In the Melanesian world, ritual in general and homosex-
among preliterate and peasant groups in mainland Asia and
ual rites in particular drew a special boundary between the
Africa. Gender-reversed homosexuality is associated, al-
sacred and profane arenas of culture. The belief system un-
though not exclusively, with shamanism as a religious insti-
derlying the differences between male and female develop-
tution. Though the phenomenon is reported in both sexes,
ment must be noted. Females were widely perceived to be
male examples are more frequent in the literature. Usually
this form exists in societies where it is believed that a small
“naturally” fast-growing, fertile, and reproductively compe-
number of individuals in each generation aspire to the gender
tent, males slow to grow and not “naturally” fertile or repro-
role of the opposite sex. Gender reversal usually begins in
ductively competent. Here semen and menstrual blood were
childhood, has recognized customs associated with it, and is
antithetical; groups such as the Sambia believed they must
acknowledged by the society.
eradicate “female blood” from boys and then inseminate
them through homosexual intercourse in order for them to
Gender-reversed homosexuality is inextricably linked
attain manhood. Thus, women naturally procreated, and
with symbols of sexual ambiguity in many cultures. Role and
men used ceremonies to create spiritually and symbolically
erotic inversion here make this symbolic association under-
“reborn” boys. Insemination thus placed boys in the sacred
standable. If blurring of the genders is present in the cosmol-
realm, and initiation created a years-long liminal phase of de-
ogy of a society, gender reversal can be expected in socioreli-
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4116
HOMOSEXUALITY
gious practice. In the Greek pantheon, for instance, Athena
be noted that among Melanesian societies, cross-gender and
and Dionysos were born of Zeus, blurring on the cosmic
transvestite behavior are very rare (Herdt, 1984), as was true
plane the boundary between male and female reproduction.
for the ancient Greeks and others. Hermann Baumann
In India, S´iva reproduced by spilling his sperm, and Samba,
(1955) was perhaps the first scholar to recognize that the age-
the divine son of Kr:s:n:a, not only engaged in homosexuality
structured masculinizing form of homosexuality is funda-
but also dressed as a woman to seduce the wives of other
mentally different from the feminizing gender-reversed type
gods. Likewise, the hija¯da role provides a contemporary ex-
found elsewhere. Moreover, he demonstrated that the
ample of actual gender reversal in Northwest India. Males
masculinizing role should not be equated with the androgyne
in this role wear women’s clothes, beg alms, and perform as
figure in myth or ritual.
women in ceremonies, though it is unclear whether they en-
ROLE-SPECIALIZED HOMOSEXUALITY. The third form of ho-
gage in homosexual activity. Other examples from ancient
mosexual organization is based solely on the entitlements of
and modern times reveal the same link between cosmic sexu-
a status or role not widely held in a culture. Thus, for exam-
al ambiguity and actual gender reversal (Carrier, 1980; Hoff-
ple, the person who became a shaman among the Chukchi
man, 1984).
tribe of Siberia was entitled by supernatural intervention to
The institution of the berdache (from the Arabic word
reverse gender roles and to engage in homosexual behavior,
bardaj, meaning a boy slave kept for erotic purposes) is per-
though this was disapproved for others in the society. Here
haps the best-known anthropological example of gender-
one must consider the element of what Mircea Eliade calls
reversed homosexuality. Some 115 North American Indian
“divine bisexuality,” the idea that a special role—usually reli-
tribes had this traditional role. Most of these groups were
gious—“is fraught with sacredness” (Birth and Rebirth, New
hunters and gatherers, some of which permitted a surprising
York, 1958, p. 25). In simple societies this is different from
degree of sexual equality. Among the Plains Indians, warfare
the obligatory involvement in age-structured homosexuality
was also common. Though the male-to-female form of gen-
for all males and from individual expression of gender rever-
der reversal is most famous, some 35 of these cultures also
sal for selected people noted above. However, examples also
recognized female berdaches, who as girls acted and dressed
show that role-specialized homosexuality in complex socie-
as boys. Three signs indicated that a person could become
ties diverges from a purely religious basis to encompass wider
berdache: preference for occupations of the opposite sex, the
meanings. Because some complex examples do not involve
adoption of dress and mannerisms indicative of the other sex,
gender reversal, moreover, it is important to avoid confusing
and the choice of same-sexed persons as sexual partners.
the categories of gender-reversed and role-specialized homo-
Some berdaches became ritual experts and shamans, and
sexuality.
cases are reported of female berdaches who were skilled hunt-
In ancient societies numerous examples of role-
ers and great warriors. Few berdaches were biologically ab-
specialized homosexuality drew their support from the religi-
normal or hermaphroditic. These societies both recognized
osity of divine bisexuality. Male and female temple prosti-
and legitimized the berdache “calling,” which occurred usu-
tutes who engaged in homosexual activity under the protec-
ally in childhood or by vision-quest experiences in adoles-
tion of religious cults in Mesopotamia and Canaan are
cence. Berdaches could marry, adopt children, acquire prop-
relevant. In the Roman world Semitic cults that utilized gen-
erty, and generally participate in most aspects of tribal life.
der reversal and homosexuality were role-specialized, the
Hostility to the institution of berdache by white settlers and
most famous priest in this context being Elagabalus. In these
missionaries resulted in the abandonment of the role by the
social settings religious morality legitimized homosexual con-
late nineteenth century, though a recent report suggests the
duct. One should not forget, however, the negative and cha-
survival of acculturated berdaches in some places.
otic consequences of “good” versus “bad” moral choices that
The ranked societies of Polynesia, Tahiti in particular,
could flow from homosexual customs in certain ancient tra-
are associated with gender-reversed homosexual organiza-
ditions like that of the Greeks. Here a combination of divine
tion. The role of the mahu in Tahiti has been reported in
royal power and aberrant homosexual choice, as in the Greek
depth, and the cross-dressing and feminization of mahu
myth of Oedipus, arises repeatedly and hangs over the my-
males appear very similar to those of the berdache. Female
thology of Western sexuality. It will be recalled that Laius,
mahu are also historically reported. In modern times com-
the father of Oedipus, abducted the boy Chrysippus out of
munity response to the mahu has varied, with approval of
homosexual desire. In rage the goddess Hera, guardian of
gender-role reversal but disapproval of homosexual behavior.
marriage, sent the Sphinx to destroy Thebes. Eventually, by
Religious activity seems unrelated to the role.
trickery, Jocasta produced a son from Laius: Oedipus, whom
Laius tried to kill. The rest of story is well known; it ends
The obvious sociosexual trend of gender-reversed ho-
in incest, patricide, Oedipus’s self-inflicted blindness (sym-
mosexuality for males is feminization; this is in marked con-
bolic self-castration), and madness, themes reflected in
trast to the age-structured form. Moreover, these traditional
Shakespeare’s great tragedy, Hamlet. These mytho-symbolic
gender-reversed roles suggest a lifelong pattern of exclusive
images of “bad” moral choice foreshadow the ambiguous sta-
homosexual activity, a pattern also at variance with those de-
tus of role-specialized homosexuality in the modern West-
veloped where the age-structured type is practiced. It should
ern era.
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HOMOSEXUALITY
4117
Role-specialized homosexuality in tribal societies is
mation, from the “disease of effeminacy” to the modern gay
strongly identified with shamanism. The divine or celestial
rights movement. It must be made clear, however, that the
origins of shamanic curative and medicinal powers is widely
modern social category and erotic identity signified by the
attested. What is more, transvestite shamans having impor-
term gay is not the same as homosexual organizations or roles
tant supernatural powers are known on both sides of the Pa-
found in ancient times and in other cultures (cf. Boswell,
cific and into Indochina as well. The Chukchi shaman is par-
1980); it is in several respects a unique development in
ticularly well known in this respect, and it has been
human society. This suggests a change from a predominantly
demonstrated that Chukchi shamans cross-dress and engage
gender-reversed feminization to a more frequent masculin-
in homosexual relations, some even taking husbands. Among
ization of overt homosexuality in popular culture. In Latin
those who remain heterosexual, their spirit guides still oblige
American cultures, such a symbolic transformation is prob-
them to dress as women.
lematic, for as Joseph Carrier notes, gender roles are still de-
fined with respect to the hypermasculine ideal model known
An intermediate case of role-specialized homosexuality,
as machismo. Western culture, more broadly, has seen a
which began in a shamanic tradition but changed into a secu-
gradual change from the specific identification of gender-
lar form, is provided by the so-called flower boys (hwarang)
reversed homosexuality with specialized roles in the theater
of Silla, known from the Yi dynasty in Korea. Here the con-
and art world. Was it not Freud (Group Psychology and the
cept of midong (“good-looking boys,” with pederastic over-
Analysis of the Ego, 1960, p. 94) who said, “In the great artifi-
tones) is noteworthy. These boys dressed as girls and accom-
cial groups, the church and the army, there is no room for
panied wandering musicians and players. They were
woman as a sexual object”? In this sense, contemporary age-
sometimes married to the latter, and served as entertainers;
asymmetric masculine homoerotic bonding in complex so-
they would thus seem to suggest attributes of both age-
cieties was until recently restricted to male clubs, military
structured and gender-reversed homosexuality. Yet, they
boarding schools, and the armed services. The gay rights
were historically associated with popular shamanic perfor-
movement and related social changes are altering this view,
mances and were referred to in terms of the literary and the-
as homosexuality is increasingly decriminalized and removed
atrical homosexual traditions of China and the chivalrous
from the medical category of psychopathology in Western
homosexual code of medieval Japan.
countries.
A more recent and secularized role-specialization exam-
Recent Western attitudes toward homosexuality are
ple—this one concerning lesbianism—is known from the
strongly linked to religious history and theology, but broader
nineteenth-century Canton Delta in China. Certain villages
socioeconomic trends since the late Middle Ages have played
in this patriarchal class society established girls’ houses,
an equally powerful role. Historical research has challenged
wherein girls formed strong affectional and economic bonds
the widely held view that hostility toward homosexuality was
with each other. It was notorious throughout China that
merely the result of the Judeo-Christian tradition (Green-
many of these girls formed lesbian relationships. Non-
berg and Bystryn, 1982). It has been demonstrated that poly-
Buddhist religious sects influenced the young women by
theistic societies are generally more tolerant of homosexuality
stressing sexual equality and purity through nonmarriage.
than are monotheistic ones (Hoffman, 1984), though excep-
The introduction of the silk industry in this area in the 1860s
tions to this generalization are plentiful. Perhaps the institu-
supported the practice of lesbianism, because families en-
tionalization of religiously supported sexual morality, as
couraged their daughters to take vows of “popular spinster-
much as anything, fosters disapproval of sexual behavior de-
hood,” rather than lose their income. These spinsterhood
viating from heterosexuality. Other factors, such as trends to
bonds were not deviant but were accepted at the time; no
urbanization and the establishment of capitalistic industrial
other institutional form of lesbian contact occurred in these
apparatus, have undoubtedly contributed to changes in
communities or was acceptable. Remnants of this lesbian sis-
Western attitudes toward homosexuality (Boswell, 1980;
terhood are still to be found in Hong Kong and Taiwan
Foucault, 1978), yet these trends too cannot account for cer-
today. In other words, this role-specialized social form in-
tain historical examples (Greenberg and Bystryn, 1984). The
volved homosexual relations but was not gender-reversed or
development of complex state and church bureaucracies,
age-structured.
with associated unconscious responses to all deviance, in-
How is homosexual behavior in modern Western soci-
cluding homosexuality, may eventually provide more ade-
ety to be interpreted, particularly in light of the trichotomy
quate institutional and psychosocial explanations of the spe-
described here? A partial answer to this question was provid-
cial image homosexuality occupies in Western discourse.
ed in the historical perspective on homosexuality, noted
above, following the fall of the Roman Empire. Role-
SEE ALSO Ago¯ge¯; Androgynes; Gender Roles; Hierodouleia;
specialized homosexuality is the most complex category of
Masculine Sacrality; Phallus and Vagina.
the three, for it implies elements of social support and ambiv-
alence, normative and gender-reversed behavior, and special-
BIBLIOGRAPHY
ization of socioeconomic and cultural interests. Over the past
The literature on homosexuality is immense and varied, though
century homosexuality has undergone a dramatic transfor-
much of it is limited to study of modern Western nations.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4118
HO
¯ NEN
The classic, and still useful, cross-cultural study of the subject
Boswell’s Christianity, Social Tolerance, and Homosexuality
is Clellan S. Ford and Frank A. Beach’s Patterns of Sexual Be-
(Chicago, 1980), which surveys homosexuality in western
havior (New York, 1951). Of the older encyclopedic surveys,
Europe from the beginning of the common era to the four-
Havelock Ellis’s Studies in the Psychology of Sex, 7 vols. (Phila-
teenth century. Finally, two studies by David F. Greenberg
delphia, 1900–1928), and Edward A. Westermark’s The Ori-
and Marcia H. Bystryn brilliantly rethink the history of in-
gin and Development of the Moral Ideas, 2d ed., 2 vols. (Lon-
tolerance and cultural structuring of homosexuality in the
don, 1917), are still valuable. Hermann Baumann’s Das
West: “Christian Intolerance of Homosexuality,” American
doppelte Geschlecht: Ethnologische Studien zur Bisexualität in
Journal of Sociology 88 (November 1982): 515–548, and
Ritus und Mythos (Berlin, 1955) remains the classic source-
“Capitalism, Bureaucracy and Male Homosexuality,” Con-
book on bisexuality and homosexual images in comparative
temporary Crises 8 (January 1984): 33–56.
symbology. For recent anthropological surveys, see Joseph
New Sources
M. Carrier’s “Homosexual Behavior in Cross-Cultural Per-
Boswell, John. Same-Sex Unions in Premodern Europe. New York,
spective,” in Homosexual Behavior: A Modern Reappraisal, ed-
1994.
ited by Judd Marmor (New York, 1980), and my collection
of essays titled Ritualized Homosexuality in Melanesia (Berke-
Calimach, Andrew. Lovers’ Legends: The Gay Greek Myths. New
ley, 1984).
Rochelle, N.Y., 2002.
The material on the ancient Greeks and related classical traditions
Dynes, Wayne R., and Stephen Donaldson, eds. Homosexuality
in this article is based on Richard J. Hoffman’s “Some Cul-
and Religion and Philosophy. New York, 1992.
tural Aspects of Greek Male Homosexuality,” Journal of Ho-
Elledge, Jim. Gay, Lesbian, Bisexual, and Transgender Myths from
mosexuality 5 (1980): 217–226, and “Vices, Gods, and Vir-
the Arapaho to the Zuñi: An Anthology. New York, 2002.
tues: Cosmology as a Mediating Factor in Attitudes toward
Highwater, Jamake. The Mythology of Transgression: Homosexuality
Male Homosexuality,” Journal of Homosexuality 9 (1984):
as Metaphor. New York, 1997.
27–44; Jan Bremmer’s “An Enigmatic Indo-European Rite:
Paederasty,” Arethusa 13 (Fall 1980): 279–298; K. J. Dover’s
Hold, Donald J. Out of Order: Homosexuality in the Bible and the
masterpiece, Greek Homosexuality (Cambridge, Mass.,
Ancient Near East. Grand Rapids, Mich., 1998.
1978); and Werner Jaeger’s Paideia: The Ideals of Greek Cul-
Jennings, Theodore W. The Man Jesus Loved: Homoerotic Narra-
ture, vol. 1, Archaic Greece: The Mind of Athens, 2d ed., trans-
tives from the New Testament. Cleveland, 2003.
lated by Gilbert Highet (Oxford, 1945).
Kripal, Jeffrey John. Roads of Excess, Palaces of Wisdom: Eroticism
For Melanesian materials, see my book Guardians of the Flutes
& Reflexivity in the Study of Mysticism. Chicago, 2001.
(New York, 1981) and two collections of studies that I have
Stone, Ken. Queer Commentary and the Hebrew Bible. London;
edited: Rituals of Manhood (Berkeley, Calif., 1982) and Ritu-
New York, 2001.
alized Homosexuality in Melanesia (Berkeley, Calif., 1984),
Webb, William J. Slaves, Women & Homosexuals: Exploring the
mentioned above. In Rituals of Manhood, which presents
Hermeneutics of Cultural Analysis. Downers Grove, Ill, 2001.
comparative findings on male initiation rites, Edward L.
Schieffelin’s “The Bau A Ceremonial Hunting Lodge: An Al-
GILBERT HERDT (1987)
ternative to Initiation” is particularly noteworthy. For an ex-
Revised Bibliography
amination of androgyny and ritual in Melanesia, see Fitz
John Porter Poole’s superlative study “Transforming ‘Natu-
ral’ Woman: Female Ritual Leaders and Gender Ideology
among Bimin-Kuskusmin,” in Sexual Meanings, edited by
HO
¯ NEN (1133–1212), more fully Ho¯nen Sho¯nin
Sherry B. Ortner and Harriet Whitehead (Cambridge, U.K.,
Genku¯, was a Japanese Buddhist priest and reformer, and the
1981), pp. 116–165. For the most comprehensive study of
founder of the Jo¯doshu¯ sect of Japanese Buddhism. Ho¯nen’s
comparative religious ethics, with special reference to Mela-
life reflects the changing times in which he lived as well as
nesia, see Jan van Baal’s fascinating study Man’s Quest for
his role in those changes. He was born in the fourth month
Partnership (Assen, 1981). These works also contain useful
of 1133 in Mimasaka province (modern Okayama prefec-
bibliographies for reference to the wider literature.
ture) into a provincial military family. The military clans of
A recent survey of the North American Indian berdache can be
Japan were then embroiled in a struggle with the nobility for
found in Harriet Whitehead’s “The Bow and the Burden
control of agricultural lands, and in 1141 Ho¯nen’s father,
Strap: A New Look at Institutionalized Homosexuality in
Uruma Tokikuni, was killed in a skirmish over possession of
North America,” in Sexual Meanings, pp. 80–115.
a local manor. The young Ho¯nen was sent to a nearby Ten-
For studies on homosexuality in the Western tradition, see Evelyn
dai Buddhist temple, the Bodaiji, probably for protection
Hooker’s “Sexual Behavior: Homosexuality,” in the Interna-
from his family’s enemies. Ho¯nen seemed a promising candi-
tional Encyclopedia of the Social Sciences, edited by David L.
date for a clerical career and was therefore sent in 1145 to
Sills (New York, 1968), vol. 15, pp. 222–233, and the more
continue his novitiate at the Tendai main temple of En-
recent Bisexual and Homosexual Identities: Critical Theoretical
ryakuji on Mount Hiei near Kyoto. His training went well,
Issues, edited by John P. Decco and Michael G. Shively (New
and in 1147, at the age of fourteen, he was formally ordained
York, 1984). Michel Foucault’s The History of Sexuality
into the Tendai priesthood.
(New York, 1978), although specialized and controversial,
provides a new philosophical and sociohistorical critique of
Ho¯nen was a serious and dedicated monk. His early bi-
homosexuality in Western discourse. Also notable is John
ographies reveal that in the years following his ordination 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
HO
¯ NEN
4119
read the entire Buddhist canon three times and mastered not
chised from participation in the Buddhist quest—common
only the Tendai doctrines but those of the other contempo-
people and especially the rural folk.
rary schools as well. Conditions then, however, were every
bit as unsettled on Mount Hiei as elsewhere in Japan and
Ho¯nen also found spiritual solace in Pure Land faith.
hardly conducive to a life of study and contemplation. The
While at Kurodani he absorbed himself in the Pure Land
great national struggle between the nobility and the provin-
scriptures and in cultivation of the sama¯dhi of meditation
cial military clans (the same struggle that had claimed the life
upon Amida. This practice was a legacy of Genshin’s
of Ho¯nen’s father) was rapidly increasing in intensity, and
O
¯ jo¯yo¯shu¯, which teaches a fervent contemplation (meditative
the monastic establishments of the day, including the Tendai
envisualization) upon Amida’s resplendent body while in-
order, had become deeply involved in this struggle. Not only
voking his name with the formula “Namu Amida Butsu”
was political intrigue rife on Mount Hiei, but numbers of
(“Homage to the Buddha of Limitless Light”), and repeated-
monks had been organized into small armies that engaged
ly circumambulating his image. The primary goal of this
in constant brawls with the monastic armies of other temples
practice was an ecstatic realization of the nondual Buddha
and with the troops of the Taira military clan, which had by
mind—that is, a profound enlightenment experience. A sec-
then occupied Kyoto, the capital.
ondary goal was to assure one’s rebirth into the Pure Land
by achieving a perfect vision of Amida as he would appear
In 1150 Ho¯nen sought refuge at the small Tendai re-
in welcoming descent at the moment of one’s death.
treat of the saintly master Eiku¯ (d. 1174) located at Kurodani
on the flanks of Mount Hiei. Eiku¯’s small community was
Ho¯nen did not, however, find spiritual satisfaction in
a center of Pure Land Buddhist devotion. Ho¯nen spent
these exercises even after many years at Kurodani. His later
twenty-five years there studying the Pure Land scriptures and
writings reveal that he was convinced that he himself dwelt
cultivating nembutsu zammai, a meditational trance
in an age of decadent dharma. He considered the achieve-
(sama¯dhi) in which the devotee concentrates upon Amida
ment of enlightenment by himself or his contemporaries to
Buddha (Skt., Amita¯bha or Amitayus), the Buddha of the
be all but impossible, and even the attainment of a perfect
Western Pure Land.
vision of Amida to be impractical. In this conviction, Ho¯nen
had recourse to an alternative Pure Land teaching.
The worship of Amida Buddha had been growing in
Japan since the late tenth century, when the Tendai monk
In addition to the extremely arduous nembutsu zammai,
Genshin (942–1017) published his compendium on Pure
Genshin had also prescribed a practice of simply calling upon
Land thought and practice, the O
¯ jo¯yo¯shu¯ (Essentials of Pure
the name of Amida Buddha (invocational nembutsu), con-
Land rebirth). This Buddhism, which had enjoyed wide pop-
stantly and with deep devotion, but especially at the moment
ularity in China from the sixth century CE, teaches the exis-
of death, in the hope of thereby eliciting Amida’s compassion
tence of a purified Buddha field, a “pure land” presided over
and being brought by him for rebirth into the Pure Land.
by Amida Buddha and situated far to the west of the known
Within orthodox Tendai circles, this was considered a prac-
world. Those who wholeheartedly devote themselves to this
tice inferior to nembutsu zammai and suitable only as a last
Buddha can be saved by rebirth in this Pure Land after death.
resort for sinners and others incapable of the correct practice.
Those reborn there will receive the status of a bodhisattva and
Ho¯nen became convinced that this last resort was the only
achieve their own enlightenment and buddhahood in but
resort for him and his contemporaries. This conviction was
one final lifetime.
based not only on his own experiences but also on the teach-
ings of the great Chinese Pure Land master Shandao (613–
The appeal of this kind of Buddhism was growing in
681), whom Ho¯nen discovered in O
¯ jo¯yo¯shu¯. Shandao em-
Ho¯nen’s time because of a deepening conviction at all levels
phatically taught, and Ho¯nen came to agree, that calling
of society that Japan and all the world had entered the age
upon Amida Buddha’s name was not an inferior practice at
of the decadent dharma (Jap., mappo¯)—a desperate time pre-
all, but the practice especially designed by Amida for the sal-
dicted in the scriptures when the Buddhist establishment,
vation of otherwise hopelessly damned humankind during
teachings, and even the spiritual capacities of humankind
the age of the decadent dharma.
would plummet and the world would be plunged into strife
and natural calamity. This conviction was based not only
In the spring of 1175, at the age of forty-two, Ho¯nen
upon an assessment of the decadent monastic institutions
acted upon his new conviction. He left Eiku¯’s Tendai retreat,
and bloody civil conflicts of the age in Japan but also upon
took up residence in the suburbs of the capital, and began
consideration of the appalling conflagrations and famines
to teach and practice the exclusive cultivation of invocational
that ravaged the capital district in those times. Because none
nembutsu. This marked a definitive departure of the Japanese
could achieve emancipation through his own efforts in the
Pure Land movement from its traditional Tendai home.
traditional ways of discipline, works, and wisdom, the only
Hereafter it would pursue an independent course both doc-
recourse was rebirth in the Western Pure Land through de-
trinally and as a community. The Jo¯doshu¯ sect of Japanese
votion to Amida Buddha. The swelling tide of Pure Land
Pure Land Buddhism, which became the first independent
faith in Ho¯nen’s time was further augmented by its appeal
Pure Land Buddhist community in East Asian history, dates
to a new clientele that had until then been largely disenfran-
its founding from this time.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4120
HO
¯ NEN
During the next quarter century, Ho¯nen taught widely
by rejecting the superior meditative and contemplative nem-
and wrote voluminously on the way of the Pure Land. He
butsu in favor of the inferior invocational nembutsu, (8) re-
gathered around himself a small community of disciples and
jecting the Buddha’s monastic community and discipline,
lay followers. He also became one of the most respected cler-
and (9) instigating disorder and rebellion in the nation.
ics of his age, preaching and ministering to nobility, lecturing
No immediate action was taken by the emperor, and
at the national temple, To¯daiji, and becoming the personal
Ho¯nen might well have weathered this storm, for he was
chaplain to the regent to the throne, Kujo¯ Kanezane.
highly regarded in court circles. But late in 1206 two of his
Ho¯nen’s most important composition during this peri-
disciples engaged in an indiscretion that had serious reper-
od was the Senchaku hongan nembutsu shu¯ (Treatise on the
cussions. During the absence of Go-Toba, the priests Anraku
selected Nembutsu of the original vow). Composed in 1198
and Ju¯ren led the emperor’s ladies in a Pure Land devotional
at the request of the regent Kanezane, this work establishes
service that continued throughout the night. The jealous em-
the principles of an independent Pure Land movement with
peror was furious and acceded to the demands of the
regard to both theory and practice. It divides Buddhism into
Ko¯fukuji monks. Early in 1207, Ju¯ren and Anraku were exe-
two paths, the difficult path to enlightenment, impractical
cuted, the cultivation of exclusive nembutsu was prohibited,
in an age of decadent dharma, and the easy path for all, that
and Ho¯nen and several of his disciples were exiled to distant
of rebirth in the Pure Land. Moreover, Ho¯nen’s work main-
provinces. Ho¯nen was not allowed to return to the capital
tains the legitimacy of a Pure Land school (Jo¯doshu¯) and des-
until late in 1211, and he died shortly thereafter in the first
ignates this school’s patriarchal lineage and scriptural canon.
month of 1212. Two days before his death, he dictated to
It also demonstrates that, among all possible means to Pure
his disciple Genchi (1182–1238) his final testament (Ichimai
Land rebirth, the nembutsu of calling on Amida’s name is the
kisho¯mon). It begins thus: “My teaching is neither the con-
practice especially selected and guaranteed by Amida Buddha
templative nembutsu taught by the wise of both China and
because it is the easiest practice, available to all. Further, the
Japan, nor is it enlightenment by means of learned medita-
Senchakushu¯ repeatedly urges its readers to keep the Nem-
tive nembutsu. It is nothing other than to utter ‘Namu Amida
butsu constantly on their lips so as to avail themselves of re-
Butsu’ for the purpose of rebirth in the Pure Land without
birth into Amida’s Pure Land and emancipation from the
a single doubt of achieving that rebirth.” He died with the
sufferings of both this life and countless future trans-
Nembutsu on his lips and, according to his disciples, amid
migrations.
auspicious signs of Pure Land rebirth. He was seventy-nine.
Ho¯nen’s following and influence had by now become
These events were grievous impediments to the Pure
so great as to be seen as a challenge by the established monas-
Land movement, but they did not stem what was to become
tic orders. His Pure Land teachings rejected the fundamen-
a great tide of Pure Land faith. Several of Ho¯nen’s chief disci-
tals of their faith and his claim of legitimacy for the Pure
ples, notably Bencho¯ (1162–1238) and Shinran (1173–
Land school flew in the face of one of their most cherished
1263), carried his message to the provinces and organized
presumptions: that only the emperor could establish a legiti-
Pure Land communities. These later became established as
mate Buddhist institution. These resentments took a serious
the influential Jishu¯ and enormously popular Jo¯doshu¯ (Pure
turn in 1204 when the monks of the Tendai order petitioned
Land) and Jo¯do Shinshu¯ (True Pure Land) sects.
their abbot to suppress Ho¯nen’s movement. Ho¯nen respond-
Though Ho¯nen initiated sweeping changes in the reli-
ed by imposing on his disciples a seven-article pledge (the
gious life of Japan, he was not a revolutionary. He was a
Shichikajo¯ Seikai) to abstain from such excesses as criticizing
highly respected cleric in his day, admired for his scholarship
other schools of Buddhism, encouraging violation of the
and revered for his piety by clerics and laity alike. In some
Buddhist precepts (on the pretext that those who rely on the
ways, he was deeply conservative. Although he urged on his
Nembutsu need have no fear of committing evil), and
followers the exclusive cultivation of invocational nembutsu,
spreading heretical doctrines while falsely claiming them to
he himself never abandoned his monastic vows of chastity
be those of their master Ho¯nen.
and poverty, and to the end of his life he cultivated contem-
plative nembutsu. Yet he definitively broke with the monas-
This mollified the Tendai establishment for a time, but
tic, elitist Buddhism of his times. He provided both the intel-
in the following year (1205) the powerful Ko¯fukuji order of
lectual foundations and the inspired personal leadership for
Nara presented a formal petition to the Cloistered Emperor
the first independent Pure Land Buddhist movement.
Go-Toba, accusing Ho¯nen’s movement of nine specific here-
sies and infractions and demanding its suppression. This
SEE ALSO Jo¯doshu¯; Mappo¯; Nianfo.
Ko¯fukuji petition (Ko¯fukuji so¯jo¯) accused Ho¯nen and his fol-
lowers of (1) presuming to establish a new Buddhist school
BIBLIOGRAPHY
or sect, (2) making new and unauthorized icons, (3) neglect-
In addition to the Senchakushu¯ and the Ichimai kisho¯mon, Ho¯nen
ing S´a¯kyamuni Buddha, (4) condemning practices other
wrote important doctrinal works such as the Sambukyo¯ daii
than nembutsu, (5) rejecting the Shinto¯ gods, (6) distorting
(Meaning of the three-part Pure Land canon) and the
the Pure Land teachings by rejecting practices other than
O
¯ jo¯yo¯shu¯ shaku (Commentary on the O¯jo¯yo¯shu¯), accounts of
nembutsu as means to rebirth, (7) misrepresenting nembutsu
his meditations (Sammai hottokki and Onmuso¯ki), and a vo-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HONJISUIJAKU
4121
luminous correspondence. These can be found in his collect-
came into contact with other religious systems in
ed works, Ho¯nen Sho¯nin zenshu¯, edited by Ishii Kyo¯do¯
Asia the honjisuijaku theory was then applied to interpret
(Tokyo, 1955).
the divinities of these religions as lower manifestations of
Works on Ho¯nen in English are few. The best is still Ho¯nen, the
the members of the Buddhist pantheon. This interpretation
Buddhist Saint, by Harper Havelock Coates and Ryugaku
had surfaced in China at varied levels of religious life, but
Ishizuka, 5 vols. (Kyoto, 1949). This is ostensibly just a
it played a central role in Japan from the Nara period (710–
translation of the forty-eight-chapter biography of Ho¯nen
784 CE) on.
(Yonju¯hachi kanden) by Shunjo¯ (d. 1335), a relatively late bi-
ography with much pious elaboration, but it is much more
Buddhism was officially recognized in the records of the
than that. Besides providing an excellent translation of
Japanese state by the middle of the sixth century CE. Rela-
Shunjo¯’s biography of Ho¯nen prefaced by an extensive, if
tionships between the Buddhist sects and the evolving sys-
dated, introduction to the life, times, and thought of Ho¯nen,
tems of religious cults loosely referred to as Shinto¯ began
this work presents a wealth of useful information on Ho¯nen’s
soon thereafter: The legends describing the arrival of Bud-
life and times in notes and appendixes. A short but excellent
dhism in Japan in the Kojiki (Record of ancient matters, 712)
and up-to-date treatment of Ho¯nen is to be found in Foun-
show evidence of the fact that mythological and ritual struc-
dations of Japanese Buddhism, vol. 2, The Mass Movement, by
tures of autochthonous creeds were used to interpret the phe-
Alicia Matsunaga and Daigan Matsunaga (Los Angeles and
nomenon, and there is little doubt that Buddhism was treat-
Tokyo, 1976). There is an enormous literature on Ho¯nen in
ed as an advanced form of Shinto¯. Various Buddhist
Japanese. A good, critical biography based on contemporary
sources is Ho¯nen, by Tamura Encho (Tokyo, 1959).
scriptures and rites were used in the traditional context of
protection of the state and in agrarian rituals; other rites were
New Sources
used to reinforce the legitimacy of the rulers. Shinto¯ shrines
Machida Soho. Honen and Japanese Pure Land Buddhism. Trans-
were built to symbolize sociopolitical and economic struc-
lated by Ioannis Mentzas. Berkeley, 1999.
tures; Buddhist temples came to be built along similar lines,
ALLAN A. ANDREWS (1987)
often next to Shinto¯ shrines. As a consequence, Buddhist
Revised Bibliography
monks came to officiate next to Shinto¯ priests, to the point
that they joined them in rites surrounding the funerals of
emperors.
HONJISUIJAKU is a technical term in Japanese Bud-
From the early Heian period (794–1185) on some
dhism that originally designated a theory of emanation per-
monks were ordained specifically in connection with major
taining to Shinto¯ and Buddhist divinities. Later, it came to
Shinto¯ shrines and received as such the name of shimbun-
be applied to the interpretative framework of the associations
dosha (monks ordained for Shinto¯ divinities). As time passed,
among them (shimbutsu-shu¯go¯). The term is a compound:
the Buddhist ecclesiasts came to administrate the economic,
Honji, usually translated as “original nature,” designates the
political, and ritual affairs of the shrines they were associated
limitless potentiality of the Buddha to manifest himself in
with, and associations between Shinto¯ and Buddhism began
as many forms as he wishes in order to lure living beings to-
to occur at the levels of thought, ritual, literature, and art.
ward awakening; suijaku, usually translated as “manifesta-
Japan thus evolved syncretic systems that were locally
tion” or “hypostasis,” designates those forms. The original
grounded in shrine-temple complexes, in which the different
use of the term is to be found in the various Chinese com-
particular divinities of the Shinto¯ shrines were associated
mentaries of the Lotus Su¯tra (Skt., Saddharmapun:d:ar¯ıka
with the different Buddhist divinities of the adjacent tem-
Su¯tra; Chin., Miaofa lianhua jing; Jpn., Myo¯horengekyo).
ples. It is there that the honjisuijaku theory played fully:
These commentaries propose a twofold division of the scrip-
Shinto¯ divinities were seen as manifestations of Buddhas or
ture in which the first fourteen chapters are called (in Japa-
bodhisattvas, and their virtues were explained accordingly.
nese) jakumon (“teaching by manifestation”) and the second
Because these systems of association were occurring in
fourteen chapters, hommon (“fundamental teaching”). The
shrine-temple complexes, the honjisuijaku theory permeated
jakumon part is the collection of the doctrines propounded
many local cults during the classical and medieval periods of
before the Lotus Su¯tra, whereas the hommon part is the Lotus
Japanese history; but during the Kamakura period (1185–
doctrine according to which the historical Buddha
1333) the major cultic centers housing the headquarters of
(S´a¯kyamuni) was the mere manifestation of a transcendent
the important sects of Buddhism developed integrative
principle.
philosophical and ritual systems in which the honjisuijaku
theory was central. Mount Hiei (Hieizan), center of the Ten-
This theoretical scheme was generally applied to the var-
dai school of Buddhism, developed the syncretic sect Sanno
ious members of the Buddhist pantheon, so that even bodhi-
Ichijitsu Shinto¯, and Mount Ko¯ya (Ko¯yasan), center of the
sattvas could manifest themselves under variegated guises,
Shingon school of Buddhism, developed the syncretic sect
using the doctrine of salvific means, or clever devices (Skt.,
Ryo¯bu Shinto¯.
upa¯ya; Chin., fangbian; Jpn., ho¯ben), in order to guide living
beings of different psychological inclinations or intellectual
By the middle of the medieval period, almost all Shinto¯
abilities toward the realization of buddhahood. As Buddhism
divinities of Japan were essentially linked to Buddhist 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
4122
HONKO, LAURI
ties at all levels of religious life and experience. Virtually all
BIBLIOGRAPHY
medieval records of shrines show the name of the Shinto¯ di-
Most of the relevant material for the study of honjisuijaku still
vinity, and immediately thereafter indicate the following: “a
needs to be thoroughly researched by scholars; the official
suijaku of” such and such a Buddhist divinity. The result of
separation of Shinto¯ from Buddhism has resulted in a general
these systematic associations was the creation of a composite
lack of interest in this important area of Japanese religious
culture in which one easily recognizes the Indian, Chinese,
history. However, in the last few years important studies have
appeared in Japan. One may consult with benefit all the
and Japanese ingredients. It should be noted, however, that
works by the historian Murayama Shu¯ichi; particularly rec-
historically the honjisuijaku theory had an implicit vertical
ommended is his Honjisuijaku (Tokyo, 1974), which is most
power relationship, aptly suited to Buddhism’s superority in
detailed and provides brilliant analyses. The reader is also re-
political, economic, and ritual areas. But most of the associa-
ferred to the works of another historian, Kuroda Toshio.
tions between the divinities were not perceived, originally,
Among these, Kokka to shu¯kyo¯, volume 1 of Nihon shu¯kyo¯shi
to be couched in the context of power, but rather in the con-
ko¯za, edited by Ienaga Saburo¯ et al. (1959; rev. ed., Tokyo,
text of association and metaphor. These associations were ex-
1971), gives his insightful remarks on the political back-
pressed or interpreted according to word games in which ini-
ground of the associations between Shinto¯ and Buddhism.
tiated people could read subtle meanings and thereby decode
His book entitled Jisha seiryoku (Tokyo, 1980) is a systematic
the original and fundamental unity of the divinities of both
exposition of the economic and institutional aspects of
Shinto¯-Buddhist associations and provides many openings
religions.
for future research. The only book-length study in English
However, during the Muromachi period (1336–1573)
is Alicia Matsunaga’s The Buddhist Philosophy of Assimilation:
some priests of Shinto¯ shrines, jealous of Buddhist institu-
The Historical Development of the Honji-Suijaku Theory
tional power and motivated by nationalistic reasons, created
(Tokyo and Rutland, Vt., 1969), but this work needs to be
other syncretic systems in which the honjisuijaku theory was
revised to a considerable extent.
reversed to their advantage: Instead of seeing Shinto¯ divini-
New Sources
ties as hypostases of Buddhist divinities, they claimed that
Teeuwen, Mark, and Fabio Rambelli, eds. Buddhas and Kami in
the Buddhas and bodhisattvas were in fact manifestations of
Japan: Honji Suijaku as a Combinatory Paradigm. New York,
Shinto¯ kami (divinities). First and foremost in this respect
2003.
was Yoshida Kanetomo (1435–1511), a priest of the Yoshida
ALLAN G. GRAPARD (1987)
shrine in Kyoto, who authored apocryphal scriptures, de-
Revised Bibliography
signed rituals, and formed a “Shinto¯-sided” sect of syncre-
tism known as Yu¯itsu Shinto¯. This sect was of some impor-
tance in Japanese religious and cultural history, for it was
HONKO, LAURI (1932–2002) was a Finnish scholar
granted, in the seventeenth century, the authority to license
of comparative religion and folklore and one of the most
Shinto¯ priests. From that time on Buddhism faced mounting
prominent scholars of cultural and religious studies in late-
criticism, it lost much of its economic and political support,
twentieth-century Finland and abroad. His prolific literary
and the nature of its relationships with Shinto¯ changed ac-
output reflects his status as professor of folklore and compar-
cordingly. In 1868 the Meiji government decreed the official
ative religion at the University of Turku as well as stints with
separation of Shinto¯ from Buddhist divinities. Shinto¯ was
the Academy of Finland, UNESCO, Folklore Fellows Com-
then changed in order to become the state religion: This
munications (FFC), and other national and international
marks the historical end to the meaningful existence of the
learned societies.
honjisuijaku theories and practices in Japan.
Honko began his career in the 1950s at the Finnish Lit-
In the light of these historical processes, the interpreta-
erature Society as a student and assistant of Martti Haavio.
tion of the honjisuijaku theory becomes quite complex, for
Honko’s doctoral dissertation discussed folk medicine and
if on the one hand one wants to propose a strictly sectarian
phenomenology of religion. His 1962 publication Geister-
interpretation of the term, on the other hand one must keep
glaube in Ingermanland was a breakthrough that extended re-
in mind the various interpretations given to it in the course
search on supernatural experiences into the perception and
of history, and there is some discrepancy between the two.
social psychology of religion on the basis of the folk beliefs
The Japanese have, in time of crisis, interpreted the theory
he had thoroughly studied in peasant Ingrian society, using
as a model of power relationships, whereas in time of peace
archival and field materials gathered from Ingrian refugees
they have interpreted it as a model of peaceful coexistence.
in Finland and Sweden.
It may be said that many associations remain in the minds
of some Japanese religious practitioners, and that composite
Honko worked actively to legitimize the academic study
culture is still a major aspect of Japanese religiosity and cul-
of comparative religion in Finnish universities. He was a
ture; but in any case, the honjisuijaku theory is no longer ap-
founder of the Finnish Society for Comparative Religion in
plicable as a structural device for communication processes
1963, and he launched its journal Temenos in 1965 as well
between religious systems.
as Uskontotieteen näkökulmia (Viewpoints on comparative
religion) seven years later. He fought equally hard for the dis-
SEE ALSO Kami; Shinto¯; Syncretism; Upa¯ya.
cipline of cultural anthropology, which entered Finnish 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
HOOKER, RICHARD
4123
versity curricula with Kulttuuriantropologia, the 1970 text-
Honko, Lauri. The Great Bear. Suomalaisen Kirjallisuuden Seuran
book he wrote with Juha Pentikäinen.
Toimituksia 533. Helsinki, 1993.
Honko emphasized the importance of observation in
Honko, Lauri. Intian päiväkirja. Suomalaisen Kirjallisuuden Seu-
empirical research. His early studies of Ingrian narrations
ran toimituksia 629. Helsinki, 1995.
and Karelian laments focused on function and genre analysis,
Honko, Lauri. Textualising the Siri Epic. Helsinki, 1998.
oral poetry in relation to rites of passage, and perception psy-
Honko, Lauri. Kalevala and the World’s Epics. 1990 Studia Fenni-
chology in folk belief. His 1967 fieldwork extended into the
ca Folkloristica 12. Helsinki, 2002.
lappmarks (territorial divisions) of Lappland.
Honko, Lauri, ed. Science of Religion: Studies in Methodology. Pro-
Honko also cofounded the Academy of Finland Sami
ceedings of the Study Conference of the International Asso-
Folklore Project, in which the Sami themselves worked to es-
ciation for the History of Religions. The Hague, 1979.
tablish a folklore collection. He directed the Nordic Folklore
Honko, Lauri, with O. Löfgren. Tradition och miljö. Nordic Insti-
Institute (NIF) from 1972 to 1990, producing volumes on
tute of Folklore (NIF) Publication 11. Lund, Sweden, 1981.
such subjects as the ecological tradition. Honko’s career cul-
Honko, Lauri, and Pekka Laaksonen, eds. Trends in Nordic Tradi-
minated in the 1990s with annual visits to India, where he
tion Research. Studia Fennica 27. Helsinki, 1983.
made audiovisual recordings of epic singers. The trips were
Honko, Lauri, Anneli Honko, and Paul Hagu. The Maiden’s
detailed in his publications Intian päiväkirja, Textualising the
Death Song and the Great Wedding: Anna Vabarna’s Oral
Siri Epic, and The Siri Epic as Performed by Gopala Naika
Twin Epic Written down by A. O. Väisänen. Helsinki, 2003.
I–II.
Honko Lauri, Chinnappa Gowda, Anneli Honko, et al. The Siri
Honko’s main theoretical contributions were discus-
Epic as Performed by Gopala Naika I–II. Folklore Fellows
sions on the phenomenology of religion and the religious tra-
Communications 265. Helsinki, 1998.
ditions of both oral presentations and sacred texts. He wrote
Hultkrantz, A˚ke. “Lauri Honko and Comparative Religion.” Te-
several books and encyclopedias on Finnish and Finno-Ugric
menos 27. Nordic Institute of Folklore (NIF). Studia Fennica
religions and published numerous works on the Kalevala and
Folkloristica 1, Helsinki, 1992.
other epics, tracing their histories from oral tradition to liter-
Pentikäinen, Juha, ed. Sami Folkloristics. Nordic Network of Folk-
ary transcription. His last book, a study of Setu (south Esto-
lore (NNF) vol. 6. Turku, Finland, 2000.
nian) epics, was published posthumously in 2003.
JUHA PENTIKÄINEN (2005)
BIBLIOGRAPHY
Holbek, Bengt, ed. On the Comparative Method in Folklore Re-
search. Nordic Institute of Folklore (NIF) Papers 3. Turku,
HOOKER, RICHARD (1554–1600), was an apolo-
Finland, 1992.
gist and theologian of the Church of England, famous for
Honko, Lauri. Krankheitsprojektile: Untersuchung über eine urtüm-
his work Of the Laws of Ecclesiastical Polity (hereafter cited
liche Krankheitserklärung. Folklore Fellows Communications
as Laws). Born at Heavitree near Exeter, Hooker received his
178. Helsinki, 1959. This was originally his Ph.D. diss.
basic education in the Exeter Grammar School. His parents
Honko, Lauri. Geisterglaube in Ingermanland. Folklore Fellows
could not afford more advanced schooling for him, but his
Communications 185. Helsinki, 1962.
uncle took the boy to see Bishop John Jewel of Salisbury
Honko, Lauri. “On the Effectivity of Folk-Medicine.” Suomen
(1560–1571), who agreed to be his patron and arranged for
uskontotieteellisen seuran eripainoksia 1. Helsinki, 1963.
his admission as a clerk at Corpus Christi College, Oxford,
Honko, Lauri. “Memorates and the Study of Folk Beliefs.” Suo-
in 1568. His tutor was Dr. John Rainolds (1549–1604), a
men uskontotieteellisen seuran eripainoksia 3. Helsinki, 1964.
leader of the moderate Puritans at the university.
Honko, Lauri. “Finnische Mythologie.” In Wörterbuch der
Mythologie, vol. 1, edited by Hans Haussig. Stuttgart, 1965.
Hooker received his B.A. in 1574 and his M.A. in 1577.
He was made a fellow of the college and a lecturer in He-
Honko, Lauri. “De finsk-ugriske folks religioner.” In Illustretet Re-
ligionshistorie, vol. 1, Red. af Jes Peter Asmussen og Jo
brew, and in 1581 he was ordained. His wide learning, gentle
⁄ rgen
Læsso
disposition, and genuine piety were admired at Oxford.
⁄ e. Copenhagen, 1968.
Among his pupils two became lifelong friends and advisers
Honko, Lauri. “Genre Analysis in Folkloristics and Comparative
Religion.” Folkloristiikkaa ja uskontotiedettä 2. Turku, Fin-
in the writing of the Laws: Edwin Sandys, son of Bishop
land, 1969.
Edwin Sandys of London (1570–1576; archbishop of York,
Honko, Lauri. “Memorate und Volksglaubenforschung.” Fol-
1576–1588), and George Cranmer, grandnephew of Thom-
kloristiikkaa ja uskontotiedettä 12. Turku, Finland, 1969.
as Cranmer, archbishop of Canterbury (1533–1556).
Honko, Lauri. “Role-Taking of the Shaman.” Folkloristiikkaa ja
In December 1584 Hooker received the living of Dray-
uskontotiedettä 9. Turku, Finland, 1969.
ton Beauchamp, Buckinghamshire, but a few months later
Honko, Lauri. “The Problem of Defining Myth.” Studies on Reli-
he was appointed master of the Temple in London. He was
gion 2. Helsinki, 1973.
soon involved in bitter controversy with Walter Travers, the
Honko, Lauri. “A Kalevala és a mitoszok.” Folklór, folklorisztika,
afternoon lecturer at the Temple, who was a noted Puritan
és etnológia 115. Budapest, 1985.
of presbyterian views and ordination. Instead of living 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
4124
HOOKER, RICHARD
master’s house, which was in disrepair and partly occupied
Against the radical Puritans, Hooker argued that the
by Travers, Hooker took lodging in the nearby home of John
scriptures were not self-authenticating. Their authority had
Churchman, a prosperous member of the Merchant Taylors’
been determined by the church. Nor did the scriptures con-
Company and a friend of Sandys. In February 1588, Hooker
tain a detailed ordering of the governance and worship of the
married Churchman’s daughter Joan, who bore him two
church, but only its basic principles. These principles were
sons (both of whom died in infancy) and four daughters.
different from the unchanging and essential revelation for
Hooker resigned from the Temple in 1591 and was
faith and salvation. On the basis of scriptural principle,
given the living of Boscombe, near Salisbury. It is doubtful
Hooker defended in book 5 the rites and customs of The
if he was ever resident there, for he was already writing the
Book of Common Prayer and in book 6 its mode of penitential
Laws in the Churchmans’ home, where he lived with his
discipline.
growing family. There also Sandys, who had entered Parlia-
In book 7 he based episcopacy not on any divine institu-
ment, and Cranmer could easily confer with him about the
tion but on the universal practice of the church since apostol-
work. In 1595, Hooker moved with his family to a living in
ic times. Book 8 on the royal supremacy is cautiously ambiv-
Bishopsbourne, near Canterbury. He remained there, except
alent. Hooker defended on scriptural grounds the necessity
for frequent visits to London, until his death on November
of obedience to constituted civil authority by the consent of
2, 1600.
the people. In his England, as in ancient Israel, civil and ec-
clesiastical societies were coextensive. He was aware, howev-
In the preface to the Laws, Hooker outlined the themes
er, that the Crown had used its prerogatives to limit the
of his eight projected books and made clear the purpose of
church’s freedom in ordering its own internal life.
the work. It was a defense, based on scripture, the tradition
of the church, and reason, of Queen Elizabeth’s settlement
Hooker’s extensive and erudite documentation of his ar-
of the Church of England against the radical Puritans. The
guments, the richly textured eloquence of his style, and his
latter sought to overthrow the settlement by abolishing the
openness to reforms in the Church of England have made
royal supremacy, episcopacy, and The Book of Common
his work a constant resource in the later development of An-
Prayer and to substitute a presbyterian system of church
glican theology. His political philosophy has been judged as
government and discipline modeled on Calvin’s church at
both a conservative apology for the status quo and a liberal
Geneva.
critique of the Elizabethan church. He has been acclaimed
as the first major prose writer in modern English literature.
Because Hooker had difficulty finding a publisher,
Yet his lasting legacy has been his appeal to reason in the in-
Sandys contracted with a printer, John Windet, Hooker’s
terpretation of scripture, the church’s government, and wor-
cousin, to produce the work. Sandys agreed to bear the entire
ship.
cost. Archbishop John Whitgift of Canterbury gave his li-
cense, and the preface and first four books were issued in
BIBLIOGRAPHY
early March 1593. The publication, as Sandys had hoped
The standard text is that edited by John Keble, The Works of that
and planned, came just before the opening of Parliament to
Learned and Judicious Divine, Mr. Richard Hooker, With an
consider (and pass) the Act to Retain the Queen’s Subjects
Account of his Life and Death by Isaac Walton (1838), 3 vols.,
in Obedience, a stringent ruling against all who refused to
7th ed., revised by R. W. Church and F. Paget (1888; re-
attend the Church of England’s services or who were “pres-
print, New York, 1970). Another edition is The Folger Li-
ent at any unlawful assemblies, conventicles, or meetings,
brary Edition of the Works of Richard Hooker, edited by Wil-
under colour or pretence of any exercise of religion.”
liam S. Hill (Cambridge, Mass., 1977–1998). For an
introduction to this edition, see Studies in Richard Hooker:
Book 5, much longer than the others, appeared in 1597.
Essays Preliminary to an Edition of His Works, edited by Wil-
Hooker completed drafts of the last three books before his
liam S. Hill (Cleveland, 1972), with an extensive annotated
death. They were not published for many years—books 6
bibliography.
and 8 in 1648 and the complete work, with book 7, in 1662.
Charles J. Sisson’s The Judicious Marriage of Mr. Hooker and the
Their authenticity, often questioned, is now generally ac-
Birth of The Laws of Ecclesiastical Polity (Cambridge, U.K.,
cepted. A large portion of the beginning of book 6 has been
1940), by researches into parish, chancery, and other records,
lost, although notes on it by Sandys and Cranmer are extant,
effectively questions and revises many statements in Isaac
and Hooker’s manuscript pages of book 8 were left in some
Walton’s famous Life and opens new insights into the publi-
disorder.
cation of the Laws and the fate of Hooker’s posthumous
manuscripts.
Books 1–4 deal with laws in general: the divine law of
An important Anglican interpretation, which errs in an attempt
God himself, the immutable natural law implanted by God
to make the Laws a summa of Anglican theology, is John S.
in creation, and the positive law of human societies. Yet
Marshall’s Hooker and the Anglican Tradition: An Historical
human reason, impaired by the fall but assisted by divine rev-
and Theological Study of Hooker’s Ecclesiastical Polity (Se-
elation and grace, can understand the natural law and be
wanee, Tenn., 1963). Robert K. Faulkner’s Richard Hooker
guided in positive law according to times, circumstances, and
and the Politics of a Christian England (Berkeley, Calif., 1981)
experience. No positive law is perfect, but it is always reform-
gives a fresh reading of the Laws.
able.
MASSEY H. SHEPHERD, JR. (1987)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HOPE
4125
HOOKER, THOMAS (1586–1647), was an English
ful material, especially on Hooker’s career in England and
and American Puritan minister. Born in Leicestershire,
Holland, in Thomas Hooker: Writings in England and Hol-
Hooker took his B.A. and M.A. at Cambridge, where he was
land, 1626–1633 (Cambridge, Mass., 1975), edited by
variously Dixie fellow, catechist, and lecturer in Emmanuel
George H. Williams and others. Notable in this volume is
Sargent Bush’s bibliography of the various printings of
College. As a minister he became active in the unofficial
Hooker’s numerous works. Bush is also the author of The
meetings of Puritan ministers then taking place. When Wil-
Writings of Thomas Hooker (Madison, Wis., 1980), the best
liam Laud moved to restrict nonconforming ministers in the
analysis of Hooker’s religious concerns, his theology, and his
late 1620s, Hooker fled, first to the Netherlands, thence to
sermon technique. Perry Miller’s influential essay on Hook-
New England in 1633. He and Samuel Stone organized the
er’s political position, “Thomas Hooker and the Democracy
first church in Newtown (now Cambridge), Massachusetts.
of Early Connecticut,” appeared first in the New England
Partly because of religious and political disputes in the Bay
Quarterly 4 (October 1931): 663–712, and was reprinted in
Colony, partly because of his parishioners’ dissatisfaction
Errand into the Wilderness (Cambridge, Mass., 1956).
with their land allotments, Hooker led in 1636 a removal to
FRANK SHUFFELTON (1987)
Connecticut, where he and his group founded Hartford.
When the General Court of Connecticut first met in May
1638 to draw up its Fundamental Orders, Hooker’s sermon
on the occasion described the proper relationship between
HOPE. If we define religion as the systematic expression
the people and their magistrates. Although an important po-
of the interplay between traditional faith and transforming
litical statement of early New England, the sermon is no lon-
hope, then hope is of the essence of religion. It is the impetus
ger commonly accepted, as it once was, as evidence of Hook-
of religious renewal, as fear is often behind hardening tradi-
er’s democratic attitudes. Hooker maintained his influence
tion. Priestly conceptions of religion may accentuate the
in Boston, returning in 1637 to serve as a moderator of the
equation of religion with tradition and the past. Prophetic
synod called to deal with Anne Hutchinson and the antino-
calls for renewal also may emphasize a return to pristine puri-
mian threat, then later in 1645 to participate in the meeting
ty. But each major tradition posits a future leader who focus-
called to consider responses to the Westminster Assembly.
es the hope arising from past faith. Jewish traditions speak
The first of these meetings marked the triumph of Hooker’s
of a messiah, Islam of a hidden imam. Christians look for
preparationist theology as a nearly official view of the process
the second coming of Christ. Buddhists speak of Maitreya
of salvation for the New England churches. At the later meet-
(Jpn., Miroku) as the Buddha to come, and Hindus of
ing Hooker presented his Survey of the Summe of Church Dis-
Vais:n:ava orientation look for another avatar of Vis:n:u. The
cipline (London, 1648), which became one of the definitive
hope is for a final realization of what is now only anticipated,
statements of the congregational church order in New En-
in continuity with the patterns of devotion fostered by the
gland. He died at Hartford on July 7, 1647.
central figure or founder of the present community.
More than thirty volumes appeared over Hooker’s name
Until modern times, the emphasis tended to be on re-
or were legitimately credited to him; the most important, in
form rather than renewal. Myths of ending were shaped by
addition to the Survey, are collections of sermons that exam-
myths of beginnings. The biblical motif of a return to para-
ine the spiritual stages the soul passes through on the way
dise lost is a case in point. The conception of the new as bet-
to conversion. Under the influence of Richard Sibbes and
ter comes in European thought with the inversion of the
other English preparationist theologians who held that the
chain of being, the change from classical, hierarchical con-
individual soul could not earn grace but could prepare itself
ceptions of emanation (typically beginning with the spiritual
for its reception, Hooker preached extensively on the subject
and settling into the material) to contemporary, develop-
and made his final survey of the soul’s progress during his
mental conceptions of evolution and revolution (beginning
pastorate at Hartford. These sermons were published post-
with the inorganic and culminating in consciousness).
humously in the two volumes entitled The Application of Re-
Whether retrospective or prospective, religious thought, to
demption (London, 1656–1659). Hooker was well known in
be religious, must be characterized by the hope that present
his own time for his direction of troubled spirits in the pro-
vicissitudes will be overcome, that faith will be vindicated,
cess of discovering saving grace in themselves, and this con-
and that the group, if not the individual, will realize a joy
cern is evident in his various sermonic works on the theology
or bliss of which we now experience only passing intima-
and psychology of conversion. He was also interested in the
tions. Even those who conceive of eternity as timeless and
role meditation could play in the spiritual life of a soul under
ever present acknowledge that this realization of bliss re-
the workings of grace, and he has been recognized in this
mains, for most, a future possibility on the horizon of daily
century as one of the significant Puritan exponents of the
living. However conceptualized, the fact of such hope for the
meditative process.
future often makes devotees ready to become martyrs to their
cause.
BIBLIOGRAPHY
Religious hope is necessarily transforming because of the
The best biography of Thomas Hooker is my own Thomas Hook-
focus in religion on ways of liberation or salvation, often ex-
er, 1586–1647 (Princeton, N.J., 1977), but there is also use-
pressed in terms of a movement from death to full life, error
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4126
HOPE
to right knowledge, disease to perfect health, despair to assur-
The subject of transformation is the self; but by self may
ance of ultimate satisfaction. Patterns of transformation, or
be meant just a part or principle of life as we first experience
ways to realization of a religious end, were classically con-
it. As mentioned, ways of renunciation deny the physical
ceived in terms of refinement, renunciation, reintegration or
body but affirm the continuity of a spiritual self. In the ex-
resurrection and, more recently, in terms of revolution and
treme case of Buddhism, both mind and matter are identi-
reconstruction. Each pattern is generated by different con-
fied with the present cycle of miserable existences (sam:sa¯ra),
cepts of self and of ultimate reality, although different tradi-
and what is affirmed is a principle (the Buddha nature, which
tions embody features of more than one means of transfor-
has realized nirva¯n:a). Reintegration is of the whole self, body
mation; as, for instance, in monastic Christian ideas of
and mind, with the present cosmos. By contrast, resurrection
paradise, where Hebrew visions of restoration or resurrection
entails the gift of a new body and an individuating spirit in
melded with Hellenistic versions of renunciation.
a new world (whereas immortality implies a true spiritual
Refinement is typically of the cultured or cultivated self
self, or soul, now trapped in the body and only really at home
in repudiation of barbaric, chaotic elements presently dis-
in a supernatural realm). Both resurrection in the religion of
rupting society. The ideal is of the sage, as exemplified in
Israel and revolution in modern times emphasize the com-
China by Confucius and taken up in the Enlightenment
munity, of which a remnant is restored or gains the ideal con-
strand of modern Western thought by such thinkers as Vol-
dition aspired to by all. In tribal this-worldly traditions, hope
taire and John Dewey. Renunciation is of material things for
for the future is focused on the children and succeeding gen-
spiritual value, or of the demands of the body for the sake
erations as they return to the ways of their ancestors (a vari-
of the soul, as in the case of Socrates or the story of Gautama
ant on refinement, especially in the ancestral cult called Con-
the Buddha. Reintegration is of the whole self as microcosm
fucianism by Western scholars). Thus, who and what is
with the harmonies of earth and heaven as macrocosm, as ar-
hoped for varies, according to conceptions of selfhood and
ticulated in the Daoist literature of China and the psycholo-
the nature of ultimate reality.
gy of C. G. Jung. Restoration may be of the faithful people,
Again, while a common religious hope may be for life
as in Israel under King David. But restoration in its Christian
after death, this is not necessarily the case. If the sense of self
pattern, resurrection, is of the individual and corporate self,
is of an individual or of a pattern of characteristics transmi-
both body and spirit, re-created by God within a whole new
grating through a possible infinite series of bodies, then the
order of being, identified in medieval times with heaven but
expectation of life after death may instill fear, not inspire
biblically imaged, especially in the Book of Revelation, as both
hope. The Buddhist doctrine of no self (Sanskrit, ana¯tman;
a new heaven and a new earth. Modern transformations may
Pali, anatta) was developed in just such a context. Even when
be described as reconstruction, when the emphasis is on the
life is thought to be singular, not cyclical, the expectation of
mechanistic thrust of science and technology, notably
an afterlife may be fearful if the prospect is of a ghostly loss
through medicine, where it is the material order which is re-
of place or of torment in hell. Traditional notions of purga-
newed. Or we may speak of revolution, partly technological
tory arose to meet this fear and to give grounds for hope to
(as in the industrial revolution or the contemporary move-
those who despaired of immediate entry to heaven.
ment for women’s liberation, insofar as this relates to child-
bearing and housework) but primarily political and econom-
The scope of renewal may be temporary or permanent,
ic, as in the call for collective renewal by Marx and Mao.
partial, individual, communal or cosmic. Renunciation is for
the sake of permanent renewal of the spiritual self or perma-
As already noted, the different ways of transformation
nent realization of nirva¯n:a. Reintegration presupposes a per-
may be blended with each other. The story of Socrates in-
manent process on the cosmic scale, but individual integra-
cludes motifs of refinement and renunciation. Christian as-
tion within this process may be temporary and partial.
cetics link renunciation with resurrection, while modern the-
Resurrection, in classical Christian and Muslim eschatolo-
ologies of liberation link resurrection with revolution.
gies, is of the whole individual with the whole people of God,
Relevant for our topic is the fact that the grounds for hope
involving permanent enjoyment of God’s enlivening pres-
vary according to the way in question. Resurrection presup-
ence for the faithful and perpetual punishment for the faith-
poses the reality of transcendent divine power, which can
less. The vision of a new heaven and a new earth includes
create out of nothing. Revolution comes through human ac-
the whole created order within the compass of the promised
tion, whether in solidarity with a wholly human collective
renewal. The emphasis falls on faith because it is what God
or in communion with God. Reintegration affirms the forces
does for humankind, and not unaided human effort, that
of nature in all of us. Thus, religious hope hinges on different
carries the promise of salvation. By comparison, refinement
conceptions of ultimate transformation—theistic, humanis-
and revolution are primarily humanistic ways that include
tic, and/or naturalistic—and is not necessarily tied to a par-
the rest of nature only as the setting for human fulfillment.
ticular belief in the existence of a supernatural agent or god.
Where classical myths portray gods and goddesses as immor-
Reconstruction presupposes the permanence of nature
tals, modern stories revolve around heroes and antiheroes.
and, through applied science, makes this increasingly avail-
What gives each story religious significance is the hope of ul-
able to human beings: for instance, through computerized
timate transformation, not the reference to god as such.
memory banks, artificial limbs and hearts, and artificial in-
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HOPKINS, EMMA CURTIS
4127
semination (where hope is concentrated on survival through
theologiae 2.1.25.3), hope is always for some future good that
one’s children). In principle, such hope is available to all, but
is difficult but possible to attain. There is no hope for the
in practice, access is limited to the affluent. Science fiction
damned, while the blessed no longer need hope since they
often illustrates how the current limitations on reconstruc-
enjoy the direct vision of God. It is theological, since the gift
tion may be overcome, at least in our imagination. In gener-
of the possibility comes from God, and a virtue, since the
al, it seems fair to say that the dominant global cultures, in-
gift may be refused.
cluding their religious systems, are increasingly universal in
With regard to hope for oneself, increasing differentia-
scope and are expanding the range of human expectations
tion in the evolution of modern culture has put more and
from tribal lands to the whole earth, from the earth to the
more emphasis on the individual. To live for the reflected
universe, and from the known universe to all possible galaxies
glory of an earthly or heavenly lord no longer appeals to
and states beyond the terrestrial.
those who would be rulers of their own destiny. In The Myth
Symbols of hope reflect the blending of traditions and
of Sisyphus Albert Camus carries this line of thought to its
motifs of transformation. In Buddhism, the tree reflects the
final point. In existential psychology, the importance of hope
rootedness of perfect enlightenment conquering ignorance.
was most insisted on by Viktor Frankl. Drawing on his expe-
The tree of life in images of paradise reflects the garden set-
rience in the concentration camps of the 1930s and 1940s,
ting for creation in Mesopotamian cultures. Daoist Chinese
he realized both that while there’s life there’s hope and that
images include bowls of life-enhancing fruit. By contrast, the
to go on living we must have hope.
cross of Jesus provides a reverse image for Christians, linking
S
the tree of life to the historical paradigm of suffering and
EE ALSO Atonement; Enlightenment; Healing and Medi-
cine; Moks:a; Redemption.
atonement. The evergreen tree in northern climes, combined
with images of mother and child, is a Christian example of
B
conflated symbols, whose meaning varies according to the
IBLIOGRAPHY
Brandon, S. G. F. Man and His Destiny in the Great Religions.
story told. The Buddhist wheel, by contrast, can suggest both
Manchester, U.K., 1962.
abhorrence of the cycles of existence and the teaching that
reverses the patterns of alienation. The lotus is a reminder
Eliade, Mircea. The Myth of the Eternal Return. New York, 1954.
that beauty arises even out of the mud.
Kierkegaard, So⁄ren. The Concept of Dread. Princeton, 1957.
Lovejoy, Arthur O. The Great Chain of Being. Cambridge, Mass.,
Symbols are especially important in expressions of hope
1942.
because hope is always for what is possible but not yet fully
realized. As already noted, the sense of ultimate reality shapes
Moltmann, Jürgen. Theology of Hope. New York, 1967.
the horizon of hope. Symbols of journeys and arrival at the
Slater, Peter. The Dynamics of Religion. San Francisco, 1978.
far shore suggest both present separation and eventual satis-
Zimmer, Heinrich. Philosophies of India (1951). Edited by Joseph
faction. Where this world is all there is, hope through chil-
Campbell. Princeton, 1969.
dren or through lasting achievements dominates, and hope
PETER SLATER (1987)
is linked to memory. Where all possibilities seem closed off,
despair sets in. We owe to So⁄ren Kierkegaard the definitive
contrast, expressed in modern literature, between despair of
ever realizing the authentic self and despair caused by realiz-
HOPKINS, EMMA CURTIS. Emma Curtis Hop-
ing what the self has become. Since Plato, Western religious
kins (1849–1925) was the oldest of nine children born to
thought has emphasized being as the ideal end of becoming.
Lydia Phillips Curtis and Rufus Curtis. She grew up with her
Asian thought, by comparison, has often posited an ultimate
Congregationalist family in Killingly, Connecticut, and be-
emptiness of individuating features, such that despair more
came a teacher. In 1874 she married a schoolteacher, George
typically has been despair at continuing to be as one is.
Hopkins, and they had a son, John, born in 1875.
Hope, as the obverse of despair, may be hope for oneself
In 1881 Emma had a healing experience using the
as individual or group, hope for one’s world, or hope for the
methods of Christian Science. She heard Mary Baker Eddy
ultimate nature of things. As such, classical thought counted
(1821–1910) speak in 1883 and subsequently became a
hope a virtue. In Chinese traditions, a world in disarray was
member of the Church of Christ, Scientist, traveling to Bos-
evidence of the lack of virtue among earthly and heavenly
ton for lessons with Eddy. Recognizing her talents, Eddy ap-
rulers. The concept of the mandate of heaven for the virtuous
pointed her to serve as the first full-time (and unpaid) editor
gave reformers hope that order might be restored. On the In-
of the Christian Science Journal in September 1884. After a
dian subcontinent, despair over the lack of virtue throughout
year and a half, Hopkins was asked by Eddy to leave the posi-
the hierarchy of being led to expectations of periodic, cosmic
tion. Financial constraints or theological differences were
cataclysms, followed by renewal. Echoes of this idea appear
most likely the reasons for the split. Hopkins resigned from
in biblical stories of Noah and the flood followed by the rain-
the Christian Science Association in October 1885.
bow. In Christian thought, hope is a theological virtue, along
Hopkins and her family relocated to Chicago in early
with faith and love. According to Thomas Aquinas (Summa
1886. There was a burgeoning women’s movement 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
4128
HOPKINS, EMMA CURTIS
and she was an immediate success in her educational ventures
nized the Christian Science Theological Seminary in late Oc-
and healing ministries, which dovetailed with the social ac-
tober 1887. She meant for her top-ranked disciples to be
tivism of the time. George Hopkins later moved back to New
trained in a religious manner and ordained. Those not taking
England, and they were divorced in 1900. In 1886 Emma
the most advanced course with her on a one-to-one basis
Hopkins and a colleague, Mary Plunkett (d. 1900), founded
were licensed as teachers and practitioners. She selected tal-
the Hopkins College of Christian Science, which taught an
ented faculty, such as Annie Rix Militz (1856–1924), who
idealistic theology with a focus on serene lifestyles, prosperi-
later founded the Homes of Truth, to teach classes in the
ty, and positive thinking. The first graduates of the initial
manner of Protestant seminaries. In 1888 an early graduate,
class in 1886 formed the backbone of the Hopkins Meta-
Ida Nichols, founded the periodical Christian Science, for
physical Association, which grew in numbers and evolved
which Hopkins, a prolific writer, authored feature articles.
into the first organized association of the New Thought
Hopkins’s classic texts, Class Lessons 1888 (1888) and Scien-
movement in the United States. At that time, Christian Sci-
tific Mental Practice (1890), also became seminal lessons to
ence was a generic term used by many to denote the mental
understanding her teachings. At this time she was also asked
healing movement. It continued to be used in a generic way
to write International Bible Lessons, a weekly column for the
until Eddy threatened to sue any group that used the term.
Chicago Inter-Ocean newspaper that ran for nine years.
By the 1890s New Thought became the standard term for
What was unique about Hopkins was that she did not
groups not affiliated with Eddy.
found a church; she thought the sick people of the world
Graduates of the Hopkins College, functioning as reli-
were her church. It was her disciples and ordinands that
gious entrepreneurs and trained as practitioners and teachers,
founded churches. Every prominent New Thought church
transported Hopkins’s idealistic theology to every region of
surviving today was started by her students and disciples.
the United States and later to Great Britain and New Zea-
The predominantly female social milieu in which Hop-
land, making New Thought an American export. Hopkins’s
kins operated, and her ideas about the innate goodness of
student, Frances Lord, was the first to systematize and teach
women that she associated with the Holy Spirit of the Trini-
New Thought’s prosperity principles, expounding upon
ty, prepared her to act as bishop. On January 10, 1889, she
Hopkins’s ideas. By the end of 1887 there were seventeen
ordained twenty-two ministers to the independent Christian
or more New Thought associations around the United States
Science ministry. During the next four years, 111 students
affiliated with Hopkins College and Hopkins’s philosophical
graduated from her seminary. The importance of her gradu-
tenets. The college’s graduates, most of them women, trav-
ates and ordinands, coupled with their success in founding
eled by train as missionaries, setting up Truth Centers
and forming New Thought churches and Truth Centers,
around the country and checking in with the Hopkins Asso-
earned for her the sobriquet “teacher of teachers” of the New
ciation in Chicago. From 1887 until 1894, the association
Thought movement.
served as the social and theological hub for their religious ac-
During 1894, content that her dedicated students had
tivity.
established ministries and were teaching “the newer ways,”
In 1887, Hopkins, now a national figure as well as a so-
she closed the seminary, sold the property, and relocated to
cial activist, was invited to speak to large gatherings in San
New York. There, as a reclusive mystic she taught primarily
Francisco, Milwaukee, and New York. These lectures gained
one-to-one in her private hotel suite in Manhattan. She
new proponents for her approach to mental healing and her
taught Mabel Dodge Luhan (1879–1962), Hutchins Hap-
theology of a monistic, impersonal God who, as Divine
good (1869–1944), Neith Boyce (1872–1951), and other
Mind, was omniscient, pure, and perfect. Widely read, Hop-
prominent writers working for a more democratic treatment
kins drew upon Gnostic ideas of the immanence of divinity
of minority peoples. She taught Elizabeth Duncan, the older
and she rejected the traditional Christian notion of sin, re-
sister of the dancer Isadora Duncan (1877–1927), and sup-
placing it with a belief that human failings were merely spiri-
ported their progressive school for children. Her teachings
tual errors, which could be overcome. She had a theory simi-
advocated for Native American and African American rights.
lar to what would later become Jungian ideas. She believed
One of her students, Emilie Hapgood, supported the first all-
that racial memory was something akin to what Jung would
black theater troupe to perform on Broadway, while Luhan
describe as the collective and individual unconscious. These
labored all of her life for Native American rights.
stored memories, embedded within the genetic code of the
Every major contemporary New Thought organization
individual when triggered, recall disease, traumatic events
can be traced directly to Hopkins’s teachings. She ordained
and health challenges from the individual and collective past.
Myrtle Fillmore (1845–1931) and Charles Fillmore (1854–
She believed these cases of racial memory could be cured
1948), who founded Unity; Malinda Cramer (1844–1906),
through silent healing. Convinced that the advent of spiritu-
Nona Brooks (1861–1945), Fannie James, and Alethea
al healing methods ushered in the second coming of Christ,
Small, who founded Divine Science in Denver; and Harriet
Hopkins dissolved her college and reorganized her teaching
Emilie Cady (1848–1941), who wrote Unity’s all-time best-
to fit an ecclesiastical structure. Believing her mission to be
seller, Lessons in Truth. During the New York years, she
sacred, a hallmark of the second coming of Christ, she orga-
taught a young Ernest Holmes (1887–1960), who founded
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HORNER, I. B.
4129
Religious Science in Los Angeles and inspired the theology
HORNER, I. B. The British scholar Isaline B. Horner
of Norman Vincent Peale (1898–1993) and Robert Schuller
(1896–1981) devoted her considerable intelligence and ener-
(b. 1926). Other speakers and teachers who appropriated
gy to furthering scholarly and popular understanding of
Hopkins’s work and taught it in more secular form number
Buddhism, especially in the English-speaking West. After
in the thousands, and they spread her teachings to millions.
earning her B.A. (1917) at Newnham College—then one of
Prior to her death from heart failure in 1925, Hopkins wrote
only two women’s colleges at Cambridge University—
the culmination of her life’s work, High Mysticism (1912–
Horner stayed at the college as assistant librarian (1918–
1917).
1920) and then acting librarian (1920–1921). In 1921 she
accepted an invitation to accompany the college principal’s
SEE ALSO Christian Science; New Thought Movement;
sister, D. J. Stephen, on a trip to Ceylon (now Sri Lanka),
Unity.
India, and Burma (now Myanmar). Although Stephen prob-
ably considered the trip a Christian mission, she and Horner
BIBLIOGRAPHY
shared an interest in Eastern religions, and Horner filled her
Harley, Gail. Emma Curtis Hopkins: Forgotten Founder of New
letters home with descriptions of Buddhist and Hindu prac-
Thought. Syracuse, N.Y., 2002. The first biography of Hop-
tices she encountered in these British colonies.
kins. It corrects every prior erroneous source to date and es-
tablishes her as the founder of organizational New Thought.
After two years abroad, Horner returned to Newnham
Hast, Adele, and Rima Lunin Schultz, eds. “Emma Curtis Hop-
as librarian, a position she would hold until 1936. Shortly
kins.” In Women Building Chicago 1790–1990: A Biographi-
thereafter, she began studying the religion she had witnessed
cal Dictionary, pp. 305–307. Bloomington, Ind., 2001. A
in Ceylon: Therava¯da Buddhism. At that time Western
comprehensive insight into the women who were prominent
scholars of Asian religions tended to regard scriptures as re-
in Chicago and how their vision established music, art,
positories of the earliest and, therefore, most authentic forms
drama, social justice, religion, and education.
of these religions. Thomas Rhys Davids had founded the Pali
Hopkins, Emma Curtis. Class Lessons 1888. Chicago, 1987. Her
Text Society (PTS) in 1881 to facilitate the study of
first teaching manual that details her methods and ideas
Therava¯da Buddhism by producing editions in roman char-
about monistic healing.
acters, and translations into English, of the Therava¯da tradi-
Hopkins, Emma Curtis. Scientific Christian Mental Practice. Mari-
tion’s scriptures, written in the language called Pali. In 1925
na Del Rey, Calif., undated. Written later in Chicago, this
Horner contacted Caroline Rhys Davids, Thomas’s wife and
book details every lesson that she had created and how to
successor as president of the PTS following his death in
apply affirmations for change.
1922. Caroline Rhys Davids encouraged Horner to research
Hopkins, Emma Curtis. High Mysticism. Marina Del Rey, Calif.,
the topic of women in early Buddhism, in part by studying
1983. The culmination of her life’s work in mysticism and
English translations of Pali texts. Horner followed this ad-
perennial philosophy that reveals the pinnacle of the High
vice, while studying the Pali language with Cambridge pro-
Watch of metaphysical healing.
fessor E. J. Rapson.
Journal of the Society for the Study of Metaphysical Religion 8, no.
Horner’s Women under Primitive Buddhism came out in
2 (2002): 79–151. The entire issue is devoted to critical as-
sessment of the book Emma Curtis Hopkins: Forgotten Found-
1930, and her second book about Therava¯da Buddhism
er of New Thought.
based on study of Pali texts, The Early Buddhist Theory of
Man Perfected, was published in 1936. Both books were well
Melton, J. Gordon. “Emma Curtis Hopkins: A Feminist of the
received by scholars of Buddhism and by the intellectual En-
1880s and Mother of New Thought.” In Women’s Leadership
in Marginal Religions: Explorations outside the Mainstream,
glish-reading public. Women under Primitive Buddhism re-
edited by Catherine Wessinger, pp. 88–101. Urbana, Ill.,
mained the only book-length study of women in Buddhism
1993.
for nearly fifty years. When scholars eventually took up this
topic again, they rediscovered—and acknowledged their
Melton, J. Gordon. “New Thought’s Hidden History: Emma
Curtis Hopkins, Forgotten Founder.” Journal of the Society
gratitude for—this book. Several of them corresponded with
for the Study of Metaphysical Religion 1 (1995): 5–39. The
Horner late in her life, and she encouraged their efforts to
first in-depth work about her accomplishments during the
build on her work. Although some of Horner’s characteriza-
Chicago years.
tions of early Buddhism in these two books from the 1930s
Melton, J. Gordon. “Emma Curtis Hopkins.” In Religious Leaders
appear outmoded in light of later scholarship, her grounding
of America: A Biographical Guide to Founders and Leaders of
in the Pali texts ensured the lasting relevance of much of this
Religious Bodies, Churches, and Spiritual Groups in North
work.
America, 2d ed. Farmington Hills, Mich., 1999.
Horner’s greatest contribution to the study of Bud-
Satter, Beryl. Each Mind a Kingdom: American Women, Sexual Pu-
dhism came through her work on the Pali literature and her
rity, and the New Thought Movement, 1875–1920. Berkeley,
leadership of the PTS. By the early 1930s Horner had begun
Calif., 1999. A compelling view of historical tributaries that
to edit and translate Pali texts for publication. Over the next
coalesced to form New Thought.
fifty years she edited four volumes of Pali scripture and trans-
GAIL M. HARLEY (2005)
lated fifteen volumes of Pali texts into English for the PTS.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4130
HORNS
But Horner’s impact on the study of Therava¯da Buddhism
BIBLIOGRAPHY
through its Pali scriptures extended far beyond even this im-
Conze, Edward, I. B. Horner, David Snellgrove, and Arthur
pressive list of published Pali editions and translations.
Waley, trans. and eds. Buddhist Texts through the Ages. Ox-
Groomed by Caroline Rhys Davids to step in as her successor
ford, 1954. An anthology of texts from the Therava¯da,
at the PTS, Horner served the PTS first as honorary secretary
Maha¯ya¯na, and Vajraya¯na branches of Buddhism; the first
part (“The Teaching of the Elders”) comprises Pali texts cho-
(1942–1959) after her mentor’s death and later as president
sen and translated by Horner.
(1959–1981). For nearly four decades Horner actively re-
cruited scholars from Europe, America, and Asia to contrib-
Cousins, L., A. Kunst, and K. R. Norman, eds. Buddhist Studies
in Honour of I. B. Horner. Boston and Dordrecht, Nether-
ute to the work of the PTS, and she then politely but persis-
lands, 1974. A volume of essays by prominent scholars of
tently pushed them, and helped them, to complete their
Buddhism; includes a bibliography of Horner’s most signifi-
projects. Horner guided fifty-six new volumes of PTS publi-
cant publications and a “Biographical Sketch” of her by
cations through the complex process of book production,
R. E. and C. W. Iggleden.
from initial correspondence with potential editors and trans-
Horner, I. B. Women under Primitive Buddhism: Laywomen and
lators through final negotiations with printers and distribu-
Almswomen. London, 1930. A thorough examination of
tors. Many acknowledgments of and grateful thanks for
Therava¯da Buddhist teachings concerning women; remained
Horner’s help appear in the prefaces and introductions to
the only book on Buddhist women until the late 1970s.
these PTS publications. Over the same period, Horner mon-
Horner, I. B. The Early Buddhist Theory of Man Perfected: A Study
itored the stocks of PTS books and managed the reprinting
of the Arahan Concept and of the Implications of the Aim to
of 223 out-of-print and revised volumes.
Perfection in Religious Life. London, 1936. A philosophical
analysis, critique, and reconstruction of the Therava¯da Bud-
Horner’s indefatigable dedication and financial backing
dhist teachings concerning the ideal goal and the path to
ensured that the PTS continued to publish one to four vol-
achieve it.
umes annually throughout the twentieth century. For dec-
Horner, I. B. “Some Notes on the Buddhavamsa Commentary
ades she inspired and encouraged students to take up the
(Madhuratthavila¯sin¯ı).” In Buddhist Studies in Honour of
study of Pali and scholars to work on Pali texts without pay
Walpola Rahula, edited by Somaratna Balasooriya et al.,
or even royalties. Horner actively pursued funding for the
pp. 73–83. London, 1980. The last of many articles Horner
work of the PTS and often paid for its publications herself
published in which she brought to the attention of other
when she could not drum up sufficient financial support
scholars and translators particular points of interest from a
from other sources. Horner also left the PTS a substantial
text she had recently translated.
legacy in her will that has continued to support many of its
Horner, I. B., trans. The Book of the Discipline (Vinaya Pitaka).
activities into the twenty-first century.
6 vols. Sacred Books of the Buddhists Series 10, 11, 13, 14,
20, and 25. London, 1938–1966. A translation of the
In addition to her contributions to the scholarly study
Therava¯da Buddhist texts concerning monastic life, consti-
of Buddhist texts, Horner influenced the growing popular
tuting one of the three (ti-) major divisions (pit:aka) of the
practice of Buddhism in the West by giving countless lec-
Pali canon (the tipit:aka); Horner’s most substantial contri-
tures to Western Buddhist groups and writing articles for
bution to the translation of the tipit:aka into English.
their publications. Horner hesitated to call herself a Buddhist
Horner, I. B., trans. The Middle Length Sayings (Majjhima-
because she did not meditate, but she constantly demonstrat-
nika¯ya). 3 vols. Pali Text Society Translation Series 29, 30,
ed her commitment to propagating what she saw as the true
and 31. London, 1954–1959. Horner’s translation of the
teachings of Buddhism, always grounded in the Pali texts.
second of the five sections of the Pali canon’s Dhamma
She had little patience for Western Buddhists who corrupted
Pitaka, or division of doctrinal teachings.
the teachings of Buddhism with those of Hinduism or ideas
Horner, I. B., with Padmanabh S. Jaini, trans. Apocryphal Birth-
of their own devising. Her interpretations of Buddhism for
Stories (Pañña¯sa-ja¯taka). Sacred Books of the Buddhists 38.
practitioners impressed even Asian Buddhist monks and
London, 1985.
scholars, including her many friends and admirers in Sri
Pali Text Society. “About the Pali Text Society.” Available from
Lanka, Burma, and Thailand, who frequently asked her to
http://www.palitext.demon.co.uk. The society’s website of-
contribute articles to their publications and to give lectures
fers information on the Pali canon, on Pali language and lit-
when she traveled in Asia (1934–1935, 1938–1939, 1950,
erature, and on PTS projects and publications.
1953–1954).
GRACE G. BURFORD (2005)
The University of Ceylon granted Horner an honorary
doctor of letters in 1964, as did Nava Nalanda Mahavihara
in 1977. In 1980 Horner received an Order of the British
HORNS. The physical power and reproductive potency
Empire award from Queen Elizabeth II for her services to
of horned animals, which were so important in the economy
the PTS. Having lived to see the celebration of the first one
of ancient hunting and agricultural societies, made them
hundred years of the PTS, Horner died in London on April
ideal symbols of strength and fertility. The primitive use of
25, 1981.
horns as plows and the symbolic view of plowing as the 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
HORSES
4131
pregnation of Mother Earth led to the belief that horns were
enemies of venomous serpents. The Chinese still use ivory
charged with sexual power. The association of horns with fer-
for this purpose, reserving carved rhinoceros horns for the
tility was further encouraged by their phallic shape and sym-
decorative function of symbolizing prosperity and strength.
bolic identification with both the rays of the sun and the
The prophylactic properties of horn extends to the sounds
crescent moon.
made by horned instruments, which have been valued
throughout the world for their ability to ward off evil spirits,
The association of horns with power and fertility ac-
ghosts, demons, and devils.
counts for the proliferation of horned gods and goddesses in
both the East and the West. The Sumerian gods Anu, Enlil,
Not all associations with horns are positive. Horned ani-
and Marduk wear horned headdresses, as do the Egyptian de-
mals are dangerous. From the Stone Age on, horns were used
ities Hathor, Isis, Nut, Seth, and Amun. The Hindu god
as weapons. (The curved shape of swords and daggers reflects
S´iva and the Greek god Poseidon share the same emblem,
this primitive usage.) Potions made from powdered horns
a trident, a symbolic representation of horns. In Greek my-
may be poisonous. The association of horns with fertility
thology, Dionysos, Pan, the satyrs, the river gods, Hera, Io,
made them the ideal symbol of cuckoldry. The symbolism
and Aphrodite all have horns as attributes. The Cretan cere-
connecting horns with the moon has negative, as well as posi-
mony of bull vaulting involved grasping the horns, the
tive, implications. While the waxing of the moon is a sign
source of fertility and power; and the Cretan symbol of the
of rebirth, the waning moon symbolizes death, darkness, and
double ax is probably a pair of stylized horns.
the underworld. Horns are, therefore, ideal attributes for evil
and libidinous demons, devils, and monsters. Aside from the
The Canaanite gods Baal and El were horned bull gods
Devil of Christian folklore, sometimes known as “Old Hor-
as was, originally, Yahveh, which is why horns decorate the
nie,” the Babylonian demon Pazzuzu was horned, as were the
altar described in Exodus 27. Moses, too, has been associated
libidinous satyrs of ancient Greece. Japanese oni are evil spir-
with horns. In Exodus 34:29–35, the Hebrew verb qaran,
its depicted as humans with bull horns. Most monsters have
which means either “to send forth beams” or “to be horned,”
horns or horny scales.
occurs three times in the phrase qaran Eor panav, describing
the beaming face of Moses upon his descent from Mount
B
Sinai. In the Vulgate, however, this phrase is translated as fa-
IBLIOGRAPHY
A full appreciation of the ramifications of horn symbolism re-
cies cornuta (“horned face”), and the symbolism of this mis-
quires a look at mythology and religion throughout the
translation has persisted over the centuries. The horns on the
world. A good way to start is by consulting Jack R. Conrad’s
head of Michelangelo’s Moses, sculpted about 1515, are one
The Horn and the Sword: The History of the Bull as Symbol
well-known example.
of Power and Fertility (New York, 1957) and Frederic T. El-
worthy’s Horns of Honour (London, 1900).
In Christian iconography, the foremost association of
horns is with devils and demons, although the Virgin Mary
ALLISON COUDERT (1987)
is sometimes depicted with the “horns” of the moon. The
Vedic and Buddhist divinity Yama is horned. In ancient
China, Shen Nong, one of three legendary divine emperors,
is traditionally pictured with two horns on his head, as a sym-
HORSES have played an essential role in the life, and
bol of his connection with nutrition and animal life. Celtic
therefore in the religion, of all the peoples who have had di-
gods and goddesses are often horned.
rect contact with them, particularly the Indo-Europeans, the
ancient Mesopotamians and Egyptians, the Arabs, the Chi-
The horned headgear of the gods was appropriated by
nese, and the North American Indians. It is fair to say that
humans to indicate their divine mandate and power. Babylo-
horses have always captured the mythic imagination through
nian and Assyrian kings wore rounded caps with horns. Alex-
their ability to symbolize a number of related phenomena:
ander the Great identified himself with the horned god
power, wealth, divinity, sexuality, flying, and the tension be-
Amun and appears on coins with ram’s horns. Etruscans,
tween taming and freedom.
Celts, Vikings, and Anglo-Saxons wore horned headdresses,
Among the earliest evidence of the importance of the
as did American Indian chiefs and shamans. Medieval
horse to human culture are the magnificent wall paintings
crowns, and even the miters worn by Christian bishops, owe
in the caves of Lascaux, in southern France, dating from
their shape to earlier horned headdresses.
around 30,000 BCE. There the grouping of horses with other
The association of horns with fertility accounts for the
wild animals such as stags and bison suggests that they were
metaphoric use of horn for “phallus” (Ps. 132:17, Jer. 48:25),
probably animals that were hunted rather than harnessed or
as well as for the worldwide consumption of powdered horn
ridden. Even so, it has been proposed that certain structures
as an aphrodisiac. The image of cornucopias, or horns of
depicted on the walls at Lascaux represent corrals, implying
plenty, is a well-known symbol of abundance. Horn amulets
that some sort of taming may already have begun. André
have been found on every continent. One of their most im-
Leroi-Gourhan has argued that the horse is part of the male
portant uses was in detecting poison, because horned ani-
half of a general sexual bipartition in the animal symbolism
mals, particularly unicorns, were thought to be the natural
at Lascaux. If this is so, there is very early evidence indeed
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HORSES
of the horse in association with both taming and sexuality,
sources indicate a fertility cult associated with the horse, one
perhaps even with the combined concept of the taming of
that often agrees in striking detail with the Vedic cult of the
sexuality, which is a dominant theme in the Indo-European
horse. The Persians tell of a battle between an evil black horse
religious symbolism of the horse.
and a good white horse, whose victory released the fertilizing
rains; and the Iranians regarded white horses as symbolic of
But the true history of the horse in human religious con-
the sun (Pausanias, 3.4.20; Xenophon, Cyropaedia 8.3.11).
ceptualization must begin with the first certain evidence of
Among the Indo-Europeans in general, it appears, the white
its domestication: the use of the chariot, which, for several
horse was sacred.
centuries before horses were ridden, was employed as a
means of transport, of farming, and as an instrument of war.
This article shall examine the Indian and Irish models
Starting before 2000 BCE from a location somewhere in the
of these rituals in greater detail, but in this introductory sur-
area of the Caspian and Mediterranean seas, the use of the
vey it is useful to note a linguistic link between these far-
horse to pull a chariot spread eastward through Persia to
flung Indo-European cults of the horse. The Gallic proper
India, then south through Syria to Egypt, then west through
name Epomeduos may be cognate with the Sanskrit
Anatolia to Greece, and then northwest into eastern Europe.
a´svamedha; both royal names are possessive compounds des-
Among the Hittites, a Mittannian named Kikkulis, who was
ignating kings who have (performed) horse sacrifices. The
employed as Master of the Horse by the Hittite king
first element of the compound simply means “horse”; the
Sepululiumas, composed the earliest known book that deals
second element is more difficult to pin down, but it has the
with nothing but horses, about 1360 BCE. And the earliest
connotations of a ritual drink (such as mead) or an intoxicat-
known Egyptian figure of a horse appears on a bronze axhead
ing drink. Thus the term as a whole may mean “intoxication
of the eighteenth dynasty (c. 1450 BCE), which shows a horse
with the horse”; Jaan Puhvel, who has noted these linguistic
led in hand in a manner assumed to be that of a charioteer
implications, remarks that “the early Indo-Europeans were
rather than that of a rider. Horse chariots were also found
undoubtedly ‘crazy about horses,’ and so were the Gauls”
in the tomb of Tutankhamen and are depicted on a wall
(Puhvel, 1955). It may, however, mean “one who has per-
painting from Thebes dated about 1400 BCE.
formed a ritual involving a horse and a sacred drink” or
even—as is supported by the evidence provided by the Indi-
A particularly vivid description of the Egyptian chariots,
an and Irish horse sacrifices—a ritual in which the horse itself
and one that places horse and horseman in a religious narra-
supplied the substance or the sacrificial food and drink for
tive context, is the fifteenth chapter of Exodus in the Hebrew
the king, a ceremony in which a horse was ritually eaten.
scriptures, a chapter that some scholars have dated as early
Whether eaten or not, horses were sacrificed by the Greeks
as the twelfth century BCE. The passage that celebrates the
(Herodotus, 7.113; Ovid, Fasti 1.385), by the Armenians
parting of the Red Sea and the subsequent drowning of Pha-
and Massagetes (Xenophon, Anabasis 4.5; Herodotus,
raoh’s men, horses, and chariots begins “I will sing unto the
1.216), and by the Scythians, of whose spectacular royal
Lord, for he hath triumphed gloriously; the horse and his
burials Herodotos provides a hair-raising description
rider hath he thrown into the sea.” The term rider may not
(4.71–72).
necessarily refer to a mounted horseman; it is a generic term
that could apply as well to a charioteer. But it is worth noting
Still, it is the Vedic, Roman, and Irish horse sacrifices
that the horse is here associated with several themes that
that provide the triangle on which the Indo-European evi-
occur often in the mythology of the horse: armies, evil,
dence rests, however shakily. The facts of congruence in ex-
death, and, most striking, the bottom of the ocean.
isting sources are impressive, although the weight and sub-
stance of documentation are grotesquely dissimilar. The
ANCIENT INDO-EUROPEAN HORSE SACRIFICES. With the
Vedic ceremony is by far the best documented, both in terms
Greeks and the Vedic Indians, and later with the Romans,
of the contemporaneous nature of the ritual and the text de-
the horse truly came into its own as a religious symbol, one
scribing it (both dating from 900 BCE but referring to the
that pervades both myth and ritual. Rituals involving horses,
hymns to the horse in the R:gveda, perhaps as much as three
more particularly rituals that involve the killing of a white
hundred years earlier) and in terms of the volume of data:
stallion, are attested throughout the Indo-European world.
hundreds and hundreds of pages of Sanskrit texts. The
Among the ancient Norse, a white horse symbolizing the sun
Roman ritual is a poor second, cursorily described by Polybi-
and accompanied by women was killed in a ritual that in-
us (12.4b), Plutarch (Quaestiones Romanae 97), and Festus
cluded obscene references to the phallus of the horse, ritual
(ed. Lindsay, pp. 178.5ff.) with distressing discrepancies and
castration, and an intoxicating drink. In the Roman festival
lacunae. The Irish ritual is even more problematic, having
of the October Equus, a horse dedicated to Mars was killed
been described only in the twelfth century CE by a Christian
in the course of a ritual, and a chariot race took place; in the
monk who could scarcely believe his eyes, so appalled was
Roman Parilia, a horse was mutilated (perhaps castrated).
he by the obscenity of the rite (Giraldus Cambrensis, Topo-
Among the Greeks, white horses were sacrificed to Poseidon
graphia Hibernica, ed. Brewer, p. 169).
and to the sun; a white mare was sacrificed at the grave of
a maiden who had been raped and had committed suicide;
Yet the parallels are truly striking. In India, a ritually
black horses were inauspicious. Both Roman and Greek
consecrated stallion was killed after a chariot race; the chief
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4133
queen than pantomimed copulation with the stallion, to the
rates the myth of Macha, a tri-functional equine goddess
accompaniment of verses (spoken by priests) regarded as ob-
who, forced to run in a chariot race while she is pregnant,
scene even by the contemporaneous texts (which prescribe
dies bringing forth twins or who, in another avatar, brings
a “perfumed” verse to be recited at the end, to wash out the
forth a son at the very moment when a mare in the stable
mouths of the participants). In Rome, after a race the right-
gives birth to twin foals (Kinsella, 1970; Gricourt, 1954).
hand horse of the winning chariot was sacrificed to Mars; its
And the Welsh Mabinogi tells the story of Rhiannon, who
tail was carried to the Regia, where its blood was sprinkled
appears to King Pwyll riding on a white horse, marries him,
on the altar (Plutarch) or the hearthstone (Festus). Men from
and bears him a child while a mare has a foal at the same mo-
the Sacra Via and the Suburra did battle for the head, the
ment; accused (falsely) of killing the child, Rhiannon is con-
latter (if they won it) carrying it to the Turris Mamilia, the
demned to carry guests from the mounting block to the court
former to the wall of the Regia. In Ireland, the king panto-
on her back.
mimed (or performed) copulation with a live mare who was
afterward dismembered and cooked; the king bathed in her
The myth of the mare goddess has a broader Indo-
broth and drank it, and the broth was then distributed to the
European distribution as well. In India, the myth begins with
people.
references in the R:gveda to the wife and false-wife of the sun,
a myth that is told in greater detail in the Bra¯hman:as and
The common thread in all three rituals is the killing of
the Pura¯n:as: Vivasvant, the sun, married Saran:yu¯, who fled
an equine. In two of the rituals (India and Rome) the horse
from him and substituted for herself another female, Cha¯ya¯
is a stallion; in two of the rituals (India and Ireland) there
(“dark shadow”) upon whom Vivasvant begat a son, Manu,
is a sexual union as well as a death. It could be argued, from
the ancestor of the human race. Meanwhile, Saran:yu¯ took
the writings of Georges Dumézil and others, that the ritual
the form of a mare and fled from Vivasvant, but he took the
emphasizes a different one of the three Indo-European func-
form of a stallion, followed her, and covered her; upon giving
tions in each of the three cultures in which it appears: the
birth to the twin horse-gods, the A´svins, she abandoned
Roman primarily martial, the Indian royal and sacred, the
them. The parallels with Celtic myths are striking: A goddess
Irish fertile and nourishing. But all three rituals can and do
in the form of a white mare takes human form and mates
incorporate all three levels of symbolism. A ceremony that
with an aging sun king; impregnated by him, she gives birth
is about royalty and the power of the king not only can but,
to hippomorphic twins, the ancestors of the human race,
in a sense, must also be about sexuality and nourishment: for
whom she injures or abandons, and she leaves the king to re-
the ancient Indo-European stallion symbolized at once the
turn to her heavenly home. The inversions and reversals that
powers of the warrior; of the king, and of the virile male.
take place over the wide Indo-European area and through the
ANCIENT INDO-EUROPEAN HORSE MYTHS. Given the pri-
centuries are complex, but clearly this is some sort of protean
macy of the stallion in the aggressively virile cultures of the
mythic core.
Indo-Europeans, how is one to explain ritual focus on the
Irish mare? It could be argued that the Irish variant is proper-
Greek mythology supplies further evidence in support
ly Gallic, rather than Indo-European, and make the case (as
of this corpus. Demeter, who is often depicted with a mare’s
Robert Graves did in The White Goddess, 1948) for an an-
head, mated with Poseidon (the god of the sea, to whom
cient Gallic horse goddess whose cult was superseded by that
horses were sacrificed, and who was himself called Hippios,
of an Indo-European horse god. In support of this conten-
“equine”; Apollodorus, 3.6.8; Pausanias, 8.25 and 8.42); in
tion is the Gallic cult of the goddess Epona, almost the only
Arcadia, Demeter is portrayed as Black Demeter, with the
goddess worshiped in the same guise by both continental and
head and mane of a horse on the body of a woman (Ovid,
insular Celts. Intimately connected with the Welsh Rhian-
Metamorphoses 6.406b). Poseidon is also involved in several
non and the Irish Macha, whom shall soon be encountered,
myths in which a woman is raped by a god in the form of
and thematically connected with the horseheaded Greek De-
a stallion and gives birth to foals that she attempts to destroy;
meter, Epona is often depicted as a woman riding on a mare,
he is more distantly involved in a Greek cycle of myths about
or as a mare, or with a mare’s head; she is also associated with
overprotective fathers of equine goddesses who destroy their
a male horse god, Rudiobus. Epona, whose name comes
suitors (the myths of Hippodameia, Hippomenes, and Alcip-
from the Proto-Indo-European *ékwos, “horse” (Lat., equus;
pe). Glaucus and Diomedes of Thrace are said to have had
Skt., a´sva), is particularly concerned with pregnant mares
savage mares, made more savage by their enforced chastity,
and with foals. Pseudo-Plutarch (parallel 29; cited by Le
who devoured men, and Hippolytus (well known from Eu-
Roux, 1963, p. 133) gives what may be the only ancient re-
ripides’ tragedy), who worshiped Artemis and denied Aphro-
cord of a Celtic hierogamy like the one that is described, as
dite, was dragged to death by chariot horses that were fright-
a ritual, by Giraldus Cambrensis so many years later: “A cer-
ened by a monster sent by Poseidon from the sea.
tain Phoulouios Stellos, who hated women, had intercourse
EUROPEAN MYTHS OF EVIL MARES. The pattern of myths
with a mare. In time, she brought forth a beautiful maiden
of evil mares is almost exclusively Indo-European, which is
whom she named Epona, a goddess of horses.”
hardly surprising, given the special place of the horse in
Celtic mythology offers rich support for the concept of
Indo-European culture. The negative symbolism of the
an ancient horse goddess. The Irish Táin Bó Cuailnge nar-
Indo-European mare is epitomized by the myth, widely doc-
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HORSES
umented in India, in which a demonic female full of anger
explicit equine overtones from an early period in European
and destructive lust is tricked into taking the form of a mare
mythology, in part through the attraction of assonance and
with flames shooting out of her mouth. While she dwells at
in part through the influence of an already developed my-
the bottom of the ocean, the flames in her mouth keep the
thology. The true etymology is from the Old English mare
ocean from overflowing its bounds and the ocean keeps her
(“hag”), and a nightmare, according to the Shorter Oxford
flames from destroying the world. On doomsday she will
English Dictionary, is a “female monster . . . supposed to set-
emerge from the ocean; her flames will destroy the universe
tle upon people and animals in their sleep, producing a feel-
with fire; and the uncontrolled waters of the ocean will flood
ing of suffocation.” The prototype of the nightmare who
the world. The underwater mare is thus a symbol of the ten-
presses down on the sleeper or has intercourse with him
sion between uncontrolled powers and the dangers that arise
while lying on top of him is the mare who rides perversely
from the brutal suppression of those powers; it is a symbol
astride her husband or victim. In modern reinterpretations
of the paradox of the wild and the tame, in all three Indo-
of the image of the nightmare, in literature and art (the horse
European spheres: the sacred, the martial, and the sexual.
in Fuseli’s haunting painting entitled The Nightmare, or in
The underwater mare appears, in various transforma-
Blake’s Death on a Pale Horse, or the tortured horses in Picas-
tions, throughout later European mythology. Celtic mythol-
so’s Guernica), the cluster of meanings related to the several
ogy describes aquatic monsters known as Goborchinn
homonyms often merge: mother (Fr., mère), female horse
(“horseheads”) as well as horse eels and water horses, the fore-
(Eng., mare), ocean (Lat., mare; Fr., mer), death (IE, *mer,
runners of sea serpents and dragons like the Loch Ness mon-
*mor), and the underlying Old English etymological mean-
ster, whose heads are often surprisingly equine. And, closer
ing, “hag.”
to home, one can see this symbolism at the heart of the cli-
One can postulate chronological levels in the history of
mactic scene in Richard Wagner’s opera Götterdämmerung
the degradation of the symbolism of the mare. At first there
(The twilight [or doomsday] of the gods). Brünnhilde is one
may have been one mare goddess, an awesome, dangerous,
of the Valkyries, the female warrior spirits who ride their
sacred creature (sacred in Rudolf Otto’s sense of the word:
winged horses through the skies to bring fallen warriors to
mysterium fascinans et tremendum), who was sought by the
Valhalla; at the end of the opera, Brünnhilde mounts her
king, captured, and wooed. She is a source of power, who
white horse and rides through a wall of fire to her death,
invigorates the aging king by her annual ritual copulation
whereupon the waters of the Rhine rise and flood the world.
with him; she dies in a sacrifice of her immortality to his
In folklore, the more anthropomorphic aspects of the
mortality. At this period, the mare is simultaneously mater-
myth, particularly the implications of the relationships be-
nal, sororal, and erotic. In Semitic and Babylonian myths,
tween the mare and her children, are stressed. The Antti
she is manifest in the figures of Inanna and Ishtar, both of
Aarne-Stith Thompson index of tale types and motifs gives
whom were said to copulate with horses. But in later Europe-
many examples of myths in which a queen is falsely accused
an mythology, the mare goddess was split into two parts, the
of the murder of her children and condemned to death,
good mother and the evil whore, and the benevolent white
myths in which horses usually play a part. The accused
mare is given a malevolent, black alter ego.
woman sets out on a mare, and the wicked fairy who calum-
niates her is torn to pieces by a horse (TT 451); the unfaith-
This transition is even more sharply marked in the
ful wife is transformed into a mare, like adulteresses in the
closely related mythology of the swan-maiden. Mares in
Arabian Nights as well as in Finnish, Russian, and Italian
many Indo-European myths about evil women are closely as-
tales (TT 449). Witches are closely associated with mares: A
sociated with birds: They assume the form of birds or appear
witch may be accompanied by a horse, she may appear as a
as winged horses. In the swan-maiden variants of the theme,
horse, she may transform a man into a horse and ride him,
a woman from the other world assumes the more delicate
or she may become a man-eating mare. The equine witch ap-
and feminine form of a white bird, instead of a white horse;
pears consistently as the villain in Indo-European folklore:
she lives with a prince for a while and then leaves him when
She is the female fiend who eats children and rides her vic-
he violates the condition that she had set for their cohabita-
tims (an image with psychological overtones of fear and sexu-
tion (not to ask her name, or not to see her naked). This may
ality); she is the black maiden from hell, riding on her white
be a very old Indo-European motif indeed, judging from ar-
horse; or she is the leader of the wild chase of witches on their
chaeological evidence from Europe before 3500 BCE depict-
phallic broomsticks, the horses of death. The image of the
ing the bird goddess. Her mythology begins with the Vedic
erotic woman on the white horse is not necessarily nega-
myth of Pururavas and Urvasi and extends to the ballet fig-
tive—there is always Lady Godiva, not to mention naked
ures of The Firebird (the firebird is the Russian version of the
women on horseback in contemporary soft-core pornogra-
magic sunbird) and Swan Lake, in which Odette, the good,
phy—but her very eroticism is a negative value in the ancient
chaste White Swan, is opposed by Odile, the evil, seductive
Indo-European conceptual system, in which women should
Black Swan. Then, too, when the Valkyries are not riding
be not erotic but chaste.
horses they become swans.
The term nightmare, even though it is etymologically
But the demotion from mare to swan was not the last
unrelated to the word for the female horse, comes to assume
step in the degradation of the symbol. The swan became
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4135
male. In Greek myth, Zeus assumes the form of a white swan
And the thunder of horses plunging, foam about their
in order to seduce Leda as she is bathing in a river (Leda’s
knees.
two sons, Castor and Pollux, became known as the Dioscuri,
Arrogant, in black armour, behind them stand,
or equine twins, the Greek parallel to the Vedic Asvins). And
Disdaining the reins, with fluttering whips, the
in the legend of Lohengrin, it is he, not she, who rides in the
charioteers. (from Chamber Music, 1907)
swan boat. In Lohengrin’s story the more ancient myth of
the immortal woman who visits the mortal man or king came
But the other, positive aspect of the horse never lost its sym-
to be replaced by the myth of the immortal man who rescues
bolic power. Centuries before the Roman invasions, some-
the mortal woman. In a skiff drawn by a white swan (here
one carved into the chalky hillsides of the English Downs
a male), Lohengrin rides, as on a white horse, to the rescue
several colossal images of a white horse. The horse by itself,
of Elsa; the helpless female awaits the great horse/swan god
unharnessed, unbridled, unridden, was always at home in the
who deigns to visit her and who will make her promise never
mountains, close to its divine home and far away from the
to ask him his name or his lineage. Now Leda awaits Zeus,
ropes of humans. The horse thus remained always a symbol
awaits the moment when she may, in Yeats’s words, “put on
of freedom. In the ancient Indian horse sacrifice, the stallion
his knowledge with his power / before the indifferent beak
wandered freely for a year before the ceremony, attended by
could let her drop.”
his herds and followed by the king’s men, to claim for the
T
king whatever grazing land he cared to wander through. This
HE RIDER ON THE WHITE HORSE. Thus the white stallion
image of freedom was somehow preserved rather than can-
came to supplant the white mare in Indo-European mythol-
celed by the later composite image of the white horse and
ogy at a very early period. His mythology, like hers, was a
its noble rider, who were thought of as a single creature, ide-
mythology of ambivalence, of the coincidence of opposites,
ally a kind of centaur. The horse transferred its freedom and
but the powers in question were different. The stallion came
nobility to its rider, even as the ancient Indian stallion trans-
to symbolize not only death (as had the mare) but also re-
ferred these qualities to the king during the sacrifice. Thus
birth, not only the taming of the wild (as had she) but also
Saint George, always mounted on a white horse, kills the very
complete freedom from all social bonds.
dragon that is, as has been seen, a variant of the demonic un-
Plato likened the human soul to a charioteer who had
derwater mare, the shadow side of the white stallion itself;
harnessed two horses to his chariot, one pulling him toward
and medieval equestrian imagery placed not only knights and
brutish sensuality, the other to a higher spiritualism; and, be-
kings but princes of the church on horseback, to symbolize
fore Plato, the Indian Upanisads had likened the senses to
all that was not only noble, but divine.
horses that must be controlled if they are not to remain vi-
The horse carried humanity from earth to heaven. In
cious and wild. The locus of this taming is the mouth of the
India and Greece, as well as in medieval Europe, one reads
horse, whence are derived such metaphors as “to bridle,” “to
of princes who are lured by white stags (or white swans, or
curb,” “to take the bit between the teeth,” and so forth. The
white horses, or unicorns) from the safe territory of the royal
horse’s mouth was therefore seen as the point of dangerous
parks to the thick of the forest, to the Other World, where
interaction. This notion is a misconception (for, as every
they may meet their princess or encounter their dragon (or
horseman knows, although horses can indeed bite, it is the
both, or both in one). The many tales of winged horses, as
other end of the horse that poses the real danger, and horses
well as the conflation of horse and bird, often transform this
are in any case strict vegetarians); nevertheless, it is the source
horizontal voyage into a vertical flight. Not until the advent
of the many myths in which horses devour people, myths in
of photography in the mid-nineteenth century did people
which doomsday flames come out of the horse’s mouth (or
come to realize that a galloping horse did not actually fly,
nostrils). That the mouth of the mare is believed to be dan-
with forelegs stretched forward and hindlegs backward, and
gerous is an instance of the projection of aggression, assum-
even then galloping continued to feel like flying. In many of
ing that she will injure you with the organ where you have
the shamasitic myths of Inner Asia, China, and India, the ini-
injured her (through the bit).
tiate mounts a white horse and is suddenly carried off, out
In Christian mythology, doomsday appears as the four
of control, into the world of the gods, where the initiation
horsemen of the apocalypse, or the rider on the white horse;
takes place. Thus the horse leads humankind from the world
in India, death becomes incarnate as the centaur or white
of the tame to the world of the wild, the magic, supernatural
horse named Kalki, an avatar of Vis:n:u who will usher in the
world of the gods.
final Kali Age and the end of the world. This is the image
This symbolism found its expression in the mythology
captured in Peter Schaffer’s play Equus, in which an adoles-
of the American West, where the magnificent white mustang
cent boy confuses together in his fantasies the tortured
who can never be caught stands on the mountains with the
mouth of the horse-god that he rides naked in sexual ecstasy
wind lifting his mane, symbolizing all that is wild and free.
and the tortured head of Christ bridled in his crown of
Yet the stallion is caught, to become the alter ego (in India
thorns. And it is the image that begins James Joyce’s famous
one would say the vehicle, or vahana) of the cowboy, who
poem:
comes himself to represent the last bastion of male free-
I hear an army charging upon the land
dom—freedom from sexuality (the cowboy rides alone, like
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HORUS
Lancelot, whose chastity was his power), from the law (for
fought with Seth, and, despite the loss of one eye in the con-
even the lawmen tend to be mavericks, and the outlaws are
test, was successful in avenging the death of his father and
good outlaws), but most of all from being tamed or “fenced
in becoming his legitimate successor. Osiris then became
in.”
king of the dead and Horus king of the living, this transfer
Humankind can never entirely succeed in taming the
being renewed at every change of earthly rule. The myth of
horse. This is the charm and the challenge of any intimate
divine kingship probably elevated the position of the god as
association with a wild animal, that it retains some measure
much as it did that of the king. In the fourth dynasty, the
of its wildness. But the horse untames humans, transferring
king, the living god, may have been one of the greatest gods
to them—or, one might say, sacrificing for them—some of
as well, but by the fifth dynasty the supremacy of the cult
its own wildness and freedom.
of Re, the sun god, was accepted even by the kings. The
Horus-king was now also “son of Re.” This was made possi-
ble mythologically by personifying the entire older genealogy
BIBLIOGRAPHY
A good overview of the history of the horse in human culture is
of Horus (the Heliopolitan ennead) as the goddess Hathor,
provided by Anthony Austen Dent’s The Horse through Fifty
“house of Horus,” who was also the spouse of Re and mother
Centuries of Civilization (New York, 1974). Much of the ma-
of Horus.
terial on the myths and rituals of the horse in India, Greece,
Horus was usually represented as a falcon, and one view
and Ireland that I have used in the article above has been
of him was as a great sky god whose outstretched wings filled
condensed from pages 149–282 of my Women, Androgynes,
the heavens; his sound eye was the sun and his injured eye
and Other Mythical Beasts (Chicago, 1980), which, in turn,
draws upon several basic studies of indo-European equine
the moon. Another portrayal of him particularly popular in
symbolism (in addition to the primary texts reproduced and
the Late Period, was as a human child suckling at the breast
analyzed therein): the writings of Georges Dumézil, particu-
of his mother, Isis. The two principal cult centers for the
larly “Derniers soubresauts du Cheval d’Octobre,” in his
worship of Horus were at Bekhdet in the north, where very
Fêtes romaines d’été et d’automne (Paris, 1975), pp. 111–168,
little survives, and at Idfu in the south, which has a very large
177–219. Paul Émile Dumont’s L’asvamedha (Paris, 1927);
and well-preserved temple dating from the Ptolemaic period.
Jean Gricourt’s “Epona-Rhiannon-Macha,” Ogam 6 (1954):
The earlier myths involving Horus, as well as the ritual per-
22–188; Wilhelm Koppers’s “Pferdeopfer und Pferdekult
formed there, are recorded at Idfu.
der Indogermanen,” Wiener Beiträge zur Kulturgeschichte und
Linguistik 4 (1936): 279–411; Françoise Le Roux’s “Recher-
B
ces sur les éléments rituels de l’élection royale irlandaise et
IBLIOGRAPHY
Alliot, Maurice. Le culte d’Horus à Edfou au temps des Ptolémées.
celtique,” Ogam 15 (1963): 123–137; and two articles by
Institut Français d’Archeologie Orientale, Cairo, Bibliothè-
Jaan Puhvel, “Vedic asvamedha and Gaulish IIPOMIID-
que d’Étude, vol. 20, pt. 1. Cairo, 1949.
VOS,” Language 31 (1955): 353–354, and “Aspects of
Equine Functionality,” in Myth and Law among the Indo-
Griffiths, J. Gwyn. The Conflict of Horus and Seth from Egyptian
Europeans, edited by Jaan Puhvel (Berkeley, 1970). For pre-
and Classical Sources. Liverpool, 1960.
historic images of the horse, see André Leroi-Gourhan’s arti-
LEONARD H. LESKO (1987)
cle “Préhistoire,” in Dictionnaire des mythologies, edited by
Yves Bonnefoy (Paris, 1981); for horses in Britain, see An-
thony Austen Dent and Daphne Machin Goodall’s The Foals
of Epona (London, 1965); and for the Irish Táin, Thomas
HOSEA, or, in Hebrew, HosheEa (mid-eighth century
Kinsella’s translation, The Tain, Translated from the Irish
Epic “Tain Bo Cuailnge” (Oxford, 1970).
BCE), was a Hebrew prophet whose words are recorded in the
biblical Book of Hosea. Hosea prophesied during the reign of
New Sources
Jeroboam II of the northern kingdom of Israel (787/6–747/6
Hausman, Gerald. The Mythology of Horses: Horse Legend and Lore
BCE), which was a period of economic prosperity and politi-
Throughout the Ages. New York, 2003.
cal stability. There are, however, a number of allusions in the
WENDY DONIGER (1987)
book to either war (5:8ff.) or political anarchy (7:1ff., 10:3,
Revised Bibliography
13:10–11), which may suggest that Hosea continued to
prophesy until the fall of Samaria in 722. This fits well with
the superscription’s list of the Judahite kings (Uzziah,
HORUS. In ancient Egypt there were originally several
Jotham, Ahaz, and Hezekiah) during whose reigns Hosea
gods known by the name Horus, but the best known and
prophesied. Hosea’s prophetic emphasis is mainly on domes-
most important from the beginning of the historic period
tic affairs, especially the cultic situation.
was the son of Osiris and Isis who was identified with the
HOSEA’S MARRIAGE AND HIS PROPHETIC MESSAGE. The
king of Egypt. According to myth, Osiris, who assumed the
information on Hosea’s background is minimal. There is in-
rulership of the earth shortly after its creation, was slain by
formation, however, about a unique personal experience in
his jealous brother, Seth. The sister-wife of Osiris, Isis, who
his life, a peculiar marital episode. God had commanded
collected the pieces of her dismembered husband and revived
Hosea to marry a harlot, one Gomer, daughter of Diblaim
him, also conceived his son and avenger, Horus. Horus
(1:3), who bore him two sons and one daughter. This mar-
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HOSEA
4137
riage and its consequences, interpreted in religio-theological
thus have been protesting against a cult of fertility that in-
terms, form the major theme of chapters 1–3. The story of
volved sacred harlots and was practiced in his own agricultur-
the marriage is told twice. The first account (chap. 1) is in
al society. Hosea also called to renew the berit between Israel
the third person, while the second (chap. 3) is reported di-
and God. Many scholars translate berit as “covenant” and re-
rectly by Hosea. The significance of Hosea’s marriage to a
ject the existence of the concept of formal covenant between
harlot and the text’s repetition of the story of this marriage
God and Israel prior to the later appearance of the Deuteron-
have been major issues in research on Hosea. Should God’s
omistic school. Nevertheless, berit occurs in Hosea at least
order to “go, take to yourself a wife of harlotry and have chil-
five times (see especially 6:7 and 8:1) and may be understood
dren of harlotry” (1:2) be read literally or only as a metaphor
in terms of faithful marriage, as the context of Hosea’s
for the nation’s religious attitude, with Hosea the faithful
prophecy suggests.
husband representing God, and Gomer the unfaithful wife
HOSEA AND EARLIER TRADITION. Hosea is opposed to fun-
representing Israel? Is a “harlot” defined as a professional
damental institutions of his society. He criticizes the priests
prostitute or as a sacred prostitute (cf. Amos 2:7)? There are
(4:4–10) as well as the political leaders and even the mon-
no clear answers to these questions. One should not ignore,
archs of his kingdom.
however, the prophets’ tendency to dramatize events literally
Where now is your king, to save you;
(e.g., Is. 20:2, Jer. 28:10, Am. 8:1–3) and therefore the possi-
where are all your princes, to defend you—
bility that Hosea married a harlot (professional or sacred) to
those of whom you said, “Give me a king and princes”?
symbolize the content of his message. The root znh
(“harlotry”) appears no fewer than nineteen times in his
I have given you kings in my anger,
prophecy, always in key passages. Hosea’s personal experi-
and I have taken them away in my wrath. (13:10–11,
ence is thus the paradigm of his prophetic message that Israel
RSV)
has betrayed God. The relationship between God and Israel
He is the only prophet to anchor his reservations about kings
is like that between man and woman, husband and wife,
in ancient antimonarchical traditions (see 1 Sm. 8:5ff.).
where Israel is the unfaithful wife and God the loving and
Hosea’s disappointment in the kings of Israel may also mir-
forgiving husband, who calls to his wife to repent and come
ror the political situation that followed the death of Jerobo-
back to him (see 2:14ff. [Masoretic text 2:16ff.]). The names
am II. Jeroboam’s son Zechariah ruled for six months and
of Hosea’s three children, dictated to him by God, further
was assassinated by Shallum, who governed for just one
express his prophetic message. The elder son is called Jezreel
month and was killed by Menahem (2 Kgs. 15:8ff.). Two
because “I will punish the House of Jehu for the blood of
other Israelite kings were also assassinated before the fall of
Jezreel” (see 1 Kgs. 19:15–17; 2 Kgs. 9–10) and “I will put
the kingdom, for a total of four out of six kings murdered
an end to the kingdom of the house of Israel” (Hos. 1:4). His
within approximately twenty-five years.
daughter is named Lo D-ruh:amah (“not pitied”), “for I will no
Hosea does not see himself as an innovator. He speaks
more have pity on the house of Israel” (1:6), and the younger
for and identifies himself with the long prophetic tradition
son is called Lo D- Eammi (“not my people”), “for you are not
that started with Moses (12:13 [MT 12:14]; see also 6:5, 9:7,
my people and I am not your God” (1:8).
12:10 [MT 12:11]). He has no illusions about the effect of
No other prophet has portrayed the relationship be-
his address, as he points out in 9:7: “The prophet is a fool,
tween God and the people of Israel in such rich images of
the man of the spirit is mad.” But he does not withdraw, re-
harlotry and vivid descriptions of the unfaithful wife. Indeed,
garding himself as “the watchman of Ephraim” (9:8), follow-
the key words of Hosea’s message are words that connote “fi-
ing prophetic tradition (cf. 3:17ff.). (In Hosea this tribe’s
delity” (h:esed; 4:4, 6:4, 6:6), an emotional relationship with
name is often used for the entire northern kingdom.) He is
God (da Eat Elohim; 4:1, 6:6) and repentance (shuvah; 6:1,
familiar with traditions about the patriarch Jacob—his birth
6:11, 7:10, 12:7).
(Hos. 12:3 [MT 12:4]), his struggle with the angel (12:4
[12:5]), his devotion to his beloved wife Rachel, and his
Hosea’s protestations against the unfaithful marriage
flight from the land of Aram (12:12 [12:13]). He refers to
also raise questions as to the nature of the Israelite religion
the period of the Exodus (2:15 [2:17], 11:1, 13:4); to Moses,
of this time, because the Hebrew word for “husband,” ba Eal,
the prophet who brought Israel up from Egypt (12:13
also connotes the chief Canaanite god. Thus, a renewed rela-
[12:14]); and to Israel’s unfaithful behavior in the desert at
tionship of fidelity between God and Israel will be expressed
BaEal-peEor (9:10; see Nm. 25:1–18), when God punished
in new terms for marital relationships: “And in that day, says
the people by means of a plague for committing cultic-sexual
the Lord, you will call me ‘my man’ [ Dishi], and no longer
sins. Hosea even refers to a certain version of the Decalogue
will you call me ‘my husband’ [ba Eali]” (2:16 [MT 2:18]).
(4:2; cf. Jer. 7:9). But he also emphasizes God’s care of the
Scholars call attention to the possibility of religious syncre-
Israelite people in the desert (13:5). Thus he shows that Isra-
tism that may have taken place in Israel. Archaeological find-
el’s relationship with God has a long history, yet the people
ings in Kuntillet EAjrud in Sinai may indicate that a cult of
have ignored the ancient traditions that demonstrate God’s
Yahveh, with Baal as either an alternative name or a co-god,
devotion and commitment. For him, fulfillment of the moral
existed toward the end of the ninth century BCE. Hosea may
commandments is the ultimate condition for the survival of
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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HOSPITALITY
the land and its people (4:3), for this constitutes faithfulness
Chapters 4–14 are a compilation of poetic orations, and
to this relationship with God.
determining each prophetic speech unit is sometimes diffi-
LANGUAGE, STRUCTURE, AND AUTHORSHIP. Hosea’s identi-
cult. In light of the stylistic differences and the personal ap-
fication with the prophetic tradition as well as certain lin-
proach of chapters 1–3, it has been suggested that two differ-
guistic affinities with Deuteronomy suggest that his ideas and
ent books composed by two prophets were combined.
language influenced the Deuteronomic ideology and termi-
However, the intense imagery of harlotry, the motif of repen-
nology. It may be that after the fall of Samaria, either Hosea
tance, and the return of the wife to her husband dominate
himself or his disciples moved to Jerusalem, where his
the second part of the book as well and thus suggest that the
speeches were collected and preserved. Hosea’s portrayal of
entire book is Hosea’s composition.
God and Israel as husband and wife is also reflected in the
In contrast to many other prophetic books, most of the
prophecy of Jeremiah (cf. Jer. 2:17ff., 3:1ff.), who was very
material in Hosea has been assigned by scholars to Hosea
familiar with the style of the Deuteronomist.
himself or to his close disciples, except verses such as 1:7 and
Hosea was a great poet, a master of language; his verses
3:5, which may reflect a redaction in terms of a Judahite sal-
in 11:8–9 are among the most moving lines in the prophetic
vation eschatology. The various historical allusions (which
literature. His language is a mixture of prose and poetry. His
are not always readily obvious), such as the Syro-Ephraimite
verses are longer than is typical and often break the symmet-
war (5:8ff.), and 13:9–16, which may refer to a military oc-
rical pattern of parallelism, enabling the isolation and em-
cupation toward the end of the existence of the northern
phasis of a specific idea through the device of climax.
kingdom, may suggest that the book was edited into chrono-
logical order.
What shall I do with you, O Ephraim?
What shall I do with you, O Judah?
BIBLIOGRAPHY
Your love is like a morning cloud, like
Andersen, Francis I., and David Noel Freedman. Hosea. Anchor
Bible, vol. 24. Garden City, N.Y., 1980.
the dew that goes early away.
Mays, James Luther. Hosea: A Commentary. Philadelphia, 1969.
Therefore I have hewn them by the prophets,
I have slain them by the words of my mouth,
Ward, James M. Hosea: A Theological Commentary. New York,
and my judgment goes forth as the light.
1966.
Wolff, Hans Walter. Hosea. Edited by Paul D. Hanson and trans-
For I desire steadfast love and not sacrifice,
lated by Gary Stansell. Philadelphia, 1974.
the knowledge of God, rather than burnt offerings.
(6:4–6, RSV)
New Sources
Macintosh, Andrew Alexander. A Critical and Exegetical Commen-
No other prophet employs so many figures of speech, espe-
tary on Hosea. Edinburgh, 1997.
cially simile, as Hosea. He may use a series of similes to create
a single long poetic image, as in developing the figure of the
Mondini, Umberto. Introduction to the Minor Prophets. Rome,
2000.
oven in 7:4ff. He refers to God as a lion (5:14), a leopard
(13:7), and a bear (13:8), images that illustrate his effort to
Nwaoru, Emmanuel O. Imagery in the Prophecy of Hosea. Wiesba-
attract his audience’s attention in an unconventional way
den, 1999.
and to deliver his message as effectively as possible.
Oestreich, Bernhard. Metaphors and Similes for Yahweh in Hosea,
14:2–9 (1–8): A Study of Hoseanic Pictorial Language. Frank-
Hosea’s language is complicated, however, and every
furt am Main and New York, 1998.
study of the book struggles with the difficulties of the text.
The language, especially beginning with chapter 4, is very
Teornkvist, Rut. The Use and Abuse of Female Sexual Imagery in
often puzzling. Perhaps the text has been poorly transmitted,
the Book of Hosea: A Feminist Critical Approach to Hos 1–3.
Uppsala, 1998.
or, as some scholars suggest, perhaps Hosea speaks in a
northern dialect, which may sound odd to the modern reader
YEHOSHUA GITAY (1987)
of the Hebrew Bible, who is used to the Judahite style.
Revised Bibliography
The Book of Hosea is divided into two major parts: chap-
ters 1–3 and 4–14. The first part includes three literary
genres: biography (chap. 1), autobiography (chap. 3), and
HOSPITALITY. The word hospitality is a translation of
prophetic speech (chap. 2). There have been discussions con-
the Latin noun hospitium (or the adjective hospitalis), which
cerning the chronological order of these chapters, with some
in turn derives from hospes, meaning both “guest” and
scholars suggesting that chapter 3 precedes chapter 1, so that
“host.” Behind this double connotation is the Greek concept
the biography (chap. 1), which develops the theme of the
of the xenos, the stranger who receives a welcome or, less fre-
marriage, elaborates Hosea’s personal account. Others, who
quently, acts as a welcomer of others. A great many cultures
attempt to preserve the present order, point to the words “Go
attach religious and ethical value to the establishment of
again, love a woman” (3:1), which may indicate that chapter
friendly exchanges between those who view one another as
3 refers to a second marriage and not to Gomer.
different—in rank, race, or tribe—and, therefore, potentially
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HOSPITALITY
4139
dangerous. In order to provide a focus for interpreting the
one table and have said over it words of Torah are as if they
diverse traditions that relate to this subject, the present entry
had eaten from the table of God”; Avot 3.4). Similar
concentrates upon the prescribed behaviors for guests and
thoughts occur in New Testament stories where Jesus and
hosts, particularly at meals, and the reasons (whether stated
Paul receive material hospitality as guests but then demon-
or implied) for these mores.
strate by their words and actions that they are agents of God’s
kingdom, blessing their hosts with divine gifts. (Luke 24:28–
Pictures of hospitality abound in the Iliad and the Odys-
35; Acts 20:6–12; 28:7–9).
sey. Indeed, the practice of hospitality can be perceived as a
cardinal virtue among the Homeric characters. Odysseus, the
Jesus in particular is seen as one who welcomes sinners
great wanderer, is praised for his exemplary hosting (Homer,
and marginal people (Matt. 11:19; Luke 15:1–2); typically
Odyssey 1.176). In both epics hospitality represents that as-
the gospels picture him doing this at meals to which he has
pect of fearing the gods that creates a readiness for reciprocal
been invited as a guest (Mark 2:15ff.; Luke 7:36–50;19:1–
relationships with strangers. Those who do not attain such
10). The major exception is what Christians have come to
openness are deemed barbarians (Odyssey 6.120ff.). Con-
call the last supper, a meal during the week of Passover, just
versely, a single act of welcoming on the part of one family
before Jesus’ death, when he initiates a guest-meal for his dis-
group toward another, usually by means of a meal, can result
ciples. In the Synoptic Gospels Jesus blesses bread and wine
in a bond of friendship that lasts for generations (Iliad
at this meal with words relating them to his body and blood.
6.215ff.). Thus, hospitality is an eminently practical virtue;
For Christians, this event is usually seen as the institution or
through gift exchanges and the sharing of food or shelter,
forerunner of the Eucharist or Lord’s Supper, which often
peace and harmony are achieved in what would otherwise be
functions today as a welcoming ritual but also, in some
a chaotic world.
branches of the church, as a means of self-definition that ex-
cludes nonmembers. According to the Fourth Gospel, the
In Greek epic tradition, the gods themselves sometimes
last supper featured a special act of hospitality by Jesus: the
put on human disguises and assume the role of guests. On
humble washing of his disciples’ feet followed by an exhorta-
those occasions when they are welcomed, they respond with
tion to perform this act for one another (John 13:1–14).
good news (Odyssey 1.180ff.) or extraordinary gifts (Ovid,
Metamorphoses 8.678ff.). In this reciprocity there exists a link
In Islam, the fundamental notion underlying the theory
with the ancient bedouin tradition concerning Abraham’s
and practice of hospitality is protection. This is expressed in
gracious reception of three strangers by the Oaks of Mamre
the Arabic term djiwar, which denotes neighborliness or the
(Gn. 18:1ff.). The strangers are variously understood to be
granting of refuge to wayfaring strangers and resident visitors
human messengers, angels, or, in later Christian thought, the
who are not members of one’s own tribe. Such practices
Trinity. Thus, icons of the orthodox churches depict Abra-
could have their origin in the bedouin conviction that guest
ham’s philoxeny, or love of strangers, as the believer’s enjoy-
and host alike (the Arabic word dayf, like xenos, refers to
ment of communion with the divine presence. In the biblical
both) stand at the mercy of a hostile environment and must
story, Abraham’s guests respond to the lavish banquet that
adhere to firm rules for the sharing of necessities to ensure
he and Sarah have prepared for them with the miraculous
their common survival. Foremost among these rules is a cus-
news that Sarah, advanced in years like her husband, will
tom according to which travelers may count on receiving
soon bear a son, Isaac. It is not surprising that in rabbinic
food and lodging from a given host for three days. At the end
Judaism, early Christianity, and Islam, Abraham becomes a
of this period, they are expected to continue their journey
kind of patron saint of hosts. Enmeshed in this tradition is
unless unusual circumstances intervene (see also the early
the premise that hospitality merits a reward from God and
Christian writing Didach¯e 11–12). From this fundamental
must therefore be encouraged. One version of the premise
rule, refinements of hospitality evolve. Hosts who are espe-
occurs in Matthew 25:33ff., where Jesus appears as the judge
cially virtuous prevail upon their guests to stay longer, and
of all nations and announces that hospitable acts performed
they emerge from their tents to welcome passing strangers.
for the least of his brothers and sisters have actually been
Some hosts furnish provisions for their guests when they re-
done for him and that, moreover, the end result of these acts
sume their journeys and even escort them on their way.
is the opening up of God’s kingdom to those who have un-
dertaken them. The special vocation of Christian monastics
Articulations of hospitality that are explicitly religious
to care for strangers and the needy, in part through the
occur with regularity. For example, proximity to a sacred
founding of hospitals, may be understood as an attempt to
place is thought to confer protection; and it is said that when
embody this teaching.
one becomes a Muslim, one is henceforth God’s djar (pro-
tected neighbor). Perhaps it is this trust in God’s care that
Rabbinic Judaism sometimes employs hospitality as a
stimulates Islamic practitioners of hospitality to extend such
metaphor for the teaching and learning of Torah (“Let thy
largess to their guests. H. R. P. Dickson reported that in the
house be a place of meeting for the wise, and dust thyself
1920s he was greeted by a number of Saudi Arabian hosts
with the dust of their feet and drink their words with thirst”;
with this couplet: “O Guest of ours, though you have come,
Avot 1.4). Sometimes hospitality is thought to be blessed by
though you have visited us, and though you have honored
the bestowal of God’s presence (“Three who have eaten at
our dwellings / we verily are the real guests, and you are the
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HOSPITALITY
Lord of this house” (Dickson, 1951, p. 118). A story from
to be praised. In addition to portraying Gautama’s extraordi-
about this same period concerns the German diplomat Leo-
nary compassion, this story illustrates a constant theme in
pold Weiss who is reputed to have converted to Islam as a
Buddhist depictions of hospitality: whenever hosts share
result of reflection on a guest-meal. When a poor bedouin
food with guests, especially when the guests are monks or re-
traveling with him aboard a merchant ship brought out his
vered teachers, merit accumulates for all parties.
millet bread and olive oil and insisted on sharing half of it
with Weiss, he was overcome with the man’s generosity and
In Therava¯da Buddhism, no ritual acts as such are pre-
wanted to know more about his religious convictions (Islamic
scribed. In the canonical texts, however, two public occasions
Voice, November 2000). Whether intended or not, the prac-
of a religious nature are presupposed: the feeding of monks
tice of hospitality often becomes a missionary gesture.
and preaching. In Sri Lanka, these are often combined in an
event called the pinkama (“act of merit”), during the course
In Hinduism of the classical period and, to a lesser ex-
of which a da¯né (gift-meal) is provided, usually by laypeople,
tent, Hinduism today, practices of hospitality are shaped pri-
and ban:a (preaching) or pirit (recitation of sacred texts) is
marily by the caste system and the fourfold stages of life
contributed by the monks. These events may be large festal
through which an individual (i.e., student, householder, her-
gatherings at temples, private visits by monks to the house-
mit, or homeless wanderer) passes. According to some of
holds of laypeople, or funeral meals attended by families and
Hinduism’s oldest sacred texts, members of one caste may
friends. The common feature of all of them, however, is the
not interdine with those of another. Under this constraint
transferring of merit, which is accomplished when a host ex-
the basic foundation for mutuality between strangers, uti-
presses his wish that the benefits of the food and drink being
lized by most cultures, is eliminated. Nevertheless, Hindu-
served might accrue to others who are not visibly present.
ism recognizes an alternate code of hospitality whereby the
Normally, gods, dead relatives, or pretas (homeless, hungry
brahman (Skt., bra¯hman:a), or member of the priestly caste,
spirits) are named, but in the popular understanding merit
accepts food from members of other castes (under carefully
transferred at a pinkama also contributes toward the enlight-
prescribed conditions) in return for spiritual services, espe-
enment of its ordinary human guests. Indeed, according to
cially the reciting of the Vedas. Moreover, brahmans are en-
the “perfection of donation” tradition in Maha¯ya¯na Bud-
joined to be generous hosts to members of other castes, albeit
dhism, a bodhisattva may reassign the merit produced by his
at separate tables and after their fellow brahmans have been
giving so that it benefits every living creature. The merit itself
provided for (Laws of Manu 3–4). The lowest caste, the
is then conceived of as food, for the bodhisattva vows: “I turn
´su¯dra, is understood to be servant to the other three, al-
over into full enlightenment the meritorious work founded
though the higher castes must see to the basic material needs
on jubilation. May it feed the full enlightenment (of myself
of the lowest (Maha¯bha¯rata 12). In general, brahmans are to
and of all beings)” (As:t:asa¯hasrika¯ 6.138; trans. Conze, 1954).
assume the task of hosting the gods on behalf of other castes
In effect, the bodhisattva becomes host to the entire universe.
by offering sacrifices of food.
One sees in this vow a conviction that everyone associat-
With regard to the fourfold stages of life, householders
ed with feeding events will experience spiritual gain. Some-
and hermits are the chief host figures, while students and
times the gain is equated with a convivial happiness among
homeless wanderers typically play the role of guests. In all
the guests, which earns them even more merit than that
encounters between individuals an exchange of spiritual and
achieved by the host. Thus, Richard F. Gombrich reports
material gifts is expected, although not necessarily at large
that a priest in Ceylon (Sri Lanka), who had spent five thou-
common meals. All gifts are reproductive to the donor; that
sand rupees on a pinkama, told him how any villager re-
is, they bring an increase during one’s present life and/or in
sponding to this meritorious act with sympathetic joy could
subsequent reincarnations. Gifts of food in particular exer-
accumulate more merit than the priest—and without spend-
cise special influence over an individual’s karman. Indeed,
ing any money (Gombrich, 1971, p. 226). One may con-
“one is reborn in the other world with the nature of those
clude then that for Buddhists hospitality in the form of the
whose food one accepts, or of those whose food is in one’s
guest-meal typically functions to extend compassion;
stomach, or with the nature of the food itself” (Mauss, 1954,
through the meal an endless process toward universal en-
p. 126). Today some of Hinduism’s ancient societal barriers
lightenment is initiated.
no longer prevail, and a number of castes that had tradition-
ally maintained strict separation from one another practice
In Confucian thought and practice, represented by doc-
interdining when it is perceived to be in their common social
uments dating from the Zhou dynasty (c. 1150 BCE to 256
and economic interests.
BCE), gatherings for the sharing of food and drink are occa-
sions that honor the natural distinctions between individuals
Tradition has it that as the Buddha lay dying at the
or groups and at the same time provide opportunities for a
home of Cunda the smith, who had served him poisonous
decent, orderly communion among all the participants.
mushrooms by mistake, he ordered his disciples to tell the
When those involved follow the prescribed rites, harmony
grieving host that he must not feel guilty about the demise
is achieved, and this harmony has cosmic as well as societal
of his guest. On the contrary, said Gautama, Cunda’s meal
implications. According to Marcel Granet’s reconstruction
had granted him final passage to nirva¯n:a and therefore ought
of the ancient Ba Zha agricultural festival, all those present
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HOSPITALITY
4141
were divided into two groups, one acting as hosts, the other
of a common bowl before the image of Bodhidharma, the
as guests. These two groups embodied all the opposing forces
order’s Indian founder.
of the universe (e.g., yin and yang), which produce great
The Way of Tea or chado reached Japan in the ninth
blessings when they meet under the proper conditions. Simi-
century CE through the monk Eichu, who returned to his
lar types of ritual meetings for the sake of harmony are the
homeland after studying with Chinese Buddhists. Later, Zen
community drinking ceremony, as pictured in Xunzi’s de-
Buddhists added most of the distinctive features of the cere-
scription; the elaborate protocols for state visits and feasts
mony as we know it today, including the philosophy of hos-
transmitted by the authors of the Yili (Book of etiquette and
pitality underlying it. The sixteenth-century Zen master Sen
ceremonial) and the family ancestor festivals, during which
Rikyu¯ is reputed to have stated that “through concentrating
the living and the dead are united through offerings of food.
on chanoyu both guests and hosts can obtain salvation,” by
By means of such offerings, the dead are aided in their jour-
which he probably meant satori (Anderson, 1991, p. 53). In-
ney to the Western Heaven of Happiness, and the living are
deed, Rikyu¯ gave a privileged place to the tea ceremony as
enabled to appropriate their merit. Thus, everyone benefits
a vehicle by which all participants could attain enlighten-
from the common feast.
ment. In performing the intricate duties prescribed for them,
The potlatch assemblies of the American Indians of the
guests and hosts are thought to disclose and even create per-
sonal tranquility and harmony with nature. Today many
Northwest Coast appear to be altogether different from Con-
practitioners hold that when the ceremony is done well, ev-
fucian ceremonies in character and purpose, for their chief
eryone present is able to “participate fully in a cooperative
visible feature is an almost orgiastic competition in gift giv-
act of ritual world maintenance” (Anderson, 1991, p. 8).
ing, which obligates guests to hosts and virtually enforces role
reversals at future meals for fear of losing face. Tribal and in-
By way of summary, it may be noted that in virtually
dividual statuses are determined by the ability to give every-
all the cultures and traditions examined above, hospitality,
thing away in ritual acts of consumption or destruction.
especially when it takes the form of the guest-meal, is marked
Nevertheless, as Marcel Mauss has shown in his classic work
by exchanges of spiritual goods along with the sharing of
on gift exchanges among archaic peoples, even the radical
food and drink. These exchanges frequently have the effect
potlatch (the literal meaning of which is both “nourish” and
of multiplying blessings or merit for the participants beyond
“consume”) becomes a form of acting out natural laws, ac-
the sum total of resources brought by the guests and hosts.
cording to which a reciprocal flow of giving and receiving
Indeed, some cosmic progress is effected. Often gods, dead
between those of different ranks must occur in order to pre-
relatives or founding figures, and forces of nature are thought
serve society. Guests and hosts are seen to be deeply linked
to be present at the meal. When this happens, their influence
with each other in a cosmic order that requires them to
is felt, typically as a communion or productive alliance with
change their roles periodically so as to ensure proper redistri-
the deeper forces of the universe. In many ways hospitality
butions of wealth and value (Mauss, 1967, pp. 31–45).
shows itself to be a universal force for good, at least when
However much the potlatch differs from its Chinese coun-
it is practiced without guile. In the wide variety of cultures
terparts in matters of decorum, it resembles them in em-
studied here, guest-host events nearly always serve to pro-
bodying a basic harmony. For potlatch societies, however,
mote an honoring of the “other,” even when that other seems
that harmony is one of great flux.
strange or hostile. Host figures are generally perceived to be
both powerful and magnanimous, while guests are often ex-
All guest-host events within the life of religious commu-
pected to be bearers of gifts and, in some cultures, divine
nities involve a certain degree of ritual activity, even when
messengers (Heb. 13:2). One can even speak of hospitality
spontaneity is prized. Sometimes the rituals evolve into elab-
as a catalyst for virtues. Generosity, gratitude, humility, and
orate liturgies, as in celebrations of the Eucharist or Lord’s
openness to peaceful relationships among parties otherwise
Supper among members of the more catholic branches of
suspicious of one another characterize many guest-host
Christianity. Even more stylized forms of hospitality are
events.
found in practices associated with the Japanese tea ceremony
or chanoyu, the origin of which can be traced to ancient
SEE ALSO Gift Giving; Potlatch.
China. The sharing of tea by sages is recounted in an old leg-
end concerning the Daoist master Laozi. Upon accepting an
BIBLIOGRAPHY
invitation to tea from a mountain hermit, the former rewards
Perhaps the best overall work for understanding hospitality as a
his host with a copy of the Dao de jing. Here again hospitality
religious phenomenon remains Marcel Mauss’s The Gift:
functions to promote gift exchanges, as well as a certain de-
Forms and Functions of Exchange in Archaic Societies, translat-
gree of equality. While Confucian officials used tea ceremo-
ed by Ian Cunnison (Glencoe, Ill., 1954; New York, 1967).
Originally published in 1925, Mauss’s seminal essay gives
nies to solidify status and hierarchical order in society
considerable attention to the roles of guests and hosts at
through insuring that only those recognized as the greatest
meals and to the religious conceptualizations of these in a
could be hosts, more egalitarian practices prevailed among
number of cultures. For an understanding of Buddhist views
Chinese Buddhists, especially those of the Chan group.
on hospitality, particularly as they occur in present-day
These apparently involved rituals in which monks drank out
Therava¯da Buddhism, Richard F. Gombrich’s field-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
4142
HOTTENTOTS
work, Precept and Practice: Traditional Buddhism in the Rural
out the complex articulation of art, myth, choreography, and
Highlands of Ceylon (Oxford, 1971), proves invaluable. Also
social organization that characterizes them. In documenting
useful are the texts and interpretations provided in Buddhist
these vital aspects of sequence and articulation, Howitt dis-
Texts through the Ages, edited by Edward Conze, I. B.
played an intuitive grasp of the structural considerations
Horner, David Snellgrove, and Arthur Waley (New York,
stressed around the turn of the century by the French com-
1954). With regard to Hinduism, the collected papers of
paratists—by Arnold van Gennep in analyzing rites of pas-
Louis Dumont, published as Religion, Politics, and History in
sage and by Henri Hubert and Marcel Mauss in analyzing
India: Collected Papers in Indian Sociology (Paris, 1971), fur-
nish a helpful sociological perspective on guest-host relation-
sacrificial rites. Another of Howitt’s services was to show how
ships. John Koenig’s New Testament Hospitality: Partnership
widespread in the Southeast, and how essential to the intelli-
with Strangers as Promise and Mission (Minneapolis, 1985;
gibility of the ceremonies, was belief in the powerful sky spir-
Eugene, Ore., 2001) contains information on spiritual con-
it he named the All-Father.
ceptualizations of hospitality in early Christianity and rab-
In addition to his obvious importance as recorder of a
binic Judaism. For Islamic practices of hospitality, especially
now-vanished way of life, Howitt is noteworthy for his urge,
those based on bedouin traditions, one may consult
H. R. P. Dickson’s sharp-eyed account of his experiences in
at that early date in the history of Australian anthropology,
Kuwait and Saudi Arabia, The Arab of the Desert, 2d ed.
to typify and generalize. It was no mean feat to see in the
(London, 1951). The story of Leopold Weiss’s encounter
Kuringal, Jeraeil, and many other ceremonies particular ex-
with Islamic hospitality occurs in the editorial “Living
amples of a general type, to classify all Aboriginal initiations
Islam,” in Islamic Voice, vol. 14-11, no. 167. Two works on
as belonging to either an eastern or a western type, or to per-
Chinese religion, Marcel Granet’s Festivals and Songs of An-
ceive the All-Father in such diverse mythic personages as
cient China, translated by E. D. Edwards (New York, 1932),
Baiame, Bunjil, Daramulun, Kohin, and Mungan-ngaua.
and Francis L. K. Hsu’s Under the Ancestors’ Shadow (New
York, 1948), deal specifically with the transcendent aspects
BIBLIOGRAPHY
of meals. An Introduction to Japanese Tea Ritual by Jennifer
Howitt published many articles and notes on aspects of Aboriginal
L. Anderson (Albany, N.Y., 1991) is an accessible source for
culture. Most were drawn upon, together with additional
the history, practice, and ideology of the ritual in its various
material, in his major work, The Native Tribes of South-East
forms.
Australia (London, 1904), which is the essential source for
JOHN KOENIG (1987 AND 2005)
an understanding of his anthropological contribution. Come
Wind, Come Weather (Melbourne, 1971) is a comprehensive
and readable biography of Howitt by his granddaughter,
Mary Howitt Walker. It includes several chapters on his
HOTTENTOTS SEE KHOI AND SAN RELIGION
work in geology and anthropology, as well as complete bibli-
ographies.
New Sources
HOWITT, A. W.
Seddon, George. The Ballad of Bungil Bottle: A. W. Howitt’s Explo-
(1830–1908), was an English-born
ration of the Mitchell River by Canoe in 1875. Churchill, Vic-
explorer, geologist, and amateur anthropologist who made
toria, 1989.
first-hand studies of Aboriginal life in southeastern Australia.
To the many aspects of indigenous culture that he described
KENNETH MADDOCK (1987)
Revised Bibliography
(social and political organization, as well as religion), Alfred
William Howitt brought a comprehensive and systematic ap-
proach. He did have blind spots, however. He doubted, for
example, whether Aboriginal beliefs in the supernatural were
HROTSVIT (c. 935–c. 1000, alternate spellings include
religious, apparently because of their remoteness from an ide-
Hrotswitha and Hrosvitha) was canoness in the Abbey of
ally conceived Christianity. One of his notable achievements
Gandersheim in tenth-century Saxony. Hrotsvit is known
was to show that prolonged and highly organized ceremonies
today as Europe’s first woman playwright, indeed the first
could be celebrated by people with a simple economy and
known dramatist of Christian Europe. Her six extant plays,
material culture.
written in rhymed Latin prose, offer a Christian response to
Howitt’s descriptions of human-making ceremonies
the Roman comedies of Terence (c. 190–159 BCE), incorpo-
(initiation rites) in Southeast Australia, such as the Kuringal
rating the traditions of medieval hagiography. Blending
and Jeraeil ceremonies, stand comparison with the renowned
comic intrigue and disguise motifs with conflicts between
studies of such rites in other parts of Australia made by Wal-
pagan and Christian values, Hrotsvit’s plays typically feature
ter Baldwin Spencer and Francis James Gillen. His studies
strong-willed female protagonists who undergo physical or-
are especially valuable, however, because Aboriginal beliefs
deals and achieve redemption. Hrotsvit also created a parallel
and ceremonies have become moribund in the Southeast,
sequence of eight poetic saint’s legends and two historical
whereas much traditional culture survives in the central and
verse epics.
northern parts of the continent. Howitt made it clear that
The appearance of such a figure in the “dark ages” of
ceremonies are ordered sequences of action, and he brought
the tenth century may seem surprising, but the social 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
HROTSVIT
4143
tellectual contexts of Hrotsvit’s life reveal that she grew up
the Hermit Abraham’s Niece (Abraham) a young novice in a
in privileged circumstances, at the height of what is known
nunnery runs off to become a notorious prostitute. Her
today as the Ottonian Renaissance. Only recently Christian-
uncle, a monk, disguises himself as a customer and confronts
ized, the Saxons became dominant in Germany in the tenth
her, winning her repentance. In a similar vein, The Conver-
century as inheritors of the empire of Charlemagne. The
sion of the Harlot Thaïs (Paphnutius) dramatizes the encoun-
daughters of the Saxon aristocracy not chosen for dynastic
ter of a monk and a prostitute. In this case, the harlot Thaïs
marriages were sent to nunneries to be educated and com-
is a secret Christian who gives up her jewels and gold for a
fortably housed in circumstances befitting their rank. Hrots-
foul-smelling cell in a cloister. The final drama in Hrotsvit’s
vit was such an aristocrat, closely related to the royal family,
sequence is The Martyrdom of the Holy Virgins Fides, Spes,
and Gandersheim was a uniquely rich and independent
and Karitas (Sapientia), another tale of pagan-Christian con-
foundation. Entering as a canoness rather than a nun, Hrots-
flict, featuring the ordeals and martyrdom of the three alle-
vit would have been permitted to retain her own private
gorically named daughters. All of these works were complet-
property, employ servants, and travel at will from the clois-
ed by the year 973, and there are no further records of
ter, as well as receive an education in the writings of both
Hrotsvit’s life.
classical and Christian authors.
Were these dramas intended for performance, and if so,
At Gandersheim Hrotsvit mastered the arts of the Latin
in what form? Earlier scholars assumed that the plays were
language and was encouraged to begin her own composi-
intended solely for reading, but most of Hrotsvit’s contem-
tions; appropriately, her Saxon name, Hro-suit, is usually
porary critics think it likely that the texts were intended for
translated as “strong voice.” Her earliest works were the eight
some dimension of performance, whether in a group reading
sacred legends, written in the classical measures of dactylic
in the abbey or in a more formal performance at the Saxon
hexameter and elegiac verse. Two poems commemorate inci-
court.
dents in the life of the Virgin Mary and Jesus Christ; the re-
For many centuries after her death Hrotsvit was a for-
mainder present the lives of Christian saints and martyrs.
gotten figure, but all this changed in 1493 when the German
The legends tell lively tales of pagan-Christian conflicts, and
humanist Conrad Celtes discovered a manuscript of her
Hrotsvit’s taste for sensational incidents is evident.
work in a monastery. Soon Hrotsvit was celebrated as the
There is some indication that Hrotsvit’s dramas were in-
first poet of Germany, and her works were printed in 1501
tended to complement the verse legends, forming part of a
in an elegant edition with woodcuts by Albrecht Dürer and
larger unified sequence of works. However the immediate
others. Surviving claims by misogynist critics that her works
stylistic impulse of the plays is a response to the pagan comic
were forgeries invented by Celtes, Hrotsvit is today recog-
dramatic texts of Terence, valued for their refined Latin style.
nized as a remarkable and unprecedented literary figure.
Hrotsvit’s innovation was to write new Latin dramas in a
Whether or not her works were intended for performance,
similarly refined style, but with Christian characters and sub-
there has been no shortage of stage revivals of her work, be-
ject matter, rather than clever servants and love intrigues in
ginning in 1888 with a marionette performance in Paris in-
the Roman tradition.
spired by Anatole France, who modeled his popular novel
Although sometimes carelessly described as adaptations
Thaïs on Hrotsvit’s original. By 1914 her plays had reached
of Terence’s dramas, Hrotsvit’s six plays are retellings in dra-
the London stage, with Ellen Terry in the role of Thaïs. Since
matic form of the lives of Christian saints and martyrs, bor-
that time performances of Hrotsvit’s plays have taken place
rowing Terentian phrases and plot devices, but leading her
regularly in Britain, Germany, and the United States, gener-
central characters through ordeals and tortures to salvation,
ally in academic settings and often with a feminist focus.
rather than comic happy endings. The Conversion of General
Gallicanus features a pagan general who is converted to
BIBLIOGRAPHY
Christianity on the battlefield, and later suffers martyrdom
The standard edition of Hrotsvit’s Latin texts is Helene
at the hands of Julian the Apostate. The remaining plays, all
Homeyer’s Hrotsvithae Opera (Munich, 1970). Fluent
with female central figures, were given titles by modern edi-
rhymed English translations of the plays may be found in
Hrotsvit of Gandersheim: A Florilegium of Her Works, edited
tors that would suggest otherwise; in the summaries below,
and translated by Katharina M. Wilson (Cambridge, UK,
Hrotsvit’s original titles are employed, with the traditional
1998). Wilson is also the editor of a collection of critical es-
titles in parentheses.
says Hrotsvit of Gandersheim: Rara Avis in Saxonia? (Ann
The Martyrdom of the Holy Virgins Agape, Chionia, and
Arbor, Mich., 1987). For an annotated bibliography and
Hirena (Dulcitius) tells the story of three Christian maidens
performance history of Hrotsvit’s work to 1963, see Anne
Lyon Haight’s Hroswitha of Gandersheim: Her Life, Times,
pursued by a farcically lustful pagan governor and then tor-
and Works, and a Comprehensive Bibliography (New York,
tured cruelly by the emperor—an ordeal that they survive
1965). Key critical works include Bert Nagel, Hrotsvit von
without pain, gaining martyrdom in the process. The Resur-
Gandersheim (Stuttgart, Germany, 1965), and Peter Dronke,
rection of Drusiana and Callimachus (Callimachus) also re-
Women Writers of the Middle Ages: A Critical Study of Texts
counts the martyrdom of a Christian woman who chooses
from Perpetua (d. 203) to Marguerite Porete (d. 1310) (Cam-
death before dishonor. In The Fall and Repentance of Mary,
bridge, UK, 1984). Recent articles on the plays include Sue-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4144
HSIAO
Ellen Case, “Re-Viewing Hrotsvit,” Theatre Journal 35
Emperor,” that is, the supreme celestial deity Shangdi of the
(1983): 533–542; Marla Carlson, “Impassive Bodies: Hrots-
feudal religion. This might explain why, by the second cen-
vit Stages Martyrdom,” Theatre Journal 50, no. 4 (1998):
tury BCE, the majority of feudal clans claimed Huangdi as
473–487; and David Wiles, “Hrosvitha of Gandersheim:
their ancestor. From the same period dates Huangdi’s place
The Performance of Her Plays in the Twentieth Century,”
in Chinese astronomy. Under his personal name, Xianyuan,
Theatre History Studies 19 (1999): 133–150.
and in the form of a yellow dragon (the imperial emblem)
ROBERT POTTER (2005)
he is an asterism in the southern section of the sky (Jin shu
11A).
Huangdi’s reign at the dawn of history was a “golden
HSIAO SEE XIAO
age of perfect peace,” or taiping (Shiji 1). Although the Dao-
ists saw in this first ruler the initiator of humanity’s decline
into artificial and superficial civilization (Zhuangzi), Huang-
HSIAO PAO-CHEN S
di became for them the paragon of emperors who heed the
EE XIAO BAOZHEN
advice of their counselors. The Daoist traditions of Han
times propagated the “teachings of Huang (-di) and Lao
(-zi),” hence their name: Huang-Lao Dao. The association
HSIEN SEE XIAN
of Huangdi with the paragon sage Laozi signifies the double
relationship between the ruler-disciple and his adviser-
master. Although the adviser is socially inferior to the ruler,
HSIN-HSING SEE XINXING
the latter’s charisma is but a manifestation of the sage’s wis-
dom. Like a puppet moved by invisible hands, the emperor
is the tool of the sage; their interplay symbolizes the invisible
Dao and its manifest efficacy (de). Inspired by these teach-
HSI-WANG-MU SEE XI WANG MU
ings, the millenarian Taiping rebels of 184 CE aimed at the
re-creation of Huangdi’s golden age and wore yellow head
scarves (hence the name Yellow Turban Rebellion) as a sign
HSÜAN-TSANG SEE XUANZANG
of the imminent rule under the aegis of the “yellow agent”
(earth) of Huangdi. In the many sacred scriptures attributed
to him, Huangdi is always the disciple being instructed by
HSÜN-TZU
a sage or divine master. These scriptures concern not only
SEE XUNZI
philosophy and the art of government but also longevity
techniques and the martial arts.
The earliest alchemists taught the Han emperor Wu
HUANGDI, the Yellow Emperor, is a pan-Chinese cul-
(140–87 BCE) the art of making gold and becoming immor-
ture hero and the mythic first emperor of history. In order
tal “like Huangdi,” who had cast a sacred crucible and as-
to avoid the very narrow connotations of the term emperor,
cended to heaven on a dragon (Shiji 28). Daoist lore contains
the word di is often rendered lord, monarch, thearch, ancestor,
traces of Huangdi’s role in archaic confraternities of metal-
or god. The complex mythology of Huangdi is roughly com-
workers and in medical, pharmaceutical, and yogic traditions
posed of three traditions that evolved during the first millen-
that all contributed to the formation of Daoist immortality
nium BCE and that appear together in the first universal his-
techniques. The oldest book on medicine, Huangdi neijing
tory of China, the Shiji (Records of the historian), in the
suwen (The pure questions of Huangdi, esoteric canon of
second century BCE: Huangdi as celestial deity, as perfect sov-
medicine), is a dialogue between Zhi Bo, a Celestial Master,
ereign, and as patron of the esoteric arts.
and his disciple Huangdi. Other texts present him as being
As the personification of the central part of heaven, sur-
instructed by two female deities in the related arts of sexual
rounded by the four “emperors” of the four orients, Huangdi
and military techniques. Xuannü (“the dark woman”) taught
received a cult from feudal lords in the Zhou kingdom. After
him a magic dance to overcome the rebel Chi You and, ac-
the unification of the empire by the Qin (221 BCE), the Han
cording to later legend, revealed to him a Daoist manual of
dynasty (206 BCE–220 CE) affirmed its heaven-ordained rule
military strategy, the Yinfu jing (Classic of the yin talisman;
by unifying the cults to the five emperors and their celestial
c. eighth century CE). Xuannü or Sunü (“the clear woman”)
regions (corresponding to the Han dominion of “all under
taught the emperor the immortality-conferring “arts of the
heaven”). Besides being the color associated with the center
bedchamber.” A Sunü jing (Classic of the clear woman), now
of the four directions, huang (“yellow”) also means “radiant”;
lost, was popular in the Middle Ages; it probably contained
there are traces of a sun god myth of Huangdi. More impor-
Sunü’s sexual instructions to the emperor. Furthermore,
tant is the fact that the graph huang (“yellow”) is often used
Xuannü is his teacher in one of the earliest Daoist treatises
for another huang (“august, sovereign”), thus blurring the
on alchemy, the Huangdi jiuding shendan jing (Yellow Em-
distinction between the Yellow Emperor and the “August
peror’s canon of the nine vessel magical elixir).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUAYAN
4145
In the official traditions throughout history Huangdi’s
ny, the essential rightness of the natural world, and the in-
image has been pale but distinct. His prestige as ancestor of
trinsic goodness of human nature.
the Chinese people and founder of their culture has recently
been reasserted in a syncretist movement, the Xianyuan Jiao.
Although not at all lacking in practical relevance to such
Under the shock of defeat and flight to Taiwan in 1949, its
forms of actual religious life as meditation and morality,
founder, Wang Hansheng, had a vision of Huangdi and his
Huayan has traditionally been regarded, along with Tiantai,
sacred crucible (which is also a symbol of dynastic legitima-
as one of the more theoretical or philosophical of Buddhist
tion). Established in Taibei in 1957 and claiming one hun-
traditions, and as such has commonly been contrasted to
dred thousand followers in 1981, the Xianyuan Jiao teaches
supposedly more practical traditions like Chan (Zen) or Pure
a mixture of Daoist, Confucian, and Moist ideas and labors
Land. That this contrast is an invidious oversimplification
for a renaissance of Chinese culture and for the reunification
is seen in the actual history of the tradition, which abounds
of the empire.
in examples of the amalgamation of practice with theory.
This was the rule during the several centuries in which Huay-
SEE ALSO Chinese Religion, article on Mythic Themes;
an maintained its identity as a separate teaching lineage and
Kingship, article on Kingship in East Asia.
it was even more apparent later when, having waned as a dis-
tinct “school,” it continued to flourish either as a basic ingre-
BIBLIOGRAPHY
dient in other Buddhist traditions like Zen and Tantrism or
For the ancient mythology of Huangdi, Marcel Granet’s Danses
as an influence upon non-Buddhist traditions like neo-
et légendes de la Chine ancienne (1926; reprint, Paris, 1959)
Confucianism.
is still the best reference. Huangdi’s role in Han state cults
and in the Daoist Huang-Lao school is described in Anna
SCRIPTURAL FOUNDATION. The scripture on which Huayan
Seidel’s La divinisation de Lao-tseu dans le taoïsme des Han
was based, and from which it took its name, is the Da fangg-
(Paris, 1969), pp. 34–58; see also Joseph Needham’s Science
uang fo Huayan jing (Sanskrit, following the Tibetan,
and Civilisation in China (Cambridge, 1954–1983), especial-
Maha¯vaipulya Buddha¯vatam:saka Su¯tra), known most com-
ly vols. 2, 3, and 5, part 2. The modern religion of Huangdi
monly by the abbreviated title Huayan jing (Avatam:saka
is studied in Shinohara Hisao’s article in Makio¯ Ryo¯kai hakase
Su¯tra) and usually referred to in English as the Flower Gar-
sho¯ju kinen ronshu¯: Chu¯goku no shu¯kyo¯, shiso¯ to kagaku
land or Flower Ornament Scripture. This is a very long text
(Tokyo, 1984), pp. 203–217.
composed of a number of originally independent scriptures
New Sources
of diverse provenance, all of which were combined, probably
Chang, C.U., and Y. Feng. The Four Political Treatises of the Yel-
in Central Asia, sometime during the late third or the fourth
low Emperor: Original Mawangdui Texts with Complete En-
century CE. It is a Maha¯ya¯na scripture, mythopoeic and vi-
glish Translations and an Introduction. Honolulu, 1998.
sionary in character like most of its genre and replete with
Ni, M. The Yellow Emperor’s Classic of Medicine: A New Transla-
grand descriptions of the Buddha, his extraordinary powers,
tion of the Neijing Suwen with Commentary. Boston, 1995.
his retinue of bodhisattvas and other heavenly beings, their
A
qualities, and the myriad world-systems of Buddhist cosmol-
NNA SEIDEL (1987)
Revised Bibliography
ogy. Its occasion is the primal event itself, for the matters re-
lated by the text, insofar as they may be deemed temporal
at all, are thought to have occurred during the period imme-
diately following the Buddha’s own experience of enlighten-
HUAYAN. A major tradition of Buddhist doctrine and
ment, while he was still absorbed in the ineffable meditative
practice that emerged in seventh-century China, Huayan
experience (sama¯dhi) of all things as they really are.
(Jpn., Kegon; Kor., Hwao˘m) was soon transmitted to Korea
and Japan, and has continued even into modern times to
Of special importance among the text’s various themes
exert great influence on many aspects of religion, thought,
is that of the bodhisattva path, with its many stages and won-
and culture throughout East Asia. A product initially of the
drous spiritual attainments. All of this is conveyed in vivid
fruitful encounter between Maha¯ya¯na Buddhism and ele-
imagery dominated by the motif of light and translucency.
ments of the native Chinese religious worldview, Huayan is
Pervasive radiance, the most salient feature of the scripture’s
especially noted for its liberating vision of the radical interre-
world, is understood to represent the boundless scope and
latedness or interpenetration of all events and experiences, a
unimpeded force of the Buddha’s insight, which reaches ev-
unity amidst diversity wherein each and every particular phe-
erywhere and before which nothing remains opaque. The
nomenon is seen both to incorporate and be absorbed by all
text culminates in a final chapter, by far the longest and most
other phenomena, without ever losing its own unique identi-
cohesive, known in China as the Ru fajie pin (Chapter on
ty. It has often been characterized as a syncretism and, al-
entering the realm of truth) but elsewhere better known as
though more original than that description might suggest,
the originally independent Gan:d:avyu¯ha Su¯tra. This is the
it does in fact combine classical Maha¯ya¯na themes like “emp-
story of the youth Sudhana (Shancai), who represents all sen-
tiness” (´su¯nyata¯), “representation only” (vijñaptima¯trata¯),
tient beings aspiring to enlightenment, and of his long pil-
and the embryonic Buddhahood of all beings (tatha¯ga-
grimage, during which he takes instruction from a number
tagarbha) with such native Chinese motifs as cosmic harmo-
of spiritual advisers (fifty-two to fifty-four, depending 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
4146
HUAYAN
how one counts) and in effect accomplishes the bodhisattva
Zhiyan combined in his career both the emphasis on practice
path charted throughout the rest of the scripture. It is espe-
learned from Dushun and the breadth of scholarship fostered
cially rich in the symbolism of fusion, interpenetration, and
by Zhizheng and other of his teachers. He was expert partic-
unity within multiplicity that would later inspire Huayan
ularly in the learning of two early Chinese traditions of
doctrine.
Yoga¯ca¯ra Buddhism that incorporated important elements of
Tatha¯gatagarbha thought, the Dilun school, based on Vasu-
The earliest surviving version of the full text of the
bandhu’s Da´sabhu¯mivya¯khya¯na (Exposition of the ten stages
Avatam:saka Su¯tra is the Chinese translation done by Budd-
scripture) and the Shelun school, based on Pa¯rama¯rtha’s
habhadra between 418 and 420 CE (T.D. no. 278). That ver-
sixth-century translation of Asan:ga’s Maha¯ya¯nasam:graha
sion comprises sixty fascicles (scrolls) and thirty-four chap-
(Compendium of Maha¯ya¯na). He went on to apply his
ters and is divided into eight “assemblies” (hui) or scenes held
knowledge of these traditions in the study of the Huayan jing
at seven different locations. This was the version used by the
earliest Huayan thinkers in their creation of the tradition.
and composed several fundamental texts that are among the
Another complete translation was done between 695 and
earliest pieces of distinctively Huayan literature. In the com-
699
position of these works Zhiyan created many of the doctrines
CE by S
´iks:a¯nanda (T.D. no. 279). This is in eighty fasci-
cles and thirty-nine chapters, and it is usually divided into
that came to be characteristic of Huayan, not the least of
nine assemblies held at seven places. Shortly after its comple-
these being the classical fivefold doctrinal classification (pan-
tion, this later version effectively supplanted Buddhabhadra’s
jiao) system, the rudiments of the sophisticated Huayan view
as the canonical foundation of the Huayan tradition.
of causation and dependent origination (yuanqi), the teach-
ing of “nature origination” (xingqi), and the doctrine of the
HISTORICAL OUTLINE. Study of the Huayan jing began al-
instantaneous achievement of buddhahood (yi’nian chengfo).
most immediately after Buddhabhadra’s translation. The
chronicles of fifth- and sixth-century Chinese Buddhism re-
Among Zhiyan’s disciples, two were of special note.
veal not only that it was then a popular focus of scholarly
U
˘ isang (625–702) was a Korean monk who studied with
scrutiny but also that it figured prominently in the devotion-
Zhiyan in Chang’an in the mid-660s. He then returned to
al lives of many practitioners as a text to be chanted, copied,
his homeland to establish Huayan as one of Korea’s most im-
celebrated in maigre feasts, meditated upon, revered for its
portant Buddhist traditions, beginning the process whereby
magical powers, and employed by artists as a repertory of
Huayan came to enjoy proportionately greater and more en-
themes. However, it was not until the early seventh century
during eminence in Korea than in either China or Japan.
that anything even remotely like a distinctive Huayan
U
˘ isang’s fellow student Fazang (643–712), later judged to
“school” or lineage (zong) can be said to have emerged.
be the tradition’s third “patriarch,” was a man of enormous
Scholars now trace such an origin to the Sui dynasty (589–
erudition and a prolific author especially skilled in the elo-
618) and the opening decades of the Tang dynasty (618–
quent and methodical exposition of doctrine. He was Huay-
907). Special attention has recently been given to a trio of
an’s great systematizer and its first publicist. Much of his ca-
monks associated in those years with the Zhixiang monas-
reer was spent in codifying and elaborating the doctrines first
tery, located in the Zhongnan mountains just south of the
formulated by his teacher and in adding to them teachings
capital of Chang’an (Xi’an). The eldest was Dushun, also
of his own devising, notably those born of his study of the
known as Fashun (557–640), a meditation master and thau-
Dasheng qixin lun (The awakening of faith in Maha¯ya¯na).
maturge who was especially inspired by the Huayan jing and
The development of Huayan during the several decades
whose use of it in the performance of miracles earned him
following Fazang’s death is complex. One of his disciples, the
considerable prominence in local traditions of popular piety.
Korean monk Shimsang (Jpn., Shinjo¯; d. 742), was instru-
He is also credited (but perhaps erroneously so) with the au-
mental in transmitting Huayan to Japan, where it shortly be-
thorship of certain early Huayan treatises, the most impor-
came one of the dominant scholastic and ecclesiastical tradi-
tant of which was the Fajie guanmen (Contemplations of the
tions of the Nara period (710–794). Shimsang’s lectures on
realm of truth), the locus classicus of the most famous of all
the Huayan jing helped motivate Emperor Shomu (r. 724–
Huayan doctrines, namely, the teaching of principle (li),
749) to construct the great To¯dai Temple and to install there
phenomena (shi), and the various modes of their interpene-
the monumental Great Buddha, which ever since has stood
tration. Dushun was anointed by the later tradition as its
as one of the foremost examples of Huayan influence on the
“first patriarch,” but it should be borne in mind that the con-
arts. Another of Fazang’s disciples, Huiyuan (c. 673–743),
ception of Huayan as a master-disciple succession in the
departed from his master on several key doctrinal issues and
manner of the Chan lineages is an anachronistic fiction.
was unfortunately dismissed by the later tradition as a kind
Dushun’s contemporary Zhizheng (559–639) was a
of heretic. Familiar with Fazang’s works, although never his
scholar-monk, heir to several of the scholastic traditions of
student, was the layman Li Tongxuan (635?–730?), whose
sixth-century Chinese Buddhism and noted especially for his
several writings—including what was perhaps the first com-
exegesis of the Huayan jing. These two men shared an out-
plete exposition of the eighty-fascicle translation of the
standing student in the person of the monk Zhiyan (602–
Huayan jing—are marked throughout by very original inter-
668), traditionally held to be Huayan’s second “patriarch.”
pretations of Huayan themes.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUAYAN
4147
The next phase in the history of Huayan is signaled by
After Zongmi, Huayan’s history becomes rather diffuse.
the contributions of its reputed fourth “patriarch,” Chengg-
Traditional accounts continue to speak of a Huayan lineage
uan (738–839?). Born twenty-six years after Fazang’s death
extending through the end of the Tang into the Song dynas-
and thus not his direct descendant, Chengguan nevertheless
ty, and such lineages did persist in Korea and Japan, but after
mastered the Huayan system, which he studied with a stu-
the late ninth century the truly significant developments in
dent of Fazang’s student Huiyuan. He resided for many years
Huayan were those occurring in other traditions that made
in northern Shanxi, in the complex of monasteries located
use of Huayan themes. Huayan thought was particularly im-
on the Wutai Mountains, long a center of Huayan devotion
portant in several lineages of Five Dynasties and Song dynas-
and study. His many treatises and exegetical works earned
ty Chan, the Linji master Dahui (1089–1163), for example,
special distinction, particularly his immense commentary on
being only one of a great many prominent Song Chan figures
the eighty-fascicle version of the Huayan jing, which would
indebted to Huayan. It was also absorbed just as deeply into
later vie with Li Tongxuan’s work for pride of place among
Korean Chan (So˘n), as may be seen in the thought of Chinul
all commentaries on the scripture. Perhaps his most notable
(1158–1210), Korea’s greatest Chan teacher. And in Japan,
accomplishment was to have laid a foundation on which
where Esoteric Buddhism (Mikkyo¯) developed further than
Huayan could consort with other kinds of Buddhism, not
anywhere else in East Asia, Mikkyo¯ practitioners like Myo¯e
only the Monastic Discipline (Vinaya) tradition, Tiantai,
Shonin (Ko¯ben; 1173–1232) made unique use of Huayan
and Sanlun (all of which he had studied) but also, and most
motifs in their Esoteric contemplations and writings.
significantly, Chan. Chengguan was a student of Chan dur-
THE TEACHINGS. Underlying the often bewildering array of
ing a crucial period in its history, just as it was in the process
technical doctrines that comprise Huayan is the single, uni-
of taking the forms that would come to be regarded as classi-
tary vision of a world in which all things—both the particu-
cal. The Chan lineage with which he was most closely associ-
lar phenomenal things (shi, “phenomena”) that comprise
ated was the Oxhead (Niutou) tradition and this, in turn,
conventional worldly experience and the general noumenal
had direct links with the classical Chan lineage par excellence,
truths or principles (li) that govern phenomenal reality—are
the Hongzhou school. Since Chan was then on the verge of
seen “to be without mutual obstruction” (wu’ai), that is, to
becoming paramount among all Chinese Buddhist tradi-
enter, include, penetrate, absorb, and fuse with each other,
tions, Chengguan’s efforts to bring Chan and Huayan to-
but to do so without losing their respective identities. In tra-
gether were especially important; they helped assure a future
ditional Buddhist terms, this is simply a novel and ingenious
for Huayan during the subsequent centuries of Chan
reiteration of the cardinal doctrine of dependent origination
dominance.
(Skt., prat¯ıtya-samutpa¯da; Chin., yuanqi), whereby things are
said neither to exist in themselves (the error of eternalism)
The last of the five great “patriarchs” of Huayan was the
nor not to exist (the error of annihilationism). However,
literatus-monk Zongmi (780–841). An accomplished prose
whereas it is more typical of earlier Buddhism to employ neg-
stylist and a scholar as well versed in China’s “secular” tradi-
ative, “neither/nor” phrasing to express this teaching and its
tions as in Buddhism, Zongmi combined a devout religious
corollaries, Huayan favored more affirmative locutions, even
life with a successful clerical career and was cultivated by
if they required figurative rather than literal language.
some of the foremost court scholars of his day. Like those
of Chengguan, his Buddhist studies were by no means con-
Perhaps the best known and most effective example of
fined to Huayan. He too was a Chan monk, especially faith-
this is the metaphor of the “net of Indra.” This inspired trope
ful to the Heze or “Southern Lineage” deriving from Shenhui
pictures a universe in which each constituent of reality is like
(670–762). He was especially noted for his advocacy of a text
a multifaceted jewel placed at one of the knots of a vast net.
associated with none of the established traditions, the Yuan-
There is such a jewel at each knot, and each jewel reflects not
jue jing (Scripture of complete enlightenment), a Chinese
only the rest of the jeweled net in its entirety but also each
composition devoted to themes of a Tatha¯gatagarbha sort.
and every other jewel in its individuality. Thus, each particu-
Against the background of mature Huayan doctrine, Zong-
lar reflects the totality, the totality so reflected is both a unity
mi classified all the varieties of Buddhism, including all
and a multiplicity, and the reflecting particular maintains its
forms of Chan, into a comprehensive and hierarchical over-
distinctive but not discrete reality. All things and beings,
view of Buddhist doctrine and practice. He then extended
Huayan teaches, are like these jewels. When this “metaphysi-
that classification to include both Confucianism and Daoism
cal” insight is made to yield its soteriological or gnoseological
by composing the famous Yuanren lun (Enquiry into the ori-
implications it is seen to entail, among other things, the es-
gins of man), a reply to the critique of Buddhism found in
sential Buddhahood of each sentient being, the potential en-
essays of similar title by Han Yu (768–824), the great precur-
lightenment at the core of all ignorance, the fundamental pu-
sor of neo-Confucianism. Of special importance for the fu-
rity of all defilements, the eternality of each instant, the
ture of Huayan was his advocacy of a unification of Chan
presence of the Buddha mind in all objects, and the final at-
and the more doctrinal (jiao) forms of Buddhism, Huayan
tainment implicit in even the most elementary stage of the
being in his view the foremost of the latter. He is also some-
path.
times identified as a bridge between Buddhism and neo-
According to Huayan’s five-part scheme of doctrinal
Confucianism.
classification, all other forms of Buddhism saw only a part
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4148
HUAYAN
of this comprehensive truth. H¯ınaya¯na Buddhism saw the
language would do well to consult especially the works of
emptiness of beings, their selflessness, but not the emptiness
Takamine Ryo¯shu¯, Sakamoto Yukio, Kamata Shigeo, Ki-
of all events (dharma). Elementary Maha¯ya¯na—the empti-
mura Kiyotaka, and Yoshizu Yoshihide, to name only a few.
ness teaching and the version of the Representation Only
Sustained Western-language study of the tradition got off to
teaching that held the mind to be essentially corrupt—saw
an inauspicious start with the publication of Garma C. C.
the insubstantiality of all things and beings, and the inveter-
Chang’s unreliable and tendentious The Buddhist Teaching
of Totality (University Park, Pa., 1971). The situation was
ate ignorance and impurity of the mind which infected and
improved considerably, however, by the appearance of Fran-
distorted the world, but it did not see the countervailing
cis D. Cook’s Hua-yen Buddhism: The Jewel Net of Indra
actuality of those things and beings or the deeper purity
(University Park, Pa., 1977), which, though clearly as much
of their underlying wisdom. Mature Maha¯ya¯na—the
concerned to advocate Huayan as to present it to the aca-
Tatha¯gatagarbha tradition and the version of the Representa-
demic community, is sound and informative. It deals espe-
tion Only teaching that affirmed the essential purity of the
cially with the thought of Fazang. Two other works of lesser
mind—saw the immanence of transcendental reality, for ex-
value have recently appeared that put Huayan into the ser-
ample, the buddhahood in each sentient being, but ran the
vice of idiosyncratic Western philosophical programs. They
risk of a kind of docetism in which particular mundane
are Alfonso Verdú’s Dialectical Aspects in Buddhist Thought
things were subordinated to the universal supramundane
(Lawrence, Kans., 1974), which treats especially of uses of
Huayan thought in Caodong Chan from a Hegelian perspec-
truths they harbored and were not valued in themselves. The
tive, and Steve Odin’s very odd miscellany, Process Metaphys-
so-called sudden teaching (dunjiao)—associated initially
ics and Hua-yen Buddhism (Albany, N.Y., 1982), which deals
with the theme of silence in texts like the Vimalak¯ırti
haplessly with the thought of U
˘ isang and attempts to draw
Nirde´sa (The discourse of Vimalak¯ırti) but later with the
comparisons between Huayan and the work of Western
translinguistic character of Chan practice—saw the limits
thinkers like Whitehead, Heidegger, Merleau-Ponty, and
and snares of language and conceptualization and empha-
others.
sized the all-at-once nature of liberation, to which words and
Three different translations of the Huayan jing are now under
ideas can make no gradual approach, but it ran the risk of
way. Thomas Cleary’s The Flower Ornament Scripture, of
underestimating the need for effortful practice and the im-
which the first volume has already appeared (Boulder, Colo.
portance of language and imagination in practice. It was only
1984), is an excellent rendering of the eighty-fascicle version
Huayan itself—the “complete” or “perfect” (yuan, literally
of the Chinese text. The same version is being translated by
“round”) teaching—that comprehended the whole truth
members of the International Institute for the Translation of
Buddhist Texts in Talmage, California. Theirs is a resolutely
without succumbing to partiality or extremes. In this respect
literal translation with interspersed commentary by the con-
Huayan saw itself as the “one vehicle,” identical (tong) with
temporary Chinese monk Xuanhua; more than ten volumes
all other vehicles combined insofar as it included them all,
have so far appeared. Apart from a few standard pieces like
but also separate (bie) from them in that it surpassed them
Fazang’s Golden Lion Treatise or Zongmi’s Enquiry into the
all.
Origins of Man, which appear in indifferent translations in
certain popular anthologies, not much of the enormous cor-
There was something about the Huayan worldview that
pus of Huayan literature composed in China, Korea, and
East Asian cultures, shaped as they were by the values of clas-
Japan has yet been translated into Western languages, but
sical Chinese civilization, found quite congenial. Perhaps it
Thomas Cleary has recently published a collection of fine
was the deft way in which Huayan thinkers combined Chi-
though sparsely annotated translations of several shorter
nese values and notions, like the affirmation of “this world”
works by Dushun, Zhiyan, Fazang, and Chengguan. The
or the conception of reality as a concrete order governed by
collection is entitled Entry into the Inconceivable (Honolulu,
principles of harmony and complementarity, with basic Bud-
1983).
dhist concepts like insubstantiality, interdependence, and the
New Sources
essentially mind-made character of all things. No doubt the
Gimello, Robert M. “Early Hua-yen, Meditation, and Early
abstruse character of Huayan discourse needed the leaven of
Ch’an: Some Preliminary Considerations.” In Early Ch’an in
an emphasis on practice and experience, a leaven of the sort
China and Tibet, edited by Whalen Lai and Lewis R. Lancas-
it was to find in its collaboration with Chan and Mikkyo¯,
ter, pp. 149–164. Berkeley, 1983.
but with that it rose to be a major ingredient in the intellec-
Gimello, Robert M., and Peter N. Gregory, eds. Studies in Ch’an
tual and religious life of the whole East Asian world, and it
and Hua-yen. Honolulu, 1983.
stands even today as a paramount example of the East Asian
Gregory, Peter N. “What Happened to the Perfect Teaching? An-
transformation of Buddhism.
other Look at Hua-yen Buddhist Hermeneutics.” In Bud-
dhist Hermeneutics, edited by Donald S. Lopez, Jr.,
pp. 207–230. Honolulu, 1988.
SEE ALSO Chinul; Dushun; Fazang; Ko¯ben; Prat¯ıtya-
Gregory, Peter N. Inquiry into the Origin of Humanity: An Anno-
samutpa¯da; U
˘ isang; Zhiyan; Zongmi.
tated Translation of Tsung-mi’s Yüan jen lun with a Modern
Commentary. Honolulu, 1995.
BIBLIOGRAPHY
Liu, Ming-wood. “The Lotus Sutra and Garland Sutra according
The best and most extensive scholarship on Huayan is that done
to the T’ien-t’ai and Hua-yen Schools in Chinese Bud-
by modern Japanese scholars. Those who have access to that
dhism.” T’oung Pao 74, nos. 1–3 (1988): 47–80.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUBBARD, L. RON
4149
Obert, Mathias. Sinndeutung und Zeitlichkeit: zur Hermeneutik des
shifted his focus from the mind to the spirit, and expanded
Huayan-Buddhismus. Hamburg, 2000.
Dianetics into a complete philosophical and religious system
Shim, Jae-ryong. “Faith and Practice in Hua-yen Buddhism: A
he began to call Scientology. The change proved costly in
Critique of Fa-tsang (643–712) by Li T’ung-hsuan (646–
some respects, as many of his early supporters were unable
740).” In Buddhist and Taoist Practice in Medieval Chinese
to accept his new findings (such as the preexistence of the
Society, edited by David W. Chappell, pp. 109–124. Hono-
human soul) and withdrew. In 1954, however, the first
lulu, 1987.
Church of Scientology opened in Los Angeles, California.
Tachikawa, Musashi. “The Tetralemma in Chinese Hua-Yen
Hubbard now turned his full attention to the development
School: In Comparison with That of the Madhyamaka-
of the church (including the writing of a detailed organiza-
karika.” In Kalyana-mitta: Professor Hajime Nakamura Felici-
tional manual) and the growth of Scientology into a compre-
tation Volume, edited by V. N. Jha, pp. 87–99. Delhi, 1991.
hensive scientific religion.
ROBERT M. GIMELLO (1987)
Revised Bibliography
Hubbard resigned all official positions he held in the
church in 1966 and turned his attention to further research
into the higher levels of Scientology, in which the soul
HUBBARD, L. RON (1911–1986), the founder of the
(which Hubbard termed the thetan) learns to operate free of
Church of Scientology, emerged in the last half of the twenti-
the body. The first of the Operating Thetan (OT) levels, or
eth century as one of the most controversial leaders of new
training steps, was released in 1966, with others released pe-
religious movements. Hailed by the members of his church
riodically through Hubbard’s lifetime. Beginning in 1967 he
as one of the most creative minds of the century, he was
conducted a significant part of OT research aboard an ocean-
equally assailed by his critics.
going vessel in company with a group of his more dedicated
Lafayette Ron Hubbard was born on March 13, 1911,
followers. There he founded the Sea Organization, or Sea
in Tilden, Nebraska. His father, Harry Ross Hubbard, was
Org, an ordered though nonmonastic community originally
an officer in the U.S. Navy. Hubbard spent much of his
designated to take charge of the delivery of the OT levels.
childhood in Montana on his grandfather’s ranch. He was
The 1970s were a time of extensive writing on all phases of
able to take advantage of his father’s occupation, however,
Scientology.
to make two trips during his youth to the Orient and re-
Hubbard encountered the next crucial test of his ideas
turned with vivid memories of his time in China.
at the end of the 1970s. In 1979 a number of church officials
Hubbard attended the Swavely Preparatory School in
connected with the Guardian’s Office, including Hubbard’s
Manassas, Virginia, and began his college work at George
wife, were arrested. The Guardian’s Office, which had been
Washington University in 1930. College proved not to be
established in 1966 to handle a variety of attacks upon the
his forte, and he dropped out after only two years. He spent
church, had engaged in several clandestine operations to un-
the rest of the decade participating in a variety of expeditions
cover U.S. government files believed to be the source of its
as an explorer (which earned him membership in the Explor-
problems. The conviction of those arrested led to the dis-
ers Club) and writing. He published more than 150 short
banding of the Guardian’s Office, a complete reorganization
stories and nonfiction articles. The subject matter ranged
of the church at the highest levels, and the assumption of
from aviation to western adventure stories, though his most
control by the Sea Organization of the church’s international
memorable work was in science fiction.
and policy-making offices.
Hubbard was commissioned as a lieutenant in the navy
Hubbard spent the last years of his life in seclusion, his
in 1941. Holding a variety of posts and commands, he fin-
whereabouts disclosed to only a few friends and high church
ished World War II at Oak Knolls Naval Hospital, Oakland,
officials. He returned to fiction writing and produced a
California, where he gained the initial insights that led to his
major novel, Battlefield Earth (1982), and a ten-volume sci-
development of Scientology. After the war Hubbard contin-
ence fiction series, Mission Earth (1985–1987). He died on
ued to make his living as a writer as he accumulated insights
January 24, 1986, in Crestone, California.
into the human mind. His new ideas first appeared in several
articles and culminated in Dianetics: The Modern Science of
Hubbard left his considerable wealth and all his copy-
Mental Health. The book describes his therapeutic tech-
rights to the church, which had already assigned scriptural
niques for ridding individuals of the causes of aberrant be-
status to his Scientology texts. The church subsequently es-
havior and leading them to a state he termed clear. The re-
tablished a new corporation, Author Services, to handle the
sponse to his book, including the emergence of many
ongoing publication and licensing of Hubbard’s non-
amateur efforts to practice the book’s teachings, led Hubbard
Scientology writings. The church has published a number of
to found the Hubbard Dianetic Research Foundation and
smaller works describing Hubbard’s various accomplish-
to write a set of texts on the proper application of his
ments, although no comprehensive critical biography had
theories.
appeared by the beginning of the twenty-first century.
The next few years proved to be intense and decisive.
Hubbard continued his exploration of human existence,
SEE ALSO Scientology.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4150
HÜGEL, FRIEDRICH VON
BIBLIOGRAPHY
is a composite phenomenon containing two elements: clock
Friends of Ron, comp. L. Ron Hubbard: A Profile. Los Angeles,
time, or succession, and duration. In duration, the human
1995. A comprehensive biographical work to date from the
being stands open to the infinite and experiences a quasi eter-
Church of Scientology.
nity. In 1921 he published Essays and Addresses on the Philoso-
Hubbard, L. Ron. Dianetics: The Modern Science of Mental Health.
phy of Religion, in which he underlined the transcendent ele-
New York, 1950; reprint, Los Angeles, 2000.
ment in religion and also included a probing essay on the
Hubbard, L. Ron. Scientology: A New Slant on Life. Los Angeles,
apocalyptic element in Jesus’ teaching. Some of his work was
1965. One of several basic Scientology texts.
published posthumously. Essays and Addresses on the Philoso-
phy of Religion, Second Series (1926) contains discussions on
Melton, J. Gordon. The Church of Scientology. Salt Lake City,
institutional religion, church authority, and suffering in
Utah, 2001.
God. Von Hügel’s unfinished work on the Gifford Lectures
Whitehead, Harriet. Renunciation and Reformulation: A Study of
was published as The Reality of God and Religion and Agnosti-
an American Sect. Ithaca, N.Y., 1987.
cism (1931).
J. GORDON MELTON (2005)
Von Hügel became an outstanding spiritual director.
He was a major influence on Evelyn Underhill, who was later
to publish her remarkable works on mysticism. His deep
HÜGEL, FRIEDRICH VON (1852–1925), Roman
spiritual life is seen in Letters from Baron von Hügel to a Niece
Catholic layman who at the turn of the twentieth century
(1928) and The Life of Prayer (1929). He received an honor-
became involved in the modernist crisis and who later be-
ary doctor of law degree from the University of Saint An-
came recognized as an outstanding authority on mysticism
drews in Scotland in 1914, and in 1920 he became the first
and religious philosophy. Born in Austria, von Hügel moved
Roman Catholic since the Reformation to be honored
with his family to England in 1867. Mainly self-educated,
with an honorary doctor of divinity degree from Oxford
von Hügel became a friend of the French exegete Alfred
University.
Loisy (1857–1940) and of the English Jesuit George Tyrrell
(1861–1909). He immersed himself in the new scriptural
BIBLIOGRAPHY
Barmann, Lawrence F. Baron Friedrich von Hügel and the Modern-
criticism and championed Loisy’s right to publish when the
ist Crisis in England. Cambridge, U.K., 1972. The most thor-
latter faced church condemnation. He also generally sup-
ough treatment of von Hügel’s role in the modernist crisis.
ported Tyrrell, who was expelled from the Society of Jesus
in 1906. The official church saw in the ideas of a number
Kelley, James J. Baron Friedrich von Hügel’s Philosophy of Religion.
Leuven, 1983. A masterly coverage, including both philoso-
of writers at the time, including Loisy and Tyrrell, a denial
phy and biography.
of the transcendence of God and of church authority. It la-
beled their ideas “modernism” and condemned them in the
Leonard, Eileen M. Creative Tension: The Spiritual Legacy of Frie-
drich von Hügel. Scranton, Pa., 1997. A very fine presenta-
encyclical Pascendi in 1907. Von Hügel and others believed
tion of biography and spirituality.
that the church’s very broad condemnation was unfair and
to a degree a misunderstanding. But he gradually cooled to
Whelan, Joseph P. The Spirituality of Friedrich von Hügel. Lon-
some of Loisy’s ideas, although he continued to support the
don, 1971. The best introduction to von Hügel’s spirituality.
With a foreword by Bishop B. C. Butler.
cause of the freedom of the exegete. He showed external re-
spect in every way he could for the church’s decrees, but he
JOHN J. HEANEY (1987 AND 2005)
never essentially changed his position.
Toward the end of the modernist crisis von Hügel pub-
lished his great work, The Mystical Element of Religion as
HUGH OF SAINT-VICTOR (d. 1142) was a regular
Studied in St. Catherine of Genoa and Her Friends (1909).
canon of the Abbey of Saint-Victor, Paris, and influential
Around the biographical core of the book he developed his
thinker with lasting and decisive contributions to biblical ex-
ideas on religion and mysticism. The chief forces of Western
egesis, theology, and spirituality. The date and place of
civilization he saw as Hellenism, Christianity, and science.
Hugh’s birth are unknown. Both Saxony and the Low Coun-
He worked out three elements in all religion: the institution-
tries have been plausibly suggested as the place of his birth.
al, the intellectual, and the mystical. The thirst for religion
By 1125 he was at Saint-Victor teaching in the abbey school,
and mysticism is at bottom metaphysical, arising from a keen
where he founded the vigorous and creative Victorine intel-
sense of imprisonment in the contingent. “If man did not
lectual tradition. At the same time, the first abbot, Gilduin,
somehow have a real experience of objective reality and truth,
was winning royal favor and rich endowments for the young
he could never suffer so much from the very suspicion of a
community, which had been founded in 1108 by William
complete imprisonment within purely human apprehensions
of Champeaux upon his retirement from teaching in the Pa-
and values.”
risian schools.
In 1912 von Hügel published Eternal Life, a study of
Hugh’s learning was broad and deep. He united in a
the eternal and the absolute in religion. Time, he insisted,
special way a religious vocation, keen intellectual curiosity,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUGH OF SAINT-VICTOR
4151
a strong historical sense, theological creativity, and dedica-
ard of Saint-Victor (d. 1173), one of the greatest medieval
tion to the contemplative life. The breadth of Hugh’s knowl-
mystical writers, advanced Hugh’s analysis of contemplation
edge is illustrated by his Didascalicon, a guide to the study
and his use of Dionysius in treatises combining subtle sym-
of philosophy and biblical exegesis. Philosophy, embracing
bolic interpretation of scripture, psychological insight, and
all knowledge, was divided into four parts (theoretical; prac-
deep contemplative experience. Through Richard and Hugh,
tical, including ethics; mechanical, including weaving, farm-
the Victorine tradition influenced the theological and
ing, et al.; and logical) that were to remedy the ignorance,
contemplative writings of the great Franciscan writer Bona-
vice, and bodily weakness resulting from the fall.
venture.
In biblical studies Hugh introduced the idea that histo-
In poems of complex symbolism and theological depth,
ry, allegory, and tropology, the traditional three levels of
Adam of Saint-Victor brought the liturgical sequence to a
meaning in the biblical text, should be seen as three areas of
high point in its development. The sermons of Abbot Achard
study to be pursued in succession. This idea had the impor-
of Saint-Victor (d. 1171) embodied the combination of con-
tant effect of making the systematic study of the historical,
templative and preaching traditions so characteristic of the
literal meaning of the text the foundation for all further bibli-
abbey. The Victorine theological tradition was continued by
cal study. Moreover, Hugh consulted Jewish rabbis about the
Godfrey of Saint-Victor (d. after 1194) in Fons philosophiae
literal meaning of the Hebrew text and incorporated their
and Microcosmus, while a narrow, antidialectical spirit at
comments into his exegesis. In the Victorine program of
odds with other Victorines emerged in the writings of Walter
studies theology was studied systematically to prepare for al-
of Saint-Victor (d. 1180). Thomas Gallus (d. 1246), a Victo-
legorical exegesis, while tropology was the context of examin-
rine who became abbot of Vercelli, continued Hugh’s inter-
ing not only ethics but also the discipline of body and mind
est in the works of Dionysius and wrote a commentary on
leading to contemplative experience.
them. All told, Hugh began an influential intellectual tradi-
For each area of study—historical, theological, and mys-
tion at the abbey, a tradition that exercised a widespread in-
tical—Hugh wrote important books. His Chronicon con-
fluence on medieval thought and life in many areas.
tained a treatise on the art of memory and numerous tables
for biblical chronology and the history of the Christian
BIBLIOGRAPHY
church, European rulers, and the papacy. De sacramentis
Christianae fidei (On the sacraments of the Christian faith),
The Latin text of Hugh’s writings is in Patrologia Latina, edited
Hugh’s handbook to prepare for allegorical exegesis, was the
by J.-P. Migne, vols. 175–177 (Paris, 1854). Major transla-
tions into English are Selected Spiritual Writings (London,
first systematic summa of Christian theology and thus initi-
1962); Didascalicon: A Medieval Guide to the Arts, translated
ated a major form of medieval theological literature. Hugh’s
by Jerome Taylor (New York, 1961); Hugh of Saint Victor:
theology incorporated a unique sense of historical develop-
On the Sacraments of the Christian Faith (De sacramentis
ment and distinguished between the divine works of founda-
Christianae fidei), translated by Roy J. Deferrari (Cambridge,
tion in six days and the divine works of restoration that ex-
Mass., 1951). The most comprehensive study of Hugh’s
tend through all history from beginning to end. His doctrine
thought is Roger Baron’s Science et sagesse chez Hugues de
of the sacraments was important for his definition of a sacra-
Saint-Victor (Paris, 1957). For Hugh’s biblical exegesis and
ment and his recognition of valid sacraments in all historical
the Victorine tradition, see Beryl Smalley’s masterful The
periods.
Study of the Bible in the Middle Ages, 2d ed. (Oxford, 1952).
Several essays in M.-D. Chenu’s Nature, Man and Society in
Hugh introduced ideas from the writings of Dionysius
the Twelfth Century (Chicago, 1968) will be found useful.
the Areopagite into the mainstream of theological and mysti-
See also my “Hugh of St. Victor and the Ark of Noah: A
cal discussion. The major sources for Hugh’s mystical teach-
New Look,” Church History 40 (1971): 261–272; “De gradi-
ings are two treatises on Noah’s ark (De arca Noe morali and
bus ascensionum: The Stages of Contemplative Ascent in
De arca Noe mystica) and a set of sermons on Ecclesiastes. In
Two Treatises on Noah’s Ark by Hugh of St. Victor,” Studies
the ark treatises Hugh describes a complex, man:d:ala-like
in Medieval Culture 5 (1975): 61–79; “Mandala Symbolism
drawing that represents with a subtle iconography the cos-
and Use in the Mysticism of Hugh of St. Victor,” History of
mos, salvation history, and the mystic’s inward journey to
Religions 12 (1972–1973): 317–341; and “Hugh of St. Vic-
union with the divine as these are related to Christ the cre-
tor and the Art of Memory,” Viator 5 (1974): 211–234.
ative, sustaining, incarnate, judging, and contemplative
For the Victorine tradition in general, see Jean Chatillon’s “De
Word. This powerful symbolic representation of the spiritual
Guillaume de Champeaux à Thomas Gallus: Chronique
quest is a major document in the development of medieval
d’histoire littéraire et doctrinale de l’école de Saint-Victor,”
Christian mysticism.
Revue du Moyen-Âge latin 8 (1952): 139–162. The same au-
thor’s Théologie, spiritualité et métaphysique dans l’œuvre ora-
Hugh’s successors at Saint-Victor tended to emphasize
toire d’Achard de Saint-Victor includes an excellent chapter
single aspects of his thought. Andrew of Saint-Victor
on the founding and development of the abbey, pp. 53–85
(d. 1175) devoted himself to the literal sense of scripture, ad-
(Paris, 1969). For selections from Richard of Saint-Victor,
vancing even further the historical understanding of the bib-
see Selected Writings on Contemplation, translated by Clare
lical text and drawing, like Hugh, on Jewish exegesis. Rich-
Kirchberger (London, 1957) and my translation The Twelve
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4152
HUICHOL RELIGION
Patriarchs; The Mystical Ark; and Book Three on the Trinity
or divine ancestors, are variously called kákaima or kakayaríxi
(New York, 1979).
(apparently archaic expressions that convey the sense of
“gods” or “greater spirits”). Female deities are collectively
GROVER A. ZINN, JR. (1987)
known as tatéima (“our mothers”). Tatewarí is the most
prominent deity in the western part of the Huichol territory,
and in the eastern part it is Father Sun. The fire deity is also
HUICHOL RELIGION. The twenty to twenty-five
the first shaman, who, with grandmother Nakawé, put the
thousand Huichol-speakers of the Sierra Madre Occidental
world in order in the “first times,” and is often addressed
are the only sizable indigenous population in Mexico whose
simply as MaraDakáme (mara’akáme is the Huichol term for
aboriginal religion survives with only minor Spanish addi-
shaman or singer). Charismatic shamans may be identified
tions, and almost none of the syncretistic adaptations to
with Tatewarí, as is the leader of the peyote pilgrimage. Prob-
Christianity typical of the rest of Mesoamerican Indian cul-
ably as many as one-third to one-half of the adult Huichols,
tures. The first missions in Huichol country were established
particularly the men but also some women, are sufficiently
in 1722. More than two and a half centuries later Spanish
schooled in the sacred traditions to function as low-level sha-
Roman Catholicism is evident only in the addition of the
mans who are able to divine, conduct curing rites, and com-
Virgin of Guadalupe, Jesucristo, and some saints to the ex-
municate with ancestral deities through chants, prayer ar-
tensive native pantheon of male and female nature deities.
rows, symbolic designs of wool yarn and/or beads and
The Huichol have also added nominal baptism practices;
beeswax, decorated gourd bowls, and food and drink offer-
feast day celebrations of the respective patron saints of the
ings. To practice the higher level of shamanic and priestly
five independent, self-governing comunidades that make up
activity, a person must gain community consensus and pres-
the mountainous Huichol homeland; and observance of por-
tige and trust sufficient for him or her to have assumed suc-
tions of the Christian ritual calendar to their ritual life. The
cessful leadership of at least five peyote pilgrimages.
celebration of these holy days is accompanied by recitations
SACRED SPACES. Beyond the local rancho, ritual centers on
and dramatic enactments of a Christian myth cycle so drasti-
the large circular sacred house or temple, tuki or tukípa in
cally altered to conform to the native worldview that it re-
Huichol, with the meaning of Big House. Several of these
sembles the New Testament only in broad outlines.
tuki or tukípa are found scattered through each of the five
DEITIES. In contrast, in the native ceremonial round and in
comunidades. They contain a doorway that faces east, a fire-
prayers, the Huichol deities have retained their ancient
place that represents Tatewarí, an altar, a hole in the center
names, personalities, and associations, rather than having be-
of the floor and another below the roof (from which subter-
come identified with Christian supernatural beings. Some
ranean gods, divine ancestors, and celestial spirits may
Huichols believe that the Virgin of Guadalupe is really Our
emerge), sacred paraphernalia, prayer offerings, a low bench
Mother Young Eagle Girl, a female sky deity who usually
along the interior wall, and sometimes a squared, hollowed-
takes the form of a bicephalic eagle; on the other hand, few
out log that serves as a foot drum, whose sound is intended
Huichols have followed the neighboring Cora, and other In-
to alert subterranean ancestors and supernatural beings and
dian peoples, in identifying Jesucristo with the indigenous
to invite them to participate in the ritual.
solar deity. The supernaturals are addressed in kinship terms,
Individual ranches have a sanctuary, called xiriki, that
prefaced by the pronoun ta (“our”): for example, the fire god
is constructed like the dwellings of the Huichol; the sanctu-
Tatewarí (“our grandfather”); the sun god Tayaupá (“our fa-
ary houses carved stone and wood images of supernaturals,
ther”); the whitehaired old earth and creator goddess Tatutsi
personal ceremonial paraphernalia, bows, arrows and deer-
Nakawé (“our great grandmother Nakawé”); Tamátsi
skin quivers that are used on the peyote pilgrimage, an up-
Kauyumari (“elder brother Káuyumarie”), the trickster / cul-
right log drum with deerskin head, snares for ceremonial
ture hero who manifests himself as deer; another deer deity,
deer hunting, a supply of peyote, clay pots for the ritual
Tamátsi Maxa Kwaxí (“elder brother deer tail”); the corn
maize beer (nawá) and so on. The most important occupant
goddess, who also personifies the earth made fertile by rain,
of the sanctuary is the urukáme, which is a small rock crystal
Tatéi Utuánaka (“our mother”; lit., “our aunt”); and so
tied in a sacred bundle to the shaft of a hunting-arrow-like
forth. Female deities personify rain, water holes, lakes,
prayer arrow and that represents a deceased ancestor, usually
ponds, maize, and squash. Agricultural, human, and animal
a shaman. This miniature medicine bundle functions as su-
fertility and fecundity are also personified by female deities,
pernatural guardian of the ranch community, who gives spir-
who are often depicted as snakes in ceremonial art. Many of
itual and practical counsel to the ranch elder or family
the male deities are associated with the dry season, the hunt,
shaman.
and game. Some male and female deities function as owners
of animal or plant species. The divine cactus, peyote, is per-
Numerous shrines associated with one or more deities
sonified as Sacred Deer, Master of the Deer, in a system of
are located in and around the Huichol territory, most promi-
interdependent and interchangeable symbols that, since the
nent among them the great cave of Teakáta, home of the old
shift from hunting and gathering to slash-and-burn agricul-
earth goddess and other important deities, in the comunidad
ture, has also come to include maize. As a group the deities,
of Santa Catarína. Other shrines as far away as the Pacific
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUINENG
4153
coast and Lake Pátzcuaro, south of Guadalajara, also draw
charged of the rites is reserved for Wirikúta and the first pey-
Huichol pilgrims with offerings to such local deities as Tatéi
ote to come into view. As in the myth, peyote is deer; thus,
Haramára, divine personification of the Pacific Ocean. A
the plant is literally shot with arrows. Each party of pilgrims
whole series of shrines lies along the three-hundred-mile pil-
forms at least a temporary society of hikuritámete, that is, a
grimage route to Wirikúta, the Huichol name for the sacred
community of veterans of the peyote hunt that disbands at
homeland of the divine peyote cactus, Lophophora williamsii,
the conclusion of the ritual. In former times the hikuritámete
híkuri in Huichol, just north of the Tropic of Cancer in the
may have functioned as a shamanistic medicine society simi-
high desert of the state of San Luis Potosí.
lar to those of North American Indians. Following a solemn
communion-like meal of the first peyote, the pilgrims scatter
Peyote was prominent in Aztec religion and divinatory
to collect híkuri for their own individual vision quests, and
curing, and is still important to several Indian populations
large quantities are harvested for future use.
of northwestern Mexico. But nowhere does it play so central
Notwithstanding the emphasis on peyote as the divine
a role in religious ideology and ritual as among the Huichol.
psychoactive substance, there survive among the Huichol
The mythic charter of the Huichol peyote “cult” has a histor-
remnants of a former use and veneration of Solandra, a class
ic ring: in ancient times a group of divine male ancestors,
relative of datura. Personified as the supernatural sorcerer
who later become the principal deities, calls on the great
Kieri, Solandra has its own myth cycle with historical over-
mara Dakáme Tatewarí to cure them of a variety of physical
tones and prayer offerings similar to those given to peyote.
and spiritual afflictions. He diagnoses their ills as having
So far as is known, however, no actual use of the solonaceous
been caused by their separation from Wirikúta, home of the
Solandra or datura survives among the Huichol, as it does,
sacred Deer Peyote in the distant north-central high desert,
for example, among the Native American populations of the
and by their failure to follow the ancestors in hunting and
Southwest.
consuming the divine cactus that lives there in the form of
deer. He orders them to abstain from sex, salt, food, and
BIBLIOGRAPHY
drink and leads them on a pilgrimage so lengthy and arduous
Furst, Peter T. “Huichol Conceptions of the Soul.” Folklore Amer-
that some fall by the wayside. Along the way, within sight
icas 27 (June 1967): 39–106.
of the distant sacred mountains of Wirikúta, they are saved
Furst, Peter T. Hallucinogens and Culture. San Francisco, 1976.
from death by thirst by female deities, who meet them with
Furst, Peter T. “Kieri and the Solanaceae: Nature and Culture in
lifegiving offerings of water at a place of desert springs called
Huichol Mythology.” Acta Americana 3(2) (1997): 43–57.
Tateimatiniéri (“where our mothers dwell”). From there the
Furst, Peter T. Visions of a Huichol Shaman. Philadelphia, 2003.
male and female supernaturals proceed to Wirikúta, where,
Furst, Peter T., and Marina Anguiano. “‘To Fly as Birds”: Myth
under the leadership of the great shaman, they track and slay
and Ritual as Agents of Enculturation among the Huichol
the sacred deer. Peyote sprouts from the deer’s antlers and
Indians of Mexico.” In Enculturation in Latin America, ed-
his body transforms into peyote. They grind the antlers with
ited by Johannes Wilbert, pp. 95–181. Los Angeles, 1976.
sacred water from the desert springs, and when they drink
Furst, Peter T., and Barbara G. Myerhoff. “El mito como historia:
the mixture they experience visions that restore their health
El ciclo del peyote y la datura entre los Huicholes de Mexi-
and help them “find their life.”
co.” In El peyote y los Huicholes, edited by Salomón Nahmad
Sitton et al., pp. 53–108. Mexico City, 1972.
Huichol are enculturated as infants into the sacred geog-
Lumholtz, Carl. Symbolism of the Huichol Indians. New York,
raphy and meaning of the peyote pilgrimage during an annu-
1900.
al first fruits ceremony, in which the family shaman “trans-
Myerhoff, Barbara G. Peyote Hunt: The Sacred Journey of the
forms” the infants into hummingbirds and, to the beat of the
Huichol Indians. Ithaca, N.Y., 1974.
deerskin drum and the chanting of the peyote tradition, leads
Schaefer, Stacy B. To Think with a Good Heart: Vixárika Women,
them on a magical flight to Wirikúta and back. The myth
Weavers, and Shamans. Salt Lake City, Utah, 2002.
becomes reality during the dry season when small groups of
Schaefer, Stacy B., and Peter T. Furst. People of the Peyote: Huichol
Huichol set out for Wirikúta under the leadership either of
Indian History, Religion, and Survival. Albuquerque, N.M.,
an experienced mara’akáme or one still in training. The pil-
1996.
grims assume the identities of the ancestral deities who made
Zingg, Robert M. The Huichols: Primitive Artists. New York,
the first vision quest, their leader becoming Tatewarí,
1938.
Grandfather Fire. The three-hundred-mile pilgrimage is a
journey back in time and space to the Huichol’s sacred ori-
PETER T. FURST (1987 AND 2005)
gins, where ordinary language and time are reversed, sand be-
comes water, night day, and the oldest man nunútsi (“a
baby”). For novices, who are blindfolded until they reach the
HUINENG (638–713) was a Chan Buddhist teacher,
sacred female springs, the pilgrimage serves as symbolic birth
who is best considered in terms of two entirely different per-
and initiation rite into the mysteries of the peyote medicine.
sona: historical and legendary.
Along the way, the pilgrims acknowledge the stopping places
THE HISTORICAL FIGURE. Very little is known about the his-
of the divine ancestors, and the most solemn and emotion-
torical Huineng. He was included in an early list of the ten
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4154
HUINENG
most important students of Hongren (601–674), the prima-
Despite his lack of formal qualifications to become head of
ry figure of the East Mountain Teaching phase of early Chan.
the community—illiterate, penniless, of humble family
However, the list identifies him as a teacher of merely region-
background, and not even an ordained monk—Huineng is
al significance, and the only credible detail known about him
appointed “sixth patriarch” by Hongren. The balance of the
is that after his death his family home was donated to the
text is devoted to his explanation of the dharma, which is
sam:gha (i.e., the Buddhist monastic community) for use as
identified as the teaching of “sudden enlightenment.” How-
a temple, which implies a certain degree of wealth and local
ever, the verses and Huineng’s sermon, when considered to-
prominence. Presumably because of Huineng’s place of resi-
gether, actually describe a threefold structure consisting of:
dence in the far south of China, no awareness of his religious
(1) the constant teaching of bodhisattva practice (in the verse
teachings was conveyed either to the Buddhist centers of the
attributed to Shenxiu); (2) the deconstruction of the terms
Yangzi River valley or the two capitals of Luoyang and
of that teaching through the doctrine of ´su¯nyata¯, or empti-
Chang’an. Nor did Huineng’s famous student, Shenhui
ness (in the verse attributed to Huineng); and (3) a restate-
(684–758), know very much about his own teacher—or at
ment of Chan practice in highly metaphoric terms, culmi-
least this great storyteller provides us with no anecdotes
nating in bestowal of the “formless precepts” (in Huineng’s
about him. Furthermore, Shenhui was apparently unable to
sermon that follows).
provide Wang Wei (699?–759) with even the most basic bio-
Although the Platform Su¯tra follows Shenhui in accept-
graphical details for an epitaph that the great poet, literatus,
ing Huineng as Hongren’s sole successor, it effectively writes
and Buddhist devotee wrote for Huineng in 739 or shortly
Shenhui out of the story, saying nothing of his famous cam-
thereafter.
paign and belittling him as a foolish young monk. The Plat-
THE FIGURE OF LEGEND. The legendary account of
form Su¯tra account is demonstrably ahistorical, for Shenxiu
Huineng portrays him as a penniless and illiterate layman liv-
studied with Hongren in the 650s, not toward the end of the
ing in Nanhai in the far south (Guangdong province) and
master’s life. In addition, the clever drama by which Hon-
supporting his widowed mother by selling firewood. This ac-
gren selects a single successor could only have made sense
count derives primarily from the Platform Su¯tra, the earliest
after Shenhui’s vigorous campaign to have Huineng recog-
known version of which dates from about 780, almost seven
nized as the “sixth patriarch” of Chan, which stipulated
decades after the historical Huineng’s death. This text begins
for the first time that the transmission had to be strictly
with an entertaining and instructive anecdote in which
unilinear.
Huineng has a flash of religious insight upon hearing some-
In spite of the fictive quality of the Platform Su¯tra, the
one recite the Diamond Su¯tra, after which he travels to Hon-
text had inestimable value as a religious scripture throughout
gren’s monastery in the middle Yangzi area (Huangmei, in
East Asia, based on its inspired depiction of Huineng as an
modern Hubei province). In his first encounter with Hon-
unlettered sage. The legendary persona of Huineng had an
gren, who is depicted as first treating the newly arrived
everyman quality to it, implying that book learning or even
southerner as a bumpkin, Huineng reveals his inner wisdom
difficult religious training was not necessarily required for
by pointing out that there was no distinction of north and
spiritual enlightenment, only the innate capacity to under-
south in the possession of the buddha-nature, the luminous
stand the ultimate truth. At the same time, this seemingly
potential for enlightenment inherent within all sentient be-
liberal message had a conservative underside: by showing that
ings. In spite of his precociousness, Huineng is sent off to
the Chan school would go so far as recognizing someone who
work threshing rice, treatment that may indicate his laborer
was so lacking in formal qualifications, the text also implied
origins. In the process, however, he becomes one of the tem-
the converse, that anyone the Chan school installed as abbot
ple’s lay practitioners (a pre-ordination track in the two-tier
(i.e., the patriarch of a given monastic community) was
system of becoming formally ordained in Tang-dynasty
therefore an enlightened individual, no matter what role so-
Buddhism).
cial privilege or other factors might have played in his
The story continues to the effect that Hongren, having
selection.
decided to appoint a successor, instructs his students to write
The Platform Su¯tra is a masterful synthesis of ideas from
verses expressing their levels of understanding. The only one
various early Chan sources. For example, in the text Huineng
to do so is the senior student Shenxiu (606?–706), dharma
famously redefines “seated meditation” so that “seated” actu-
instructor to the other students, who with great trepidation
ally means “not to activate thoughts,” while “meditation”
writes:
means to see the buddha-nature within oneself. This style of
The body is the bodhi tree. The mind is like a bright
radical redefinition is associated with both the Northern and
mirror’s stand. At all times we must strive to polish it
Oxhead schools; indeed, a member of the latter faction may
and must not let dust collect.
have edited the earliest known version of the text. The three-
In response, the illiterate but inspired layman Huineng dic-
fold structure described above also seems to be characteristic
tates the following (only one of several variants is given here):
of Oxhead Chan. Substantial material was added to the
Bodhi originally has no tree. The mirror also has no
scripture over the years, so that the standard editions used
stand. The Buddha-nature is always clear and pure.
from the thirteenth century onward are well over twice the
Where is there room for dust? (McRae, 1986, pp. 1–2)
length of the original.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUITZILOPOCHTLI
4155
In addition to the fame accorded him through Shen-
His spectacular religious development from a tribal god to
hui’s campaign and his depiction in the Platform Su¯tra, the
the principal god of the imperial capital is reflected in two
legendary Huineng is also recognized as the teacher of two
mythical episodes that were ritually celebrated by the Aztec.
figures from whom all later Chan lineages are said to derive.
The first, telling of the founding of the city, appears in the
(There is no reliable biographical evidence that these or any
Historia de la nación mexicana and in the Codex Boturini,
of the other supposed students of Huineng’s actually studied
which recount how Huitzilopochtli led the Méxica from
with the historical figure.) These are Nanyue Huairang
Chicomoztoc (“place of the seven caves”) into the Valley of
(677–744) and Qingyuan Xingshi (d. 740), who are known
Mexico. In a second episode, Huitzilopochtli appears in the
only through their identities as the teachers of Mazu Daoyi
form of a giant eagle landing on a blooming cactus growing
(709–788) and Shitou Xiqian (710–790), from whom derive
from a rock in the center of Lake Tezcoco in 1325 CE, the
the later Linji and Caodong lineages (Japanese, Rinzai, and
date of the founding of the Aztec capital. This event, pic-
So¯to¯).
tured in the Codex Mendoza, is marked by the construction
of a shrine to Huitzilopochtli and the division of the com-
BIBLIOGRAPHY
munity into five parts.
For a masterful study of the growth of the legend of Huineng and
a translation of the earliest version of the Platform Su¯tra,
This shrine (which became the Templo Mayor of Te-
which also includes an edition of the Dunhuang manuscript
nochtitlán) and much of the ritual activity associated with
on which the translation is based, see Philip B. Yampolsky,
it were modeled after the myth of Huitzilopochtli’s birth re-
The Platform Su¯tra of the Sixth Patriarch: The Text of the Tun-
corded in book 3 of Fray Bernardino de Sahagún’s Historia
huang Manuscript with Translation, Introduction, and Notes
general de las cosas de la Nueva España (1569–1582; also
(New York, 1967). Another translation of the same version,
known as the Florentine Codex). The teotuicatl (“divine
sometimes useful for its renderings of colloquial Chinese
song”) of the god’s birth depicts a society of the gods prepar-
phrases, is Wing-tsit Chan, The Platform Scripture (New
ing for war at the cosmic mountain, Coatepec (“serpent
York, 1963). For a translation of the much expanded thir-
mountain”), where the mother of the gods, Coatlicue, has
teenth-century version of the text, see John R. McRae, The
been mysteriously impregnated by a ball of feathers. Her four
Platform Su¯tra of the Sixth Patriarch, BDK English Tript:aka
73-II (Berkeley, Calif., 2000). Morten Schlütter has dis-
hundred children, enraged at her pregnancy, launch an at-
cussed the evolution of the text in “A Study in the Genealogy
tack. At the critical moment, Coatlicue gives birth to Huitz-
of the Platform Sutra,” Studies in Central and East Asian Reli-
ilopochtli, fully grown and dressed for war. He takes his xi-
gions 2 (Autumn 1989): 53–115. For analysis of the legend-
uhcoatl (“serpent of lightning”) and slaughters the attacking
ary identity of Huineng and the contents of the Platform
siblings. This episode has been variously interpreted by
Su¯tra, see John R. McRae, The Northern School and the For-
scholars as depicting a historical event or an astral encounter
mation of Early Ch’an Buddhism (Honolulu, 1986), pp. 1-6
of the sun conquering the moon and stars.
and 235–238, and Seeing through Zen: Encounter, Transfor-
mation, and Genealogy in Chinese Zen Buddhism (Berkeley,
Huitzilopochtli’s supreme power was lavishly celebrated
Calif., 2003), pp. 60–69.
at the festival of Panquetzalitzli (“raising of banners”), which
involved special human sacrifices following an opening ritual
PHILIP YAMPOLSKY (1987)
J
called Ipaina Huitzilopochtli (“the swiftness of Huitz-
OHN R. MCRAE (2005)
ilopochtli”). In the latter ritual, according to Fray Diego
Durán in Los dioses y ritos and El calendario (c. 1581), a swift
HUI-NENG
runner carried a dough image of the god through the streets
SEE HUINENG
of the capital, pursued by a multitude of “travelers” who
never managed to catch him. This signified that Huitz-
ilopochtli was never captured in war, but was always trium-
HUITZILOPOCHTLI (“hummingbird of the
phant over his enemies.
south”) was the most powerful god in Aztec religion. The
Historically, following the formation of the Aztec state
tribal god of the wandering Méxica, he became the patron
with the successful revolution against the empire of Azcapot-
deity of the Aztec ceremonial capital, Tenochtitlán (1325–
zalco in 1428, the cult of Huitzilopochtli came to include
1521). Primary sources depict the dual nature of the god, in-
massive human sacrifices of captured warriors, women, and
cluding a human aspect as left-handed warrior hero and a di-
children, which, the Aztec believed, contributed to the inte-
vine aspect as the solar god who kills the powers of the night.
gration of the Aztec state, cosmic order, and Huitz-
Both aspects express a single fact about Huitzilopochtli: He
ilopochtli’s dominance.
was a terrible, overwhelming warrior who completely domi-
nated his enemies.
BIBLIOGRAPHY
At the time of the Spanish conquest in 1521, Huitz-
Carrasco, Davíd. “Templo Mayor: The Aztec Vision of Place.” Re-
ilopochtli’s shrine was situated, along with that of the rain
ligion 3 (July 1981): 275–297. This article relates Huitz-
god Tlaloc, on top of the largest pyramid in the Aztec em-
ilopochtli’s mythology to the architectural structure of the
pire, the Templo Mayor (Great Temple) of Tenochtitlán.
Aztec Great Temple and utilizes evidence from the excava-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4156
HUIYUAN
tions that took place in Mexico City between 1978 and
Jin, Huiyuan elaborated his position on church-state rela-
1982.
tions in his influential The S´ram:ana Does Not Pay Homage
Matos Moctezuma, Eduardo. “El Templo Mayor: Economia e
to the Ruler. Here he argued that of the two groups in Bud-
ideología.” In El Templo Mayor: Excavaciones y estudios, ed-
dhism, the laity and the clergy, the former is subject to tem-
ited by Eduardo Matos Moctezuma. Mexico City, 1982. A
poral authority but not the latter, since its members had
basic description of the complex evidence associated with
abandoned society for nonworldly ends.
Huitzilopochtli’s cult at the center of the Aztec empire.
Huiyuan also enjoyed enormous popularity among the
New Sources
gentry of South China, for it was to this group that he pri-
Boone, Elizabeth H. Incarnations of the Aztec Supernatural: The
marily directed his literary efforts. Some thirty of his works,
Image of Huitzilopochtli in Mexico and Europe. Philadelphia,
in the form of letters, essays, prefaces, eulogies, or inscrip-
1989.
tions, are extant. Unlike Dao’an, who primarily wrote com-
Brumfiel, Elizabeth M. “Huitzilopochtli’s Conquest: Aztec Ideol-
mentaries for the Buddhist clergy, Huiyuan addressed issues
ogy in the Archaeological Record.” Cambridge Archaeological
that most concerned the gentry: rebirth, the immortality of
Journal 8 (1998): 3–14.
the soul, the doctrine of karman, and the nature of the
Nicholson, Irene. Mexican and Central American Mythology. New
dharmaka¯ya. His previous classical training made him suc-
York, 1985.
cessful in explaining these concepts in terms of the philo-
D
sophical outlook of the Chinese elite, which at the time was
AVÍD CARRASCO (1987)
Revised Bibliography
dominated by xuanxue (“dark learning”) speculations into
the underlying source (ben) of phenomena. That he never
once quoted a Buddhist su¯tra by name but made numerous
allusions to the Confucian classics attests to his fervent desire
HUIYUAN (334–416), more fully Shi Huiyuan or Lü-
to bring Buddhism into the mainstream of Chinese spiritual
shan Huiyuan, Chinese Buddhist monk. Born to a literati
and intellectual life. Modern scholars have identified certain
family named Jia in Yanmen (Shanxi province), Huiyuan
areas in which Huiyuan’s understanding of important Bud-
went to Henan at the age of thirteen to study both the Con-
dhist concepts deviates from that of the Indian texts. They
fucian classics and the Laozi and Zhuangzi. When he was
have attributed this both to his concern to present Buddhist
twenty he met the eminent Buddhist monk Dao’an (312–
notions in a form comprehensible to the Chinese, as in his
385), whose personality and explanation of the philosophy
postulation of a cosmic soul (shen) as a means of explaining
of the “perfection of wisdom” (Skt., prajña¯pa¯ramita¯) im-
the process of rebirth, or to his frank inability in some in-
pressed him so much that he embraced Buddhism and be-
stances to master the subtleties of Buddhist doctrine. This
came his disciple. He remained with Dao’an for twenty-four
is particularly evident in his treatment of the Ma¯dhyamika
years, residing mostly at Xiangyang. In 378 the invading Qin
concepts introduced into China by Kuma¯raj¯ıva. Huiyuan’s
army forced master and disciple to separate. Huiyuan went
correspondence with this, perhaps the greatest of all Bud-
south and eventually settled on Mount Lü in Jiangxi, where
dhist translators, is one of our richest sources of information
one of his colleagues from his days in Xiangyang, Huiyong,
on the development of Buddhist thought in fifth-century
interceded on his behalf to have the Donglin Monastery built
China.
for him around 384. He remained there until his death thirty
years later.
Among Huiyuan’s many accomplishments, his devo-
tional group probably had the most enduring influence on
The Donglin Monastery soon became the most famous
Chinese Buddhism. In 402 Huiyuan and 123 lay and clerical
center of Buddhism in southern China and continued to be
disciples gathered before an image of the Buddha Amita¯bha
so for several centuries after Huiyuan’s death. Much of this
and made a collective vow to be reborn together in his Pure
prestige derived from the high esteem in which Huiyuan was
Land. Huiyuan’s devotional group served as a model for the
held by the courts of the Eastern Jin dynasty in the South
lay-based Buddhist societies of the mid-Tang and Song peri-
and the Yao Qin dynasty in the North, and by local rulers,
ods, the most well known of which is the White Lotus Soci-
who regarded him as the bulwark and paragon of Buddhist
ety of the early twelfth century. This group claimed to take
virtue. Huiyuan was active as a scholar and proponent of
its name from that of Huiyuan’s confraternity; modern
Buddhism, improving its status in China by increasing the
scholarship, however, has shown the name to be of later ori-
number of texts available in translation and by defending the
gin. The deliberate evocation of Huiyuan’s legacy some eight
religion against its opponents. He sent certain of his disciples
hundred years after his death, however, attests vividly to his
west to gather scriptures, of which over two hundred were
enduring prestige in the Chinese Buddhist community. His
eventually translated. He was also involved in the activities
influence continues to be acknowledged by the Pure Land
of many translators, three of whom represented three impor-
traditions of both China and Japan, which have traditionally
tant tendencies in Buddhism: Sam:ghadeva (Abhidharma
regarded Huiyuan as their founder and first patriarch.
texts), Buddhabhadra (dhya¯na texts), and Kuma¯raj¯ıva
(Ma¯dhyamika texts). In 404, in response to the anti-
SEE ALSO Dao’an; Jingtu; Kuma¯raj¯ıva; Millenarianism, arti-
Buddhist policies of Huan Xuan, the usurper of the Eastern
cle on Chinese 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
HUJW¯IR¯I, AL-
4157
BIBLIOGRAPHY
nine works, all of which, except for a collection of verses
The best historical treatment of Huiyuan, including translation of
(d¯ıwa¯n), were devoted to mysticism and ethics. Of these
his biography, can be found in Erik Zürcher’s The Buddhist
none has survived.
Conquest of China (Leiden, 1959), pp. 204–253. For an over-
view of Huiyuan’s thought, with emphasis on his deviation
Contrary to later tradition, al-Hujw¯ır¯ı does not seem
from the original Indian position, there is Walter Lieben-
to have had a single spiritual guide (pir), and certainly his
thal’s “Shih Hui-yüan’s Buddhism as Set Forth in His Writ-
visit to Lahore, to judge from his own words, was not at this
ings,” Journal of the American Oriental Society 70 (1950):
unnamed pir’s orders. He says that he was separated from his
243–259. Huiyuan’s major essay, The S´ram:ana Does Not Pay
books in Ghazn¯ın and forced to be (girifta¯r) among strangers
Homage to the Ruler (Shamen bu jing wangzhe lun), is fully
(na¯jinsa¯n) in Lahore. The use of the past tense suggests that
translated by Leon Hurvitz in “‘Render unto Caesar’ in Early
he was no longer in Lahore when he was writing the Kashf
Chinese Buddhism,” in Liebenthal Festschrift, “Sino-Indian
al-mah:ju¯b, and from a passage on contemporary saints it
Studies,” vol. 5, pts. 3–4, edited by Roy Kshitis (Santinike-
tan, 1957), pp. 80–114. An assessment of Huiyuan’s under-
would seem that he was then in Ghazn¯ın. His tomb in La-
standing of Ma¯dhyamika philosophy, plus translation of his
hore is, therefore, not likely to be genuine. The traditional
correspondence with Kuma¯raj¯ıva and a list of all of his extant
year of his death (AH 465) inscribed on this tomb is probably
writings with textual references, can be found in Richard
not far wrong, however, though Nicholson believes that he
Robinson’s Early Ma¯dhyamika in India and China (Madison,
might have died within the next four years.
Wis., 1967), pp. 96–114, 181–205. Eon Kenkyu¯, 2 vols., ed-
ited by Kimura Eiichi (Kyoto, 1960–1962), is the most thor-
Al-Hujw¯ır¯ı’s Kashf al-mah:ju¯b became a classic text for
ough work on this figure; it includes studies on Huiyuan, his
later Persian and Indian Sufism, partly because of its compre-
texts and translations.
hensive nature, partly because of its moderation, and partly
because of its eclecticism. Al-Hujw¯ır¯ı wrote when many of
New Sources
the later elements of Sufism—the erotic concept of relation-
Tanaka, Kenneth K. The Dawn of Chinese Pure Land Buddhist
Doctrine: Ching-ying Hui-yuan’s Commentary on the Visual-
ship with God, the total submission to the pir (leading to the
ization Sutra. Albany, N.Y., 1990.
“chain” of teachers, or silsilah), and the doctrine of panthe-
ism—were either subdued or held only in secret. These are,
Tsukamoto, Zenryu¯. A History of Early Chinese Buddhism: From
therefore, not prominent in the text, though, as in the sec-
Its Introduction to the Death of Huiyuan. Translated from the
tion on Mans:ur al-H:alla¯j, al-Hujw¯ır¯ı shows himself capable
Japanese by Leon Hurvitz. Tokyo, 1985.
of both rejecting and tolerating pantheism; elsewhere he at-
Wagner, Rudolf G. “The Original Structure of the Correspon-
tempts a distinction between mah:abbah and Eishq to grapple
dence between Shih Hiu-yuan and Kumarajiva.” Harvard
with the tendency toward eroticism. The separate S:u¯f¯ı disci-
Journal of Asiatic Studies 31 (1971): 28–48.
pline, of which the pir was later to become the kingpin, is
KENNETH TANAKA (1987)
boldly elaborated: The life of poverty, acceptance of alms,
Revised Bibliography
the patched garment, the practice of verse recitation (sama¯ E),
even the trend toward celibacy, are all expounded, though
always with a willingness to state or even tolerate contrary
opinions. In his treatment of the h:a¯jj, he expresses the same
HUJW¯IR¯I, AL- (d. AH 469?/1076? CE), more fully EAl¯ı
curious reserve toward the actual performance of that ritual
ibn EUthma¯n ibn EAl¯ı al-Julla¯b¯ı al-Ghaznaw¯ı al-Hujw¯ır¯ı,
as is found in subsequent S:u¯f¯ı tradition.
was the author of Kashf al-mah:ju¯b (The unveiling of the se-
crets), a very early textbook of Sufism in the Persian lan-
guage. Almost all the facts of al-Hujw¯ır¯ı’s life that can be
BIBLIOGRAPHY
trusted come from what he says about himself and his con-
Kashf al-mah:ju¯b has been edited by V. A. Zukovsky (Leningrad,
temporaries in the Kashf al-mah:ju¯b. His name relates that he
1926) and, from a very old manuscript, alleged to date from
the thirteenth century, printed by Ah:mad Rabba¯n¯ı, with an
was a native of Ghazn¯ın; Julla¯b and Hujw¯ır were apparently
introduction (posthumous) by Muh:ammad Shaf¯ıE (Lahore,
quarters of that town. From the descriptions of his contem-
1967). An abridged translation has been published, with an
poraries, it is clear that he was born around the beginning
important introduction by Reynold A. Nicholson, Kashf
of the eleventh century. He studied Sufism with Abu¯ al-Fazl
¨
al-Mahju¯b: The Oldest Persian Treatise on Sufism, “Gibb Me-
Muh:ammad Khut:t:al¯ı and read some other sciences with
morial Series,” 2d ed., (1936; reprint, Lahore, 1976).
Abu¯ al-EAbba¯s al-Ashqa¯n¯ı. Al-Hujw¯ır¯ı traveled widely
through Central Asia, Afghanistan, Iran, Azerbaijan, Iraq,
M. ATHAR ALI (1987)
and Syria as a dervish, staying in S:u¯f¯ı hospices (kha¯nqa¯hs)
and apparently subsisting on alms. For the first eleven years
that he was a mystic, he says, he had been preserved from
HUMAN BODY
marriage; but then either a marriage or a love affair (for the
This entry consists of the following articles:
words are not clear) created a dangerous diversion, although
MYTHS AND SYMBOLISM
he was able to escape after one year. By the time he wrote
HUMAN BODIES, RELIGION, AND GENDER
the Kashf al-mah:ju¯b he had already composed as many as
HUMAN BODIES, RELIGION, AND ART
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4158
HUMAN BODY: MYTHS AND SYMBOLISM
HUMAN BODY: MYTHS AND SYMBOLISM
A more emphatically dualistic understanding of the
One of the great intellectual and spiritual problems through-
human condition, supported by a much more elaborate my-
out human history has been posed by the fact that certain
thology and cosmology, is to be found in the Manichaean
material substances, which are now termed “organic,” possess
system. Although the details differ somewhat from one textu-
life, while other matter does not. The observation that some
al source to another, the basic outlines of Mani’s views are
things eat, drink, grow, and reproduce for a finite period of
reasonably consistent throughout. Within Mani’s universe,
time, then cease to do so, prompts fundamental inquiries
two realms initially stood separate from one another, these
into the nature of life and death, time and change, meaning
being characterized sometimes as the realms of light and
and meaninglessness, and also gives rise to speculation about
darkness, good and evil, God and matter, or the truth and
the nature of living substances—specifically as to what it is
the lie. From the realm of light, it is told there ventured forth
that sets them apart from those that are dead and inert. Such
a being, a son of God, known as Primeval Man, Ohrmazd,
speculations, until the very recent past, were hardly confined
and by other names. This figure took with him his own five
to technical issues of biochemistry and biophysics. Rather,
sons, who were the beneficent elements of air, wind, light,
physiology entailed the study of life, humanity, and the uni-
water, and fire (but note the absence of earth!), and he at-
verse; as such, it had always a profoundly religious dimen-
tached these elements to his body in order that they might
sion.
serve as armor to protect him. His expedition, however,
ended in defeat, and as a result particles of light came to be
Although there have been countless different systems of
intermixed with dark, gross, earthly matter. As one
religio-physiological speculation that enjoyed currency at
Manichaean hymn describes it:
one time and place or another, two general patterns are par-
ticularly well attested and noteworthy for the pointed way
Angry became A¯z [“Desire”],
in which they frame the problematic of organic matter.
that evil mother of all demons,
These are the dualism of body and soul (which radically dif-
and she made a heavy disturbance
ferentiates the life principle from all else) and the homolog-
for the sake of helping herself.
ization of microcosm and macrocosm (which systematically
And of the dirt of the demons
correlates the body with the world outside).
and of the filth of the she-demons
she made this body,
With regard to the first, dualistic physiology posits a
and she herself entered it.
radical distinction between base matter and some nonmateri-
Then from the five Elements of Light,
al life principle which inheres only within certain material
the armor of Lord Ohrmazd,
aggregates for a period of finite duration. The entry of this
she formed the good soul
life principle—be it defined as soul, spirit, breath, warmth,
and fettered it into the body.
or the like—vivifies and energizes the matter in which it re-
She made it like one blind and deaf,
sides; when it departs, death is the result. Such a dualism is
unconscious and deceived,
implicit in the familiar account of the creation of the first
that he at first might not know
human being in Genesis 2:7, where the body is carefully dif-
his true origin and family.
ferentiated from the life principle, with only the latter deriv-
She created the body and prison,
ing directly from Yahveh himself: “Then the Lord God
and fettered the grieved soul. (trans. Jes P. Asmussen)
formed man of dust from the ground, and breathed into his
nostrils the breath of life; and man became a living being.”
The problem that then faced Manichaeans was how to regain
knowledge of the origin and true nature of the light within
Such a dualism inevitably connotes a devaluation of the
them, how to separate it from the disgusting bodily matter
body in relation to the life principle. To a certain extent, the
with which it was now commingled, and how to return it—
two are contrasted to one another so that soul is to body as
along with as many other light particles as possible—to the
sacred is to profane. The logic of this analogy, however, de-
celestial realm of light. In pursuit of salvation, the
mands a mythology, cosmology, and metaphysics that at-
Manichaean elect were called upon to purify themselves
tempt to resolve the questions of how and why a divine, im-
through meditation, sexual abstinence, withdrawal from nor-
material life principle can reside within a profane material
mal labor, and a fascinating set of dietary practices. Above
body, and what the ultimate fate of this life principle may
all, their prescribed diet emphasized items that were extreme-
be. Genesis posits an earthly origin for the body of the first
ly light in color, such as melons and cucumbers, for these
man (whose very name, Adam, “clay,” underscores this fact)
were considered to have within them many particles of light.
and a divine origin for his life principle, breathed into him
Proper ingestion was thus understood to be the absorption
by a benevolent creator. The analysis of death in Hebrew
of light, while defecation was the voiding of dark matter.
scripture follows as a corollary to this, for the body is re-
Over time the elect was expected to modify the mixture of
turned to the dust from which it came, while the life force
darkness and light within his body in favor of the latter, in
is breathed back to God with the final (literal) expiration
preparation for the ascent of this concentrated light to its pri-
(Eccl. 12:7, Ps. 104:29).
mordial, heavenly home. Bodily processes thus, ironically,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUMAN BODY: MYTHS AND SYMBOLISM
4159
became the mechanism for salvation from the bodily prison.
and the cosmos, of matter and spirit were resoundingly af-
Turning to the second general pattern of religio-
firmed; they also provided the basic building blocks for a va-
physiological speculation, one may take as an example of the
riety of ritual actions.
homologization of microcosm and macrocosm the general
Among these rituals, one of the most important was sac-
Indo-European system of creation mythology. This system
rifice. This was no mere gift exchange but a ceremony in
rests upon two elegantly symmetrical myths: a cosmogony,
which the very cosmos was sustained as matter drawn from
in which is described the creation of the universe from the
the bodily parts of the victim was transformed into its macro-
body of the first man; and an anthropogony, describing the
cosmic alloform, replenishing and renewing thereby the uni-
creation of the first man out of parts of the universe. Ger-
verse, in repetition of the cosmogony: bones became stones,
manic sources offer excellent examples of both. Consider, for
flesh became earth, and so on. Healing rituals were also based
instance, this cosmogonic account:
upon knowledge of the homologic relation between body
From Ymir’s flesh the earth was made
and cosmos. Broken bones might thus be knit by the intro-
and from his sweat, the sea;
duction of matter drawn from stones, flesh injuries healed
by application of earth, and loss of hair reversed by rubbing
Mountains from his bones, trees from his hair,
plants into the scalp—as is attested in an Indic charm, in
and heaven from his skull.
which the priest addresses first the plant to be used and then
From his brows built the gentle gods
the patient:
Midgard for the sons of men;
You are a goddess, born upon the divine earth, O Plant!
And from his brain shaped they all the clouds,
We dig you now, you who stretch downward, in order to
Which were hard in mood. (Grímnismál 40–41)
make the hairs firm.
Although the following anthropogonic account exhibits a su-
Make the old ones firm; cause to be born those which are
perficial Christianization, having been written in the fif-
still unborn, and make those which have been born grow
teenth century CE, the bulk of its contents derive from the
longer.
pre-Christian tradition, as is seen from the way it preserves
That hair of yours which falls out, and that which is
the same pattern as the pagan cosmogony cited above:
cut off with its roots still attached—
God made the first man—that was Adam—from eight
This now I sprinkle with the all-healing herb!
transformations: his bone from stone, his flesh from
(Atharvaveda 6.136)
earth, his blood from water, his heart from wind, his
thoughts from clouds, his sweat from dew, the locks of
The posited efficacy of this cure rests on the alloformic rela-
his hair from grass, and his eyes from the sun. (Code
tion of hair and plants. Plants were taken to be nothing other
of Emsig)
than an alternative form for the same matter also present in
What is established in texts such as these—Indic, Iranian,
hair, and the knowledgeable priest could ritually transform
Baltic, Slavic, Greek, Roman, and Celtic parallels could also
this matter back into hair when the need arose. Traces of this
be adduced—is the fundamental consubstantiality of the
ideology and ritual persist today in the enduring popularity
human body and the universe. The intent of these myths is
of herbal shampoos, conditioners, and hair tonics.
to demonstrate in convincing detail that the cosmos is com-
The same physiological views that gave rise to such cures
posed of the very same matter as is the body, and vice versa,
for baldness inform more serious questions of life and death,
the only difference between the two being one of scale. Flesh,
for at death, bodily matter was taken to be transformed into
for instance, is only the small-scale version of soil, and stone
its macrocosmic counterparts, again in repetition of cosmo-
the large-scale version of bones, the two latter being the
gonic events. Witness this Middle Persian text:
dense hard matter located within earth and flesh, respective-
ly. A less obvious homology is that between brain and clouds,
There are five collectors, receptacles of the corporeal
substance of those who have died. One is the earth,
which seems to rest upon three perceived similarities: loca-
which is the keeper of flesh and bone and sinew. The
tion in the upper regions of the body or world, crenellated
second is water, which is the keeper of blood. The third
shape, and quasi insubstantiality (although this last is more
is the plants, preservers of bodily hair and the hair of
appropriate to thoughts than to the brain itself).
the head. The fourth is light, the recipient of fire. Last
Like flesh and earth or bones and stones, brain and
is the wind, which is the life-breath of creatures at the
clouds were understood to be alloforms—alternative incar-
time of the Renovation. (Zadspram 34.3–7)
nations—of one another. In all, nine sets of alloformic ho-
The Renovation (Frashokereti) referred to in the last line of
mologies, beyond the general one of body/universe, may be
this passage is the eschaton, the moment of world renewal
confidently reconstructed for the Indo-European system:
and final purification. The reference is a pointed one, for
flesh/earth, bone/stone, hair/grass, blood/water, eyes/sun,
among the culminating events of this end time is the resur-
mind/moon, brain/cloud, skull/rim of heaven, and breath/
rection (Pahl., rista¯x¯ez) of the dead, a process that reverses
wind. These detailed homologies gave concrete expression to
that of death, taking matter from its macrocosmic incarna-
a sweeping religious vision in which the unity of humanity
tion and restoring it to bodily existence; this is spelled out
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HUMAN BODY: MYTHS AND SYMBOLISM
in another Middle Persian source, which states that in order
force of her personality, this woman is expected to shape the
to accomplish the resurrection “Ohrmazd [the Wise Lord]
body and life of the young woman so that she too will enjoy
summons bone from the earth, blood from the water, hair
and exhibit hózhó˛.
from the plants, and life-breath from the wind” (Pahlavi
Costume and adornment may also carry hózhó˛ and
Riva¯yat accompanying Da¯dista¯n i d¯ın¯ıg 48.55).
transmit it, as is most clearly stated regarding silver jewelry.
If death repeats the cosmogony of this system, it is also
These objects will be beautiful only if they have been made
apparent that resurrection repeats the anthropogony. Bodily
by artisans who are in a state of hózhó˛, the visible beauty of
incarnation is but one phase of an eternal existence, in which
the objects being the result and expression of their makers’
the same material substance moves from body to cosmos to
inner beauty. Worn proudly, they communicate balance,
body to cosmos ad infinitum, death and (re)birth being but
rhythm, energy, order, and stability to those who wear them
moments of transition. Knowledge of the body thus amounts
and to any who behold them, transforming their lives and
to knowledge of the universe, from which it is inseparable
making them more beautiful in the process.
and of which it is the counterpart. Moreover, reverence for
Body decoration is also an important means for com-
one amounts to reverence for the other.
municating cultural values and transforming life experience
In presenting these two systems—body-soul dualism
throughout New Guinea, as is evident, for instance, in the
and homology of microcosm and macrocosm—we have fo-
Mount Hagen area, where such practices have been inten-
cused on attitudes toward and analyses of the origin, nature,
sively studied by Andrew and Marilyn Strathern (1971). For
and destiny of the body: on the material body as a topic for
all important public occasions, Mount Hageners decorate
speculation. But one must also consider the body as a meta-
their faces with brilliant painted patterns, and their bodies
phor and a means of communication, for in addition to its
with oils, shells, plumes, furs, wigs, and fancy aprons. Most
being a topic for thought, the body is also a medium for ex-
of these items are obtained through trade or loan, and in-
pression. Highly visible to others, the body is something so-
volve the wearer in a complex system of socioeconomic
cial as well as material, something that does not simply exist
bonds, the successful maintenance of which is indispensable
but acts and speaks as well. Displayed, viewed, commented
in putting together an impressive costume. Moreover, the
upon, criticized, and interpreted, bodies provide powerful
wearing of such a costume is a public display of one’s success
vehicles for the discussion of cultural norms and values.
in establishing and maintaining the friendship, kinship, mar-
ital, and trading relations necessary for costuming and for
Among the Navajo of the American Southwest, for ex-
life. Nor is body decoration merely the proud display of past
ample, central cultural values are elegantly summarized with-
success in these relations; it is also a means to ensure future
in the multiple usages of the term hózhó˛, the semantic range
success, especially in marriage and trade, for an effective cos-
of which spans social norms and etiquette, health and heal-
tume is understood to be one that is attractive—that literally
ing, ethics, religion, and aesthetics. Usually translated “beau-
attracts future wives and trading partners to the wearer.
ty,” hózhó˛ denotes something considerably broader than its
English equivalent, referring specifically to a state of order,
It should be stressed that among Mount Hageners, body
harmony, dynamic balance, and well-being—in short, all
decoration is not an individualistic display born of personal
that is desirable and makes life pleasant, stable, interesting,
ambition or vanity. Rather, it is something undertaken by
and worthwhile. Yet the translation “beauty” is more a con-
a corporate group, most often a clan, who paint their faces
densation than an oversimplification, for it is possession of
and arrange their ornaments for a given occasion in accor-
these qualities that, according to the Navajo, makes and
dance with a prearranged pattern set by a “Big Man.” Within
marks anything as beautiful.
the clan, members compete to produce the finest costume
while adhering to the common pattern, but they also com-
Given such a view, physical beauty is quite naturally
pete as a group against other clans for the prestige of having
highly valued, for it is understood to be the visible form pro-
the finest decorations. Success in such competition can come
duced by an inner state, specifically by that inner state that
only when the clan has the support of its ancestral spirits, and
makes a person cooperative, dependable, productive, and
such support is ensured by two methods. First, sacrifices to
beneficial to others. Moreover, such beauty is contagious,
the ancestors are offered prior to any occasion of public dis-
and can be transmitted from one person to another. That is
play, thereby cementing good relations between the living
to say, one who is at peace with himself/herself, possessing
and the dead. Second, good relations among clansmen must
a balanced, well-ordered (hózhó˛) mental and emotional state,
also be maintained, for the ancestors are outraged by moral
communicates this to others, leading them to relax and enjoy
failings and friction within the clan group, and will withhold
the same well-being, which they may then transmit to still
their support should these be present.
others. That physical beauty may also be transmitted follows
as a natural corollary of this line of thought, and a regular
In the Mount Hagen area, then, not only is it true that
feature of a Navajo woman’s initiation ritual is the “mold-
body decoration is a means for announcing and commenting
ing” of the initiand by an older woman who is recognized
upon social values, but the set of rituals and beliefs associated
as beautiful in the fullest sense of the word. By the pressure
with body decoration serves as a buttress for those values. As
of her body—applied in strenuous massages—and by the
the Stratherns cogently argue:
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HUMAN BODY: MYTHS AND SYMBOLISM
4161
The two central values are clan solidarity and prestige,
called Apologue of Menenius Agrippa, employs corporate
and individual wealth and well-being. This suggests
imagery. The story, as told by Livy and others, is that at a
why it is so appropriate that Hageners decorate them-
certain moment in Roman history, the lower classes of soci-
selves for it is men and women as persons who remain
ety (the plebes) withdrew from the city of Rome, outraged
the points of reference of these values. This is not to
at their exploitation by the ruling Patrician class. Unwilling
deny that the value of group solidarity could be ex-
to confront them militarily—for victory or defeat would be
pressed in many other ways, for example by cult build-
ings or statues. But decorations and dancing provide an
equally disastrous—the Patricians sent an ambassador, one
excellent mechanism for demonstrating both of the two
Menenius Agrippa, who recounted the following parable to
values together. Moreover, the values are to some extent
the rebellious orders:
complementary rather than opposed. . . . Hageners
hold, in fact, that in this context the prestige of the clan
There was a time when man’s bodily parts did not agree
coincides with that of its members. It is themselves that
in unity, as they do now, but individual limbs had their
they decorate, for it is through men’s personal achieve-
own opinions and their own powers of speech. Then,
ments that renown is brought to them and their clan
the other parts were outraged at having to work for the
alike. (Strathern and Strathern, 1971, pp. 172–173)
belly, while the belly rested idly, savoring their delicious
gifts. So they plotted that the hands would not take
The Navajo and Mount Hagen examples and others like
food to the mouth, the mouth wouldn’t swallow, and
them are particularly important for showing the rich and var-
the teeth wouldn’t chew. As a result, they starved the
ied ways in which the body may be used to articulate and
belly and all of them wasted away together. It thereby
became apparent that the belly is no idler, but just as
activate complex systems of thought and values. At a more
others feed it, it feeds the rest of the body. (Livy,
general—and thus, of necessity, more superficial—level, cer-
2.32.9–11)
tain recurrent patterns of symbolic discourse centered on the
body have been identified and analyzed, Raymond Firth, for
Debate here centers on whether the upper classes are parasitic
instance, has singled out four general styles of body symbol-
or not, an issue discussed through body symbolism; the para-
ism, which may be termed the gestural, the membral, the rel-
ble asks how the belly shall be understood, but it is evident
iquary, and the corporate, although Firth himself does not
from the frame-story that the real issue is how society will
make use of these (or any other) specific identifying terms.
be ordered.
Gestural symbolism, for its part, involves the use of an
Often, corporate symbolism is used to charter and legiti-
individual actor’s body in a deliberately chosen stance or mo-
mate social stratification, as in the celebrated Vedic creation
tion to express an attitude or idea, as, for instance, when one
hymn, R:gveda 10.90 (see especially verses 11–12), in which
kneels in prayer or submission as a means of acknowledging
priests are said to have been created from the first man’s
the superior power and stature of some other being, while
mouth, warriors and kings from his arms, the class of food
simultaneously showing one’s humility in the face of that
producers and merchants from his thighs, and the servant
being. In contrast, membral symbolism is utilized more in
class from his feet. Similar systems are found in Slavic and
speech acts than in bodily action, for it employs reference to
Greek texts (the Poem on the Dove King and Plato’s Timaeus
a specific bodily part in order to make statements about ab-
69d–70a and Republic 431a–d), although certain details dif-
stract personal qualities, as in the common metaphors “big-
fer. In all cases, however, the position of the dominant social
hearted” (generous) or “silver-tongued” (eloquent). Reli-
class—numerically smallest but greatest in power and pres-
quary symbolism is related to both gestural and membral
tige—is justified by comparison to a bodily part (usually the
symbolism in certain ways. Like the latter, it makes use of
head, sometimes an organ within the head, like the mouth
bodily parts rather than bodily wholes, but like the former,
or brain) that is smaller than other bodily parts, representing
it employs a real body rather than an imagined or metaphori-
other social classes, but is placed vertically above them and
cal one. In specific, in reliquary symbolism a piece of the
enjoys some measure of executive control over them.
body of some revered figure—a saint, prophet, ancestor, or
Through this use of corporate imagery, the social order is
lover, to cite a few possibilities—becomes the focal object for
represented as if it were a natural, thus inviolable, order.
one’s emotional attachment, as with a lock of hair worn
around the neck or a saint’s enshrined remains.
On the horizontal plane, as on the vertical, corporate
imagery is also regularly used to represent and reinforce social
Most interesting and important, however, is the corpo-
hierarchies. The polarity of right and left (dextrous and sinis-
rate pattern, in which the entire human body is presented
ter) is here a dominant symbol, by use of which subordina-
as a model or replica of the social “body,” with detailed re-
tion of women to men or of radicals to reactionaries, to cite
semblances between the constituent units of society and the
but two examples, may conveniently be coded. The power
bodily members. Political leaders or others in positions of
of such imagery derives in large measure from the numerous
primacy may thus be described as the “head,” “heart,” or
polarities to which right and left are consistently associated,
“backbone” of society, as a means to describe the ways in
among them light/dark, even/odd, hand used in eating/hand
which they direct, vivify, or support the social grouping.
used after defecation, culture/nature, purity/pollution, and
More unusual is the way in which a Roman legend, the so-
sacred/profane.
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HUMAN BODY: MYTHS AND SYMBOLISM
The distinction between what is inside the body and
On the homology of microcosm and macrocosm, most recently,
what is outside is also crucial for countless systems of corpo-
see my Myth, Cosmos, and Society: Indo-European Themes of
rate symbolism that stress the difference between what is self
Creation and Destruction (Cambridge, Mass., 1986); Bai
and what is alien, what is contained and what is not, what
Wen Bian, or the Hundred Questions: A Dialogue between Two
ordered and what chaotic. Reflections on bodily images of
Daoists on the Macrocosmic and Microcosmic System of Corre-
spondences, translated by Rolf Homan (Leiden, 1976); and
inside and outside, moreover, give rise to the extremely
Leonard Barkan’s Nature’s Work of Art; The Human Body as
thorny problematic of mediation, for there are certain
Image of the World (New Haven, Conn., 1975), the last of
places—the bodily orifices—where inside and outside meet,
which deals with the popularity of this theme in England in
and certain substances—food and bodily products of all sorts
the sixteenth to eighteenth centuries.
(urine, feces, tears, sexual fluids, saliva, mucus, pus)—which
On the Navajo ideas of beauty, see Gary Witherspoon’s Language
pass from outside to inside or vice versa. Attitudes toward,
and Art in the Navajo Universe (Ann Arbor, Mich., 1977)
and proscribed behaviors (taboos) regarding, these interstitial
and Louise Lincoln’s “Navajo Silver, Navajo Aesthetics,” in
places and products may thus serve as a means for expressing
Southwest Indian Silver from the Doneghy Collection, edited by
and working out attitudes toward other borders—social, po-
Louise Lincoln (Austin, 1982). On body ornamentation in
litical, ethnic, taxonomic, or broadly cognitive—as has been
New Guinea, see Andrew Strathern and Marilyn Strathern’s
forcefully argued by Mary Douglas (1966).
Self-Decoration in Mount Hagen (London, 1971). More gen-
eral works on body decoration, such as Robert Brain’s The
It would be a relatively simple matter to multiply exam-
Decorated Body (London, 1979) or André Virel’s Decorated
ples almost endlessly for these and other patterns of body
Man: The Human Body as Art (New York, 1970), tend to
symbolism and speculation upon the nature of the body, so
have splendid photos and rather banal texts. On costume,
widespread have they been. Any thorough study of the reli-
however, The Fabrics of Culture: Anthropology of Clothing and
gious significance of the body ought to include discussions
Adornment, edited by Justine Cordwell (The Hague, 1979),
of systems of physical discipline and the overcoming of flesh-
contains some excellent essays. The studies of dance, gesture,
ly existence, as found in Yoga, among the Jains, and within
and facial expression, while still in their infancies, are ably
branches of Christian monasticism; attempts at the winning
discussed in several of the essays in Benthall and Polhemus’s
The Body as a Medium of Expression (cited above).
of bodily immortality as in Daoist and Western alchemy; and
systems of bodily ornamentation and expression such as tat-
Raymond Firth’s discussion of patterns of body symbolism is
tooing, scarification, dance, and masquerade. It is important
found in his volume entitled Symbols: Public and Private (Ith-
aca, N.Y., 1973), in which see especially pages 226–230.
to bear in mind that rich examples may as easily be drawn
Vertical stratification along lines suggested by the structure
from one’s own culture as from exotic realms, a point de-
of the human body is discussed in my Myth, Cosmos, and So-
lightfully made in Horace Miner’s classic essay “Body Ritual
ciety (cited above), especially chapter 7. Polarity of left and
among the Nacirema” (1956), in which he describes the cul-
right is the central theme of the essays in Right and Left: Es-
tic significance of such Nacirema (American spelled back-
says on Dual Symbolic Classification, edited by Rodney Need-
ward) customs as the brushing of teeth and the use of de-
ham (Chicago, 1973) and Serge Tcherkézoff’s Le roi Nyam-
odorants. Nor is Miner’s point mere satire; the rituals and
wezi, la droit et la gauche (New York, 1983). On bodily
ideology of European and American bodybuilders, dancers,
margins and orifices, the most important work remains Mary
dieters, joggers, healthcare professionals, and fashion design-
Douglas’s Purity and Danger: An Analysis of Concepts of Pollu-
ers might well stand comparison to those of the
tion and Taboo (London, 1966).
Manichaeans, Navajo, or Mount Hageners.
Horace Miner’s essay on “Body Ritual among the Nacirema” first
appeared in American Anthropologist 58 (1956): 503–507
SEE ALSO Bodily Marks; Clothing; Eye; Feet; Hair; Hands;
and has frequently been reprinted. Valuable primary data on
Head; Heart; Knees; Nudity; Phallus and Vagina; Postures
American ideologies of the body can be found in such popu-
and Gestures; Relics; Soul; Yoni.
lar volumes as Charles Gaines and George Butler’s Pumping
Iron: The Art and Sport of Bodybuilding (New York, 1982)
or John T. Molloy’s Dress for Success (New York, 1975).
BIBLIOGRAPHY
On the general theme of body symbolism and ideas regarding the
Discussions on Manichaean, Jain, yogic, Christian monastic, and
nature of the body, a number of useful essays are to be found
Daoist ideas of the body will be found in the works cited in
in two volumes: The Body as a Medium of Expression, edited
the bibliographies to the relevant articles for each of these tra-
by Jonathan Benthall and Ted Polhemus (New York, 1975),
ditions. Of special note regarding the last of these, however,
and The Anthropology of the Body, edited by John Blacking
is Kristofer Schipper’s “The Daoist Body,” History of Reli-
(New York, 1977).
gions 17 (1978): 355–387.
On the dualism of body and soul, the fullest study remains Ugo
New Sources
Bianchi’s Il dualismo religioso: Saggio storico ed etnologico, 2d
Camporesi, Piero. The Incorruptible Flesh: Bodily Mutation and
ed. (Rome, 1983). Also of value are Bianchi’s Prometeo,
Mortification in Religion and Folklore. Translated by Tania
Orfeo, Adamo (Rome, 1976), Simone Pétrement’s Le dual-
Croft-Murray; Latin texts translated by Helen Elsom. Cam-
isme chez Platon, les gnostiques, et les manichéens (Paris, 1946),
bridge, U.K., and New York, 1988.
and Ioan P. Culianu’s “Demonisation du cosmos et dualisme
Coakley, Sarah, ed. Religion and the Body. Cambridge, U.K., and
gnostique,” Revue de l’histoire des religions 196 (1979): 3–40.
New York, 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
HUMAN BODY: HUMAN BODIES, RELIGION, AND GENDER
4163
Cooey, Paula M. Religious Imagination and the Body: A Feminist
the body and the processes of nature. At the same time, the
Analysis. New York, 1994.
male has been equated with the mind and rationality, and
Eisler, Riane Tennenhaus. Sacred Pleasure: Sex, Myth, and the Poli-
spirituality has been defined in terms of those elements that
tics of the Body. San Francisco, 1995.
transcend the natural world. In such a context, it is perhaps
Feher, Michel, Ramona Naddaff, and Nadia Tazi, eds. Fragments
not surprising that the desire to impose order upon nature,
for a History of the Human Body. New York and Cambridge,
or perhaps to evade nature entirely, has disproportionately
Mass., 1989.
affected women, as control of the female can easily be con-
flated with control of nature itself. And just as the attributes
Law, Jane Marie, ed. Religious Reflections on the Human Body.
Bloomington and Indianapolis, 1995.
associated with the male have been equated with the spiritual
realm, so it can be argued that the concept of the divine has
Martin, Dale B. The Corinthian Body. New Haven, Conn., 1995.
been created in the image of those masculine values con-
BRUCE LINCOLN (1987)
ceived as distinguishable from the potentially chaotic forces
Revised Bibliography
of the natural world.
Recent philosophical and theological theorists have
begun seeking a return to the body, taking seriously human
HUMAN BODY: HUMAN BODIES, RELIGION,
physicality and refusing to see the body as a disposable con-
AND GENDER
tainer for the human soul. In such a context, issues such as
Sigmund Freud (1856–1939) famously described human be-
gender and race are revealed as significant indicators for the
ings as sick animals, caught between the apparent transcen-
way in which human beings have understood their placing
dence of rationality and the immanent reality of being physi-
in the world. At the same time as attention is being directed
cal creatures that need food to survive, that defecate, that
towards the body, postmodern theorists have challenged any
reproduce through sexual intercourse, and who will die.
attempt to understand the body in a straightforwardly “natu-
While one need not accept all Freud’s claims, this distinction
ral” or obvious way. The body, like every other aspect of
between two different types of human experience provides
human life and society, is subject to “infinitely variable social
a useful starting point for exploring the historical develop-
constructions” (Coakley, 1997, p. 3). One cannot separate
ment of ideas concerning the relationship between the
“the body” from its cultural representation.
human body, religion, and gender. While Freud is at pains
to accept the significance of the body (and particularly sexu-
An analysis of the history of religion in this context is
ality) for human self-understanding, in effect questioning the
particularly significant, for in the guise of addressing the is-
extent to which rationality can be understood as the defining
sues that arise from being a physical being, particular and ex-
feature of human being, other interpretations of these differ-
acting disciplines have been imposed upon what has been
ent experiences have tended to undervalue or belittle physi-
taken to be a potentially unruly and dangerous site of experi-
cality. Religious theorizing has made a consistent separation
ence. Michel Foucault (1926–1984) has argued that the sex-
between the intellect and the body, the spiritual and the
ual character of the body has itself been shaped by political
physical. This distinction is particularly notable in the West-
intervention. More often than not, women have been associ-
ern tradition, although by no means exclusive to it. Here, the
ated primarily with the physical, and as such the female body
religious division of existence into that which is “sacred” and
has been disproportionately affected by the attempts of the
that which is “profane” is underpinned by an equally persis-
religious to control the body.
tent philosophical theory of the human person as consisting
THE FEMALE BODY IN RELIGIOUS WRITINGS. According to
of two unequal properties. For Plato (c. 428–347 BCE), the
Émile Durkheim (1858–1917), religion is best understood
true self is equated with the soul (see Phaedo), an idea that
in terms of its social function. Religious practices and beliefs
is built upon by René Descartes (1596–1650) in his division
function as part of the attempt made by human beings to im-
of the human subject into a mind whose existence can be
pose order upon the apparently chaotic world of nature. The
proved, and a body whose existence is subject to doubt (see
body is not exempt from this attempt to distinguish what is
The Second Meditation).
pure, ordered, and thus holy from what is dirty, disordered,
THE BODY IN CONTEMPORARY ACCOUNTS OF PERSON-
and impure. As the anthropologist Mary Douglas points out,
HOOD. Twentieth-century developments in the philosophy
ideas of holiness and social order are closely related to the
of mind, most notably in the work of Gilbert Ryle (1900–
symbol of the body. The body stands as a symbol for society,
1976) and Ludwig Wittgenstein (1889–1951), challenged
and “its boundaries can represent any boundaries which are
this dualistic understanding of the human person that distin-
threatened or precarious” (Douglas, 2000, p. 142). In seek-
guishes “mind” from body and values the former at the ex-
ing to impose order on their surroundings, human beings
pense of the latter. Significantly, feminists have added to this
render as problematic that which defies order, and this is par-
analysis by exposing the unspoken gender assumptions that
ticularly true of the human body that stands as a microcosm
lie beneath the dualistic construction of the human person.
for the world. The discharges of the body, immune to any
Historically, the visually obvious role that the female plays
attempt at ordering, are thus seen as potentially defiling, and
in reproduction has led to her consistent identification with
in need of careful control (Douglas, 2000, p. 64).
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HUMAN BODY: HUMAN BODIES, RELIGION, AND GENDER
While male and female bodies are both subject to vari-
ligious systems provide a symbolic setting where they can
ous forms of discharge and excreta, the female body has been
pretend that they are, in fact, the life-givers.
associated most intimately with the perceived dangers of dis-
Goldenberg’s theory goes some way toward offering an
charges (notably menstruation) and has been subjected to all
explanation for the ambivalence shown towards women in
forms of religious stricture and control. Indeed, it can be ar-
the various world religions. As has been noted, the female
gued that a pessimistic attitude to the body as a means of
body has been seen as potentially dangerous, its “unruly na-
achieving spiritual fulfillment leads irrevocably to misogyny.
ture” subject to a range of taboos: yet at the same time
For example, the Hindu Laws of Manu (6.76–7) states that
women’s bodies have also been praised for their virginal and
the body is “foul-smelling” and “filled with urine and excre-
maternal qualities. In Christianity, this veneration gains its
ment,” and this fundamentally pessimistic attitude toward
supreme expression in the figure of the Virgin Mary, who
the body is coupled, argues Wendy Doniger, with an explicit
stands as the embodiment of both. Yet far from forcing an
misogyny. Excrement is indeed a popular metaphor for the
engagement with what it means to be a sexual being, Mary
hidden dangers of the female that crosses religious and cul-
is invariably constructed in theological discourse as an asexu-
tural boundaries. For Na¯ga¯rjuna (second century CE), one of
al woman, neutered and rendered safe by an overarching
the greatest thinkers of Maha¯ya¯na Buddhism, one who lies
male hierarchy. She poses little challenge to patriarchal defi-
with a woman may think that he lies with the most beautiful
nitions of what it is to be a woman: she is, after all, defined
of creatures, but in fact he “merely lies on top of a woman’s
according to her perceived sexual status and her relationship
bladder” (Williams, 1997, p. 210). In almost identical fash-
to the men in her life, be they human or divine. Simulta-
ion, the Christian Saint Odo of Cluny (c. 878–942 CE) notes
neously, she provides “real” women with an impossible ideal
that “to embrace a woman is to embrace a sack of manure.”
to emulate: she is the virgin who is also a mother. Indeed,
“Dirt is dangerous,” as Douglas points out (2000,
reflection on Mary suggests an apparent distortion in under-
standings of what it means to be an embodied being that is
p. xi), but to categorize bodily emissions as “dangerous” si-
brought into play by the Christian account of sin.
multaneously suggests something of their power, and goes
some way toward explaining the attitude towards the female
In the religions of classical antiquity, notions of virginity
in many religious traditions. In prehistoric times, a strong as-
were not necessarily associated with the bodily integrity of
sociation seems to have been made between the female body
an unbroken hymen: to call a goddess “virgin” was simply
and the processes of fertility. Small statuettes of female fig-
to highlight the autonomy of the deity, who was perceived
ures portrayed with large breasts, pregnant stomachs, and
as being beyond the control of men. Thus Artemis and Athe-
prominently marked genitals have been found dating back
na are virgin goddesses not primarily because they “know not
to Paleolithic times. While the ability to reproduce suggests
man” but because they are not constrained by male power.
something of women’s ability to create (for cultures that
Once the idea of original sin, transmitted through the sexual
probably did not fully understand the male role in reproduc-
act, became the orthodox Christian position, explicated in
tion, seemingly ex nihilo), the attempt to control such power
its fullest form by Augustine of Hippo (354–430 CE), virgini-
has led to taboos being constructed around both menstrua-
ty takes on an altogether different hue, becoming the way par
tion and birth. Menstruation was, and in some cases remains,
excellence of being spiritual. In such a context, the woman
subject to rigid practices in most religions. In Orthodox Ju-
who gives expression to her sexuality is particularly problem-
daism, a menstruating woman is kept separate from contact
atic, for she moves outside not simply male control but also
with male family members. In Hinduism, both menstrual
the divine order.
blood and the blood of birthing are considered unclean. In
Even the apparently safe construction of woman as
Christianity, menstruation is described as “the curse,” pun-
mother is not altogether removed from the sleight of sin.
ishment for the disobedience of Eve, and in medieval times
Childbirth is not enough to remove the inherited guilt of
a menstruating woman was not allowed to participate in the
being a daughter of Eve, the first seductress of man. In part,
Eucharist.
this theological underpinning explains the ritual of “church-
Feminist scholars suggest that this suspicion of the fe-
ing” women after childbirth. A Christian form of the purifi-
male body and its apparently unruly but also awe-inspiring
cation rite that was prescribed for new mothers in Leviticus
nature lies at the heart of patriarchal attempts to control the
12, contemporary forms emphasize the aspect of thanksgiv-
natural world. For Rosemary Ruether “patriarchal religion
ing for the safe delivery of a child. Yet the liturgical emphasis
is built on many millennia of repressed fear of the power of
is on the status of the maternal body rather than upon that
female bodily processes” (quoted in Joseph, 1990, p. 18).
of either baby or father, suggesting that it is the potentially
Naomi Goldenberg develops such reflections, suggesting that
polluting power of the maternal body that must be addressed
religion arises as “a result of the sustained practise of gender,”
and rendered safe by the appropriate religious rite.
for men can, in these cultural arenas, “safely pretend to be
The ambiguity felt towards the mother is not peculiar
women, especially in regard to matters of nurture and repro-
to Christianity. In the Indian tradition, the goddess Ka¯l¯ı ex-
duction” (Goldenberg, 1998, pp. 193, 199). Under this
presses the power of the mother both to sustain and annihi-
reading, men envy the power of women to procreate, and re-
late. A manifestation of the mother goddess Dev¯ı, she is in-
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HUMAN BODY: HUMAN BODIES, RELIGION, AND GENDER
4165
variably represented as a dark goddess, wearing a girdle of
after death, to a lower rebirth, a bad destiny, to ruin,
dead men’s hands or penises, her face and breasts covered in
to hell. But on account of this, foolish man, [you may].
blood. As such, she provides a subversion of the constraining,
(Vinaya III 19)
conventional formulation of motherhood in the Indian tra-
Danger is associated with women’s sexuality rather than with
dition. This terrifying apparition gives expression to the
the sexual desires of the man himself, although often such
deep-seated fears of the maternal power to consume as well
negative comments on the female body are accompanied by
as to succor. For feminists like Vrinda Dalmiya, Ka¯l¯ı pro-
the proviso that “your own [male] body is as filthy as a
vides a model for challenging and confronting the forces that
woman’s” (Na¯ga¯rjuna, quoted in Williams, 1997, p. 211).
shape patriarchal constructions of motherhood.
Despite such comments, connecting the female body with
Ka¯l¯ı provides an explicit image of the consistent con-
the perceived problems of the body and sexuality in general
nection that has been made between women and death. The
gives the impression that these features are female rather than
ability to give birth is not conceived in a straightforwardly
male, and thus avoiding the female can help the male to over-
positive way, for just as the mother gives life, so she also in-
come these dangers. The debates surrounding the ordination
troduces the child to the world of decay and death. Samuel
of women to the priesthood of the Anglican Church are a
Beckett (1906–1989) expresses succinctly the perceived am-
case in point. Analogies used to resist the possibility of or-
biguity of the mother: Women “give birth astride a grave,
daining women suggested a clear identification of woman
the light gleams an instant, then it’s night once more” (Wait-
with the (apparently) “lower” physical world. One opponent
ing for Godot, 1953, Act II). In her role as progenitrix of the
argued that one might as well ordain a pot of anchovy paste
species, woman stands at the boundary between life and
as ordain a woman (Smith, 1989, p. 48), a comment that
death. Existence is never only about being, for it also con-
suggests there is something primal, vegetative, and funda-
tains the inevitability of nonbeing. Paradoxically, then, em-
mentally inhuman about woman, and that spirituality will
phasizing the role of the female body in reproduction exposes
involve resisting all things female. In such a context, a
a further connection between woman and death. The desire
“woman priest” is an anomaly. Women’s bodies thus become
to instigate control over the terrifying world of fecundity,
battlefields upon which the struggle against mortality and
change, and decay has already been noted. Indeed, recogniz-
the physical world takes place.
ing mortality can lead to a desire to evade the physical, and
even the most cursory glimpse at the history of religion sug-
The areas of monasticism and asceticism prove fruitful
gests that the connection between sexuality and mortality has
for examples of this construction of (male) spirituality as re-
been developed in such a way as to suggest that by resisting
sistance to the (female) body. A story told of the Desert Fa-
the former the consequences of the latter might be, if not
ther Saint Anthony (c. 250–356) describes him falling prey
avoided, at least brought under control. In early Sufism, sex
to the seduction of a demon disguised as a beautiful woman
was seen as that which disturbed “the pure surrender of the
who visits him in his cave. She is exhausted from traveling,
soul” to God. Resistance to the sexual was mirrored in a tacit
and he offers her shelter. They talk, and simply talking with
disgust for women that reflected the disgust felt towards the
“her” is enough to engender lustful thoughts. Eventually,
world that got between the soul and its God. Woman was
overcome with desire, the monk seeks to consummate his
“the world” for she was an integral part of the process of
passion, at which point the demon reveals “herself” and
physical renewal (Schimmel, 1997).
leaves, laughing at the continuing power lust has over him.
Reflection on gender is of crucial significance at this
Woman is the temptress who lures man away from the
point, for rather than see sexuality as a fundamental part of
path of spiritual perfection into the imperfect world of the
what it is to be human (or even male) this troubling feature
physical, often described in overtly sexual terms. The thir-
has been consistently projected onto the female. Spirituality
teenth-century S:u¯f¯ı sage Jama¯l Ha¯nsw¯ı gives a suitably gen-
in diverse traditions becomes less an engagement with the
dered interpretation of the different paths confronting the
facts that emerge from accepting that we are creatures that
soul: “The seeker of the world is feminine, the seeker of the
will die, and more an attempt to evade the realm of the body
other-world is a hermaphrodite, and the seeker of the Lord
personified by woman. Even Buddhist thought, uncompro-
is masculine” (Schimmel, 1997, p. 274). Given this typolo-
mising in its attempt to engage with the facts of mortality,
gy, it is not difficult to take the next step: not only is the fe-
is not immune from this process of identifying woman with
male body associated with the physical, but it also provides
the spiritual death that comes from valuing physical things.
a fitting model for damnation. The image of the vagina den-
Thus the Buddha is reported to have said:
tata (“the womb with teeth”) is used in psychoanalytic theo-
ries to illuminate the male fear of the castrating female: yet
It would be better, foolish man, to put your male organ
its primary grounding is in religious art and imagery, where
into the mouth of a terrible and poisonous snake than
into a woman. . . It would be better, foolish man, to
the image of the devouring mouth is commonly used as a
put it into a blazing, burning, red-hot charcoal pit than
representation of hell. In this context, the mouth and the
into a woman. Why? On account of that, foolish man,
womb are connected in what Freud would call “an upward
you might die, or suffer deathly agony, but that would
displacement.” Identical images are used to describe both the
not cause you to pass, at the breaking up of the body
female sexual organs and the mouth of hell. Boccaccio
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HUMAN BODY: HUMAN BODIES, RELIGION, AND GENDER
(1313–1375), reflecting on the insatiability of the womb,
as an aspect of (some) women’s experience, but as a cipher
uses explicitly infernal images: “That gulf, then, is certainly
for the creative processes of the cosmos.
an infernal abyss which could be filled or sated as the sea with
Similar reflections are developed—albeit in a rather
water or the fire with wood” (Blamires, 1992, p. 176). Je-
more abstract way—in the writings of feminist philosophers
rome (c. 342–420) and Thomas Aquinas (1225–1274), sep-
of religion. In her quest to develop a feminist philosophy of
arated by nearly a thousand years, are similarly obsessed with
religion, Grace Jantzen proposes that natality (the fact that
the claim in Proverbs 7:27 that a wicked woman’s “house”
we are born) replace mortality (the fact that we will die) as
is “the way to hell, reaching even to the inner chambers of
the paradigm for understanding human being. This shift in
death.” The womb, like the mouth, is that which devours,
focus leads to a different set of values from those advanced
hence a Muslim saying: “Three things are insatiable: the de-
by patriarchy: flourishing and human relationship are fos-
sert, the grave, and a woman’s womb.” The life-giving power
tered, in contrast to the individualistic concerns with immor-
of the female body is thus reworked as an image for
tality and the self cultivated by an overemphasis on death.
annihilation.
Such conclusions have been questioned, for reflection upon
“THE RETURN TO THE BODY” IN CONTEMPORARY RELI-
mortality and death need not lead to the kind of solipsism
GIOUS THEORIZING. Contemporary feminist theology has
that Jantzen resists, but can similarly highlight the depen-
played a significant role not only in exposing the ways in
dence of human beings upon each other and upon the cos-
which women have been consistently identified with the de-
mos itself.
spised physical: recent work in the area has sought a more
positive reconstruction of the place of the body for develop-
Indeed, reasserting the body affects how the earth itself
ing an appropriate contemporary spirituality. “Body theolo-
is understood. Sallie McFague’s “ecotheology” results in part
gians” have sought to reclaim women’s bodies from patriar-
from her attempt to break down the dichotomy between
chal interpretation and control, seeking to “allow celebration
transcendence and immanence, and thus to rethink the
to take the place of guilt and repression” (Isherwood and Stu-
earth, not as the physical opposition to the spiritual divine,
art, 1998, p. 19). In this context, the body emerges not as
but as “the body of God” (McFague, 1993). Accepting “the
an entity to be resisted, but as a site for knowledge. The
interconnect[ed]ness of Spirit and all created beings” (Pri-
philosophical and theological dualism of mind/body is dis-
mavesi, 1991, p. 265) leads to a greater willingness to work
rupted, leading to the integration of the spiritual into the
with, rather than against, the processes of the physical world.
physical. The logic of such an approach has an impact upon
Reappraising the body thus affects much more than just
not only the way in which human being is conceived. James
an understanding of human being. Such reflection can even
Nelson, applying feminist insights to the development of an
influence the method for studying religion. Amy Hollywood
embodied male spirituality, resists the idea that sexuality
suggests that an adequate philosophy of religion will reflect
should be viewed as an aspect of “man’s” lower, animal na-
not so much on the beliefs that people hold, but upon the
ture. Integrating spirituality and sexuality leads him to reap-
way in which bodily practice shapes religious experience and
praise the nature of God. God is not as an entity transcen-
subsequent belief. Adopting Marcel Mauss’s (1872–1950)
dent from the world and its processes, but is found in
description of mystical states as resulting from specific “body
relationship.
techniques,” Hollywood argues that ritual action creates
“certain kinds of subjects, dispositions, moods, emotions,
This reappraisal of the dichotomy between divine and
and desires.” Focusing upon specific religious practices ne-
human is also addressed in the contemporary women’s spiri-
cessitates an acknowledgment of “those differences inscribed
tuality movement. The publication of Womanspirit Rising
in and on bodies (often through rituals and bodily, mental,
(1979), edited by Carol Christ and Judith Plaskow, was a sig-
and spiritual practices themselves).” Bodily experience,
nificant landmark in the development of this movement.
under this reading, is both “physiological and cultural” (Hol-
The women who contributed to this collection came from
lywood, 2003, pp. 230, 226, 231), a claim that coheres with
a number of religious traditions, and sought to reclaim the
the way in which social and religious norms have shaped fe-
sacrality of the female body. For some contributors, this in-
male bodily experience. Her ideas, however, move beyond
volved actively seeking “the female divine.” To adapt Carol
a simple discussion of the female body: if her claims are taken
Christ’s words, “women need the Goddess,” and writers such
seriously, it will be difficult to generalize about “religion” just
as Starhawk and Monica Sjöö have since developed a form
as it will become impossible to separate belief from practice.
of Goddess feminism that links the realization of female
power with the rediscovery of a female divine principle. Me-
Indeed, reflection on the female body opens up a range
lissa Raphael, the chief commentator on this movement, ar-
of topics that transcend any isolated or simplistic engage-
gues that Goddess feminism reconstructs the female body as
ment with gender. Accepting the significance of difference
a site for the sacred, disrupting the old ideas of the female
for understanding bodily practice moves beyond any uni-
body as something profane. Of particular importance to the
form account of “the body.” Yet such a conclusion need not
movement has been the attempt to rediscover and reclaim
invalidate the significance of focusing on the body. For ex-
the biological cycles of the female body. In part this has in-
ample, Nancy Eisland suggests that reflection on the experi-
volved an engagement with the maternal body, not simply
ences of people with disabilities supports the claim 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
HUMAN BODY: HUMAN BODIES, RELIGION, AND GENDER
4167
body must be seen as central for human self-understanding.
Masculine Sacrality; Menstruation; Sexuality; Thealogy; Vir-
People with disabilities, she notes, “become keenly aware
ginity.
that our physical selves determine our perceptions of the so-
cial and physical world” (Eisland, 1994, p. 31).
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Eisland’s work, far from challenging the significance of
Collins, Steven. “The Body in Therava¯da Buddhist Monasticism.”
engaging with the body, suggests that this engagement must
In Religion and the Body, edited by Sarah Coakley,
be complex. Addressing the “lived experience” of disability
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Dalmiya, Vrinda. “Loving Paradoxes: A Feminist Reclamation of
of “the body” in a simplistic way. This realization has led
the Goddess Kali.” Hypatia 15, no. 1 (2000): 125–150.
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Doniger, Wendy. “Medical and Mythical Constructions of the
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Body in Hindu Texts.” In Religion and the Body, edited by
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Schimmel, Annemarie. “‘I Take off the Dress of the Body’;: Eros
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in Sufi Literature and Life.” In Religion and the Body, edited
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by Sarah Coakley, pp. 262–288. Cambridge, U.K., 1997.
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Williams, Paul. “Some Maha¯ya¯na Buddhist Perspectives on the
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Blamires, Alcuin, ed. Woman Defamed and Woman Defended: An
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Goldenberg, Naomi. “The Divine Masquerade: A Psychoanalytic
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white woman, being treated as “the angel in the house.” Just
O’Grady, Anne L. Gilroy, and Janette Gray, pp. 188–208.
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Smith, Joan. Misogynies. London, 1989.
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Body Theology
Eisland, Nancy. The Disabled God: Toward a Liberatory Theology
the study of religion. The constructions of “woman,” spiritu-
of Disability. Nashville, Tenn., 1994.
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Isherwood, Lisa, and Elizabeth Stuart. Introducing Body Theology.
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subjects, it is important not to ignore the lived experience
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line Spirituality. London, 1988.
of being human that underpins such cultural and intellectual
constructions. As Lisa Isherwood and Elizabeth Stuart com-
Nelson, James. Body Theology. Louisville, Ky., 1998.
ment: “What must be guarded against at all costs is the disap-
Women’s Spirituality Movement
pearance of the real, lived, laughing, suffering, birthing and
Christ, Carol, and Judith Plaskow, eds. Womanspirit Rising: A
dying body underneath the philosophical and theological
Feminist Reader in Religion. San Francisco, 1979.
meaning it is called to bear. It would indeed be foolish to
Raphael, Melissa. Thealogy and Embodiment: The Post-Patriarchal
allow ‘the body’; to become a disembodied entity” (Isher-
Reconstruction of Female Sacrality. Sheffield, U.K., 1996.
wood and Stuart, 1998, p. 151).
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the Great Goddess. San Francisco, 1979.
SEE ALSO Asceticism; Birth; Blood; Bodily Marks; Death;
Ecofeminist Theologies
Desire; Ecology and Religion, overview article; Feminine Sa-
McFague, Sallie. The Body of God: An Ecological Theology. Lon-
crality; Gender and Religion, overview article; Lesbianism;
don, 1993.
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4168
HUMAN BODY: HUMAN BODIES, RELIGION, AND ART
Plumwood, Val. Feminism and the Mastery of Nature. London,
The broader history of changing attitudes toward corpo-
1993.
reality, or the bodily dimension of human existence, raises
Primavesi, Anne. From Apocalypse to Genesis: Ecology, Feminism,
a question: Can art be identified as religious if it is nonfigu-
and Christianity. Minneapolis, 1991.
ral; that is, if it omits the human figure? The human body
Issues of Gender and Difference
is the pivotal organizing principle for the expression and
Armour, Ellen T. Deconstruction, Feminist Theology, and the Prob-
comprehension of humanity’s position within society and
lem of Difference: Subverting the Race/Gender Divide. Chica-
the universe. Traditionally, artistic presentations of bodily
go, 1999.
proportions, physical motions, and facial or manual gestures
Chanter, Tina. Ethics of Eros: Irigaray’s Re-Writing of the Philoso-
were visual signifiers of the internal movements of the soul.
phers, London. 1995.
For many cultures, including Renaissance Europe, the pre-
Impact on Methodology
sentation of the human body was a visual means of classify-
Goldenberg, Naomi. Resurrecting the Body: Feminism, Religion,
ing knowledge about the world.
and Psychoanalysis. New York, 1993.
The depicting of human bodies draws connections be-
Hollywood, Amy. “Practice, Belief, and Feminist Philosophy of
tween theology and artistic styles, including presentations of
Religion.” In Feminist Philosophy of Religion: Critical Read-
asceticism, the cult of chastity, and the family. Typically, de-
ings, edited by Pamela Sue Anderson and Beverley Clack,
pp. 225–240. London, 2003.
pictions of the human body are predicated on theological
and cultural interpretations. For example, in religious cul-
Jantzen, Grace. Becoming Divine: Towards a Feminist Philosophy
tures like the Christian West, in which the human body is
of Religion. Manchester, U.K., 1998.
seen as shameful, fallen, and in need of discipline against sin,
BEVERLEY CLACK (2005)
representations of the human body have emphasized physical
weakness through unnatural but symbolic caricatures of such
specific body parts as arms, hands, and torsos. In contrast,
HUMAN BODY: HUMAN BODIES, RELIGION,
those religious cultures in which the human was seen as a
AND ART
mirror of the divine, such as classical Greece or Hindu India,
The subject matter of this entry is the depiction, inclusion,
emphasized the beauty and balance of the human form.
and interpretation of the human body in works of art prem-
These cultures interpreted the human body as the locus and
ised on religious principles or beliefs. Investigations of visual
signifier of internal modes of religious life and thought.
presentations of the human body are examinations of the
meanings and roles of the various intersections of art and reli-
Discrete systems for naming and presenting identical
gion. The implicit question of the dichotomy, whether real
objects evolved naturally within world cultures. The human
or imagined, between sacred and secular art is implied
body was one individual object that possessed both singular
throughout any discussion of the human body. Artistic and
and communal identities. Interwoven within the cultural
religious dimensions of the human form highlight cultural
fabric of each distinctive work of art was a simultaneous rec-
values and societal attitudes toward gender, figurative art,
ognition of both the universality and the uniqueness of the
and the relationship between humanity and divinity. The
human body. The implicit recognition of the human body,
fundamental issue is whether art must include the human
cultural matrix, and religious values reinforced the collective
figure in order to be religious.
memory of artist and observer.
GENERAL PERCEPTIONS OF HUMAN BODIES, ART, AND RE-
Western cultural attitudes toward the human body are
LIGION. The role and meaning of the human body incorpo-
categorized by three types: classical, medieval, and modern.
rates a diverse range of cultural forces, including but not lim-
Referencing philosophic and religious concepts of the
ited to art and religion. Different cultures and eras interpret
human form as an expression of divinity, classical art empha-
the meaning and value of the human body in distinctive
sizes harmony and order as well as a culturally conditioned
ways. The various interconnections of ideas, especially con-
concept of beauty. Medieval art reflects the preoccupation
cepts related to art and religion, reflect more than aesthetic
of Latin-speaking Christianity with finitude and guilt as the
or devotional applications. As a historical and cultural cate-
human body becomes a visual signifier of corruption and
gory, the human body undergoes numerous transformations
decay. This art tends to distort or exaggerate representations
as prevailing social, political, and economic forces change.
of the human form. Contemporary Western attitudes are ex-
Race, gender, and class, as well as religious and cultural val-
traordinarily varied and complex, which may be as much the
ues, have been imprinted on depictions of the human body
result of multiculturalism and globalization as advances in
and sanctioned throughout history. Representations of the
artistic techniques. The human body is often depicted in
human body in art, whether identified as religious or secular,
modern art as an active agent of political and societal protest
raise questions concerning structures of power, ideology, and
(especially against social and sexual orthodoxies) or as a vic-
identity. Artistic renderings and religious interpretations of
tim of aging and disease. The optic metaphor for these varied
the human body privilege it as a symbolic value and a politi-
identities is presentations that depict bodily fragmentation
cal agent, especially during periods of protest against societal
and religious disruption, or physical idealization and theo-
norms and definitions of gender as sexual identification.
logical conformity.
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HUMAN BODY: HUMAN BODIES, RELIGION, AND ART
4169
Given the universal nature of humanity, artistic presen-
ern ideal as the appropriate model for the comprehension
tations of the human body become the means of drawing
and production of images of the human body.
viewers’ attention and then enticing them into a gradual un-
I
folding of religious narratives or events, thereby forming
DENTIFYING HUMAN BODIES IN ART AND RELIGION. The
“reading” of works of art, especially in terms of the presenta-
strong emotional and psychological connections with the un-
tion of the human body in religious art, depends on a series
derlying religious message. Interactions between human fig-
of visual cues that provide viewers with information related
ures, or between human figures with either animals or inani-
to the appropriate models of behavior from ceremonial and
mate objects, convey the psychological and spiritual
devotional purposes to religious teachings of gender and mo-
dimensions of religious teachings. The religious dichotomy
rality. The symbolic role of the human body in visual dis-
between the material and spiritual is symbolized by the
course conveys messages through identifiable images and im-
human body in naturalistic, representational, and symbolic
agery known through cultural memory and the common
depictions.
cultural matrix of religious traditions. These visual cues in-
Certain religious cultures, such as those of Judaism and
clude the values expressed through gestures and postures, hi-
Islam, ban the production and enjoyment of art, either com-
eratic art, and body symbolism. The physicality of the
pletely or with specific regard to religious usage. Other reli-
human body assumes a variety of forms, from naturalistic
gious cultures prohibit the creation of figural images for cere-
bodily representations to geometric and linear depictions,
monial purposes. The imaging of the human body as the
ideographic simplifications, or exaggerations. The essence of
reference or entry point for viewers is found in these religious
being human—especially with relation to divinity and cul-
cultures through the arts of poetry or music, or through the
tural concepts of humanity—must be transformed into sub-
use of discrete visual symbols denoting the body through ab-
stantive and convincing shapes, whether natural or abstract.
straction or attribute. Other religious cultures that are char-
In religious art, the question of function is paramount
acterized initially as aniconic (opposed to the use of figural
in discerning the message conveyed. Whether the work is in-
images) establish symbolic codes that signify the presence of
tended or used for institutional, communal, or personal pur-
the human form—as in Buddhism, where the earliest images
poses determines more in this regard than does its size or
of the Buddha were not anthropomorphic but represented
cost. The manner and mode of depicting the human body
his swaddling clothes and his footprints.
and the interpretation placed upon the depiction are predi-
A crucial question in analyzing the various interconnec-
cated on the idea, teaching, or story presented to viewers.
tions of the human body with art and religion is the manner
The human body is unconsciously viewed as a model of so-
in which one comes to describe and understand the ways in
cial reality and an element in the larger structures of society,
which one sees one’s own image and in which other peoples
culture, community, and the world. Specific artists, patrons,
see their own images. Since the 1970s there has been an in-
or religious traditions encode particularized information
creasing emphasis among Western scholars in studying mar-
within artistic renditions of the human body. More than the
ginalized groups—rarely studied categories such as women,
bearer of cultural concepts of beauty and gender or sex, the
racial and ethnic minorities, and people of diverse sexual ori-
human figure embodies religious and cultural values as well
entations—whose roles, positions, and influences on culture
as engendered and social behavior. As a result, the focus of
should be factored into human history. Anthropologists and
investigation becomes the nature and types of tasks that are
artists recognize differing body types due to climatic and nu-
assigned to the human body in religious art.
tritional variations, or due to different religious or aesthetic
definitions of the ideal body. Discussions of the meaning and
Artistic representations of the human figure can be ma-
significance of racial and ethnic types within religious art
nipulated or designed in multiple ways to signify religious
were initiated within studies of marginalized groups.
meaning and values. Traditionally—that is, before the ad-
vent of interest in marginal groups— art historians construed
The perception and interpretation of images of the
the prime connector between Eastern and Western art as cul-
human body within one culture or across cultures has been
tural and religious understandings of the human body as tan-
amplified significantly since the 1970s. The process of seeing
gible manifestation of the otherwise imagined shapes of di-
and creating images of the human body is a multilayered syn-
vinity. The Greek principle of the idealization and perfection
tax composed of sociopolitical, economic, and cultural fac-
of the human form as a visible image of divine beauty privi-
tors. The fundamental Western attitude of entrancement
leged the Western attitude. The Eastern artistic tradition de-
with one’s own image leads to the appreciation of separate
veloped the parallel practice of relating the essence of tran-
elements in the image, including muscular structure, individ-
scendent ideas abstractly through the human body.
uality, or culturally conditioned ideas of beauty. This West-
Considerations of the human body as a signifier of engen-
ern perception is derived from the classical Greek view of the
dered power, racial and ethnic identities, class distinctions,
human body as a reflection of divine beauty, as a disciplined
or sociopolitical values encoded with religious meaning and
physical mechanism, and as the temporal home of the
cultural constructs are issues raised by the study of marginal-
human spirit. History and art scholarship has recognized this
ized people. Attention must be given to the relationship be-
Western attitude as normative, thereby privileging the West-
tween the privileging of Western categories even to the 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
4170
HUMAN BODY: HUMAN BODIES, RELIGION, AND ART
of asking questions about what constitutes art and what are
category is that of devotees who proffer ceremonial honor,
appropriate themes for analyses of the intersection of the
prayer, adoration, and gifts. Bodily postures and gestures sig-
human body, art, and religion.
nify both the performed action and provide a model from
which viewers can learn to enter into acts of religious devo-
Traditional Western art incorporates figural representa-
tion. Such activities, whether identified as sacred or secular,
tions, as opposed to the abstractions of the human body
turn viewers into participants and are categorized as partici-
found in modern Western art. This difference clarifies the
pative art. The fundamental modes of religious participa-
generalization that traditional art emphasizes the object that
tion—prayer, fasting, ascetic practice, and partaking of sacra-
is portrayed, while modern art accentuates the process of see-
ments or religious rituals—transform minds and bodies. An
ing the object. Traditional art is the creative expression of a
encounter with a devotional artwork provides an alternate
society, while modern art emphasizes the creative expressions
site for transformation or transcendence through partici-
of individual artists. Both artistic modes appropriate visual
pation.
symbols and signs as revelatory of supernatural or transcen-
dental powers that created and now govern earthly cultures.
The third expression is form, particularly ideal form that
Whether identified as pedagogical or ceremonial in function,
connotes sacrality and spirituality through the human body,
or mystical or aesthetic in intent, religious art includes the
or the distortions resulting from physical suffering and frailty
anthropomorphic representations of divinity as it gives mate-
that denote human finitude. Culturally specific as well as
rial shape to that which is otherwise intangible and imper-
universal, the imaging of physical perfection is an ocular
ceptible.
metaphor for spiritual presence, evidenced in depictions.
THE HUMAN BODY AS AN EXPRESSION. From signification
The aesthetics of the human body communicates such moral
of fertility and maternity to objectification of disciplined per-
concepts as self-sacrifice, discipline, self-respect, and personal
fection, the human body becomes the visual locus of a mul-
honor. Presentations of a suffering, injured, emaciated, or
tilayered discourse connecting humanity and divinity.
tormented body in religious art signifies asceticism, sacrifice,
Whether interpreted as culturally conditioned carriers of en-
or martyrdom.
gendered meaning or sources of sensual pride, artistic render-
The fourth expression is gender, which became prob-
ings of the human figure within the framework of religious
lematic after the field of women’s studies began to influence
language are physical sites of fear and anxiety. The imagery
the fields of art and religion in the late 1970s. Traditional
of the human body communicates religious ideas and moral
understandings of sex as defined by biological characteristics
values in the arts through eight categories of expression.
and gender as a socialized mode of being in the world were
The first expression is creativity and fertility, which are
questioned in the new fields of women’s studies, men’s
most often represented by the female body. The earliest sig-
studies, and gay studies. Gender studies became an umbrella
nifiers of fecundity were primal female bodies like those of
term applicable to all these disciplinary categories. All three
the so-called Venus of Willendorf and Cycladic statuettes of
designations of gender—an inclusive field of study; sexual
goddesses, which emphasize the hips, thighs, and abdomen
identification; and a socialized mode of being in the world—
while deemphasizing the head (particularly the individual-
are possible in presentations of the human body in art. Inves-
ized face) and the upper body. The universal recognition of
tigations and analyses of gender in religious art expanded ex-
the importance of female fertility figurines—all of which ex-
ponentially throughout the 1980s and 1990s and were close-
aggerate those features of the female body that evoke sensual-
ly connected to the themes of power, dress, and nudity.
ity, invite sexual attention, and signify the fecundity of both
The fifth expression is power, whose essential character-
the goddess and the earth. Depictions of male fertility, typi-
istic is the visible interactions between individuals or groups.
cally symbolized by a tumescent phallus, appear less fre-
Power has many meanings and iconographic representations.
quently over the course of history. Expressions of female fe-
One is the fundamental anthropological category of mana,
cundity were gradually transmuted from figurines of adult
which is a supernatural force that may be concentrated in
females to representations of mother and child, often in the
persons or inanimate objects. Dynamis is a force released
posture of the nursing mother. Subliminally a personifica-
through the relationship between form—specifically the
tion of fertility, the imaging of mother and child became the
human body—and the artistic process. The work of art is
universal visual purveyor of moral values, the sanctity of the
empowered through the process of embodiment. A form of
family, and physical and spiritual nurture. Reaching new
sociopolitical power is communicated through the bodily
heights of stylization in presentation and meaning, the ico-
figures of the hierarchy of authority, whether social, academ-
nography of the mother and child was a powerful communi-
ic, governmental, military, or religious. Dress is a visual de-
cator of religious ideas, values, and significance. The theme
lineation of social order, economic class, and military posi-
of creativity is embodied in artistic depictions of the nine
tion. Power is signified through the bodily presentations of
Greek muses and female inspiration of creative activity.
monarchs, chiefs, ancestors, guardians, and warriors, includ-
The second expression is religious devotion. The first
ing depictions of dress, postures, and gestures. These figures
subcategory of the human body in devotional art is that of
of protection are normatively identified through physical and
the receiver of acts or offerings of devotion. The second sub-
spiritual attributes that may include physical stature, symbol-
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HUMAN BODY: HUMAN BODIES, RELIGION, AND ART
4171
ically enlarged body parts, and expressions of moral or physi-
such as a ruler or saint. Portraiture can be created with only
cal strength. As protective figures guarding devotees in sacred
one figure, several figures (as in family portraits), or a larger
or domestic spaces, these embodiments of authority often in-
group representing a community. It can be achieved by both
tegrate animal features to represent the primeval forces of
the imagining of oneself and of others. Portraits may be in-
nature.
tended for either private use or public display. Portraiture is
a testament to success in life or as a remembrance of a de-
The sixth expression is motion or movement as a medi-
ceased person; it is a mode of legitimizing authority and hier-
um of communication, through posture and gesture, for
archical power.
ideas, religious values, and moral ideals. Posture includes
stance, position, and pose; gesture involves communication
THE HUMAN BODY AS A MEDIUM OF SYMBOLIC DIS-
through facial contortions, hand signals, and the arrange-
COURSE. A myriad of early texts on aesthetics and the nature
ment of the feet. Combining these elements, the human
of human beings, especially from classical Greece, described
body conveys messages or ideas, tells stories, or articulates at-
the human body as a small-scale copy of the universe, as a
titudes, emotions, and passions. There are three basic bodily
microcosm of the macrocosm. Through this smaller but har-
postures in religious art: standing, seated, and recumbent—
monious image of the divine, the human came to identify
as exemplified by the Buddha, who stands in contemplation,
himself or herself, others, and the world. The beautiful fe-
sits in meditation or pedagogy, and lies on his bed at the mo-
male and handsome male statues of deities attest to the uni-
ment of his parinirva¯n:a, or death. Hand gestures, known as
versality of this concept across the classical world, from
mudra¯s in both Buddhism and Hinduism, are a repertoire
Egypt, Greece, and Rome into Persia and India. As the idea
of digital and manual poses that communicate such specific
of individuality emerged within these classical cultures, hu-
ideas as protection by the deity (abhaya), signified by the
manity interpreted itself at the center of a world of symbols
raised hand, or the simple gesture of obeisance (anjali).
in which the human body participated through a series of
The seventh expression is dress and nudity, a dichotomy
analogies and correspondences with the universe. In this way,
greater than the simple distinction between being naked or
bones signified the earth, blood signified water, and the head
clothed. First, there is the moral and cultural evaluation of
signified fire, as delineated in an almost universal pattern of
the body as biologically either male or female, as well as the
ascent found in sources as different as the sages of the Upani-
multilayered syntax of nudity. The nude as an artistic catego-
shads and the Fathers of the early Christian Church. The
ry represents a specific set of attitudes toward the depiction
human being was the only creature that connected with the
of the human body in a state of undress. The classical nude
three cosmic levels in such a way that the feet touched the
is rooted in the religion and philosophy of ancient Greece,
earth, the torso dwelt in the atmosphere, and the head
in which the ideal human body is identified as a locus of sa-
reached the heavens.
cred presence. Depictions of nudity in the Jain tradition re-
The classical Greek cult of physical perfection was based
flect perfect yogic control, while in Hindu art such nude fe-
on these correspondences between the human body and the
male figures as the Yaksh¯ı are aligned with female sensuality
structure of the universe. The athlete was the model of divine
associated with fertility spirits. The irony here is that noted
perfection and demonstrated this identification by compet-
by Kenneth Clark (1956), who identified nakedness as a state
ing in the nude. Buddhism affirmed the existence of an eter-
of embarrassment and nudity as a state of ease and comfort
nal divine Buddha with the teaching of levels of being as-
with one’s body.
cending from the nirma¯n:aka¯ya (body of manifestation) to
In contrast to nudity, dress and drapery enhance the ap-
the sam:bhogaka¯ya (body of bliss) and the dharmaka¯ya (body
pearance of the human body and reflect the social status of
of law). Renderings of the human body were shaped by tech-
the wearer. In a practical sense, dress is a form of protection,
nical artistry and religious attitudes toward humanity either
whether from difficult climatic conditions and the elements,
as symbols of the divine, ideals, or historical individuals.
from animals, or from the gaze of other human beings. Dress
THE HUMAN BODY AS EXPRESSIVE POTENTIAL. Varied artis-
is a moral value, as appropriate garments provided for both
tic and religious approaches to the forming and informing
women and men testify to the normative conditions of mod-
of images of the human body confirm that the central issue
esty, virginity, or motherhood. Dress is connected to cos-
is not the specific messages that are conveyed by bodily meta-
tume, which is a category of dress that identifies a person’s
phors, but the ways in which the human figure functions as
social position, military rank, or authoritative status. Drap-
the central element in art and religion. The endowment of
ery, as a specific category of dress, enhances the appearance
the concept of humanity with an identifying physical form
of the human body because loose flowing fabric creates an
finds two normative categories of expressive potential in art
illusion of delicacy and motion, or of shadow and light, from
and religion: anthropomorphic (fully human in shape or
the viewer’s perspective, thereby enlivening the depiction of
form) and therianthropic (partly human and partly animal
the body.
in shape or form). The application of recognizable natural
The eighth expression is portraiture, which, as a univer-
forms for men and women, either as a whole or a part, is
sal genre, is divided into two categories: realistic portraits of
found in the majority of world religious art. Whether the for-
identifiable individuals and idealized depictions of a type,
mations of that human body are deemed ideal, perfect, cor-
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4172
HUMAN BODY: HUMAN BODIES, RELIGION, AND ART
rupted, distorted, or elegant is simultaneously culturally con-
has multivalent purposes, ranging from an emblem of identi-
ditioned and theologically defined. Therianthropic bodies
fication or sign of initiation to the impersonation of an an-
depend on recognition of the equality of humanity and ani-
cestor or divinity. As an art form accessible to all social and
mals beyond the symbolic exchange that is fundamental to
economic classes, ethnic groups, and sexes, body art cele-
Christian typology. This combination of human and animal
brates the generic beauty and prowess of the human body,
forms raises questions related to the meaning and value of
and it refines the individual body aesthetically. The norma-
humanity.
tive source for the designs is the religious iconography of
each community. Body or face painting reconnects individu-
Another mode for the human body as expressive poten-
als with ancestors or ancestral spirits and presages the reap-
tial is pars pro toto, or the part for the whole, in which the
pearance of that ancestor as a protector and guide. Regardless
symbolic employment of body parts—hands, feet, or
of its modality or function, body art is a universal art form
heads—signifies both coded messages and individual per-
that fashions the human body into a bearer of the sacred.
sons. Any transformation, transmutation, or reformulation
of body imaging communicates the artist’s intention to ex-
THE HUMAN BODY AS MEDIUM OF ART AND RELIGION.
press an idea or transfer a message by accentuating either the
Dance and the other performing arts transfer the role of the
distinct body part or its function. The enlarged eyes or ears
human body in art and religion from subject or object. Ge-
of a Byzantine Christ denotes his extraordinary senses and
rardus van der Leeuw identified the human body as the pri-
abilities as the creator and guardian of the universe. Exagger-
mary agent of the arts in his magisterial Sacred and Profane
ated features or body parts may inspire fear or ridicule, con-
Beauty: The Holy in Art (1963). Whether identified as primal
veying additional symbolic messages and removing the view-
or literate, as indigenous or imperialist, all religious tradi-
er from recognition of the subject’s “reality” or “humanity.”
tions incorporate the human body into expressive rituals and
Alternately, exaggerations of body parts are eloquent exam-
ceremonies. The natural and rhythmic movement of the
ples of the multivalent nature of visual symbols, as in the
human body, whether in ecstasy, agony, trance, or prayer,
Buddhist ushnisha, or topknot—that singular protuberance
is the elemental form of religious expression. Bodily move-
on the top of Buddha’s head designating his extraordinary
ments accentuated through gestures, postures, facial expres-
wisdom and intelligence.
sions, costume, and music have affected religious iconogra-
A third mode is abstraction, in which the essence of the
phy throughout history. As religious drama, music, and
idea, message, or meaning is extracted from larger representa-
ritual were incorporated within cultural analyses of perfor-
tional image. The visual emphasis in abstraction results in a
mance and display, the concept of the human body as medi-
minimized if not radical simplification of form for emotional
um of art and religion became an established reality.
expressiveness or organic structure. Through an economical
FURTHER PERSPECTIVES. Since the 1970s, the critical rela-
but elegant use of lines, the essence of humanity is revealed
tionships between the human body, art, religion, and margi-
through the separation, reduction, and rearrangement of
nalized groups was articulated predominantly by feminist
bodily components. Transformed into decorative patterns of
scholars, especially in the recognition of variable body types
shapes or geometric structures, abstractions appear initially
and their meanings. Regional and ethnic studies extended
to have little relation to the traditional figure of the human
that critique into discussions of colonialism and the centrali-
body; re-presentations affect the viewer’s emotions and
ty accorded to body types based on the Greek ideal. Power,
intellect.
in terms of engendered power and male dominance, was a
THE HUMAN BODY AS SUBJECT OF ART AND RELIGION.
focus of these post-1970s studies as the Western cultural ap-
Historians of sculpture from Herbert Read to Tom Flynn
preciation of the human body, especially of the nude in art
have argued persuasively that 90 percent of sculpture is about
and religion, was questioned in relation to voyeurism, por-
the human body. Sculpture’s fundamental tactile nature
nography, and “the gaze.” Caroline Walker Bynum’s The
combined with the intrinsic qualities of mass and volume at-
Resurrection of the Body in Western Christianity (1995), Linda
test to the one-for-one valuing of sculpture with the human
Nochlin’s The Body in Pieces: The Fragment as a Metaphor
body. Until the twentieth century’s fascination with abstract
of Modernity (1994), and Margaret R. Miles’ Carnal Know-
and nonfigurative art, the majority of artworks incorporated
ing: Female Nakedness and Religious Meaning in the Christian
the human figure as the main focus of aesthetic or thematic
West (1989) provide a feminist lens through which to cri-
interest. The human body was the subject of art and religion
tique the various meanings of the human body in religion
even to the point of substituting the human image for the
and art.
bodiless divinities and celestial personae.
The interdisciplinary motifs and methodologies for the
THE HUMAN BODY AS OBJECT OF ART AND RELIGION.
study of the human body, art and religion have, until the late
Body art transforms the human body from the subject to the
twentieth century, been treated by Western scholars within
object of art and religion. Whether specified as permanent
the framework, language, and motifs of Western history. Fu-
or temporary painting of the body or face, tattooing, or the
ture comparative analyses of this subject may well prove the
intentional scarification (permanently marking the body by
thesis that the Western preoccupation with order, clarity,
cutting, without the use of pigments) of the body, body art
and ideal types may be inappropriate or inapplicable to non-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUMAN BODY: HUMAN BODIES, RELIGION, AND ART
4173
Western art and religion (Apostolos-Cappadona, 1996).
Berger, John. Ways of Seeing. Baltimore, Md., 1972.
Gender distinctions as religious values (and their visualiza-
Bernal, Martin. Black Athena: The Afro-Asiatic Roots of Classical
tions) may prove to be discrete and defy traditional patterns
Civilisation. London, 1991.
of iconographic and iconological examination, thereby ex-
Blundell, Sue. Women in Ancient Greece. London, 1995.
panding both the borders and the methods of scholarship.
Bohm-Duchen, Monica. The Nude. London, 1992.
Three exceptional comparative cultural analyses of human
Bonito Oliva, Achille, and Aldo Busi. Disidentico: maschile, fem-
bodies, art, and religion are available for examination in the
minile, e oltre. Rome, 1998.
exhibition catalogue In Her Image: The Great Goddess in In-
Bowie, Theodore, and Cornelia V. Christenson, eds. Studies in
dian Asia and the Madonna in Christian Culture (1980); the
Erotic Art. New York, 1970.
exhibition catalogue for The Human Image (2000); and sev-
Broude, Norma, and Mary D. Garrard, eds. Feminism and Art
eral special issues of P+ Art and Culture Magazine.
History: Questioning the Litany. New York, 1982.
SEE ALSO Aesthetics, article on Visual Aesthetics; Art and
Broude, Norma, and Mary D. Garrard, eds. Expandng Discourse:
Religion; Bodily Marks; Dance, article on Dance and Reli-
Feminism and Art History. New York, 1992.
gion; Iconography, articles on Iconography as Visible Reli-
Bynum, Caroline Walker. The Resurrection of the Body in Western
gion; Nudity; Symbol and Symbolism.
Christianity. New York, 1995.
Capel, Anne K., and Glenn Markoe, eds. Mistress of the House,
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tion catalogue.
Hollander, Anne. Seeing Through Clothes. 1978; reprint, Berkeley,
Apostolos-Cappadona, Diane. Dictionary of Women in Religious
Calif., 1993.
Art. New York, 1996.
Kelly, Joan. Women, History, and Theory: The Essays of Joan Kelly.
Apostolos-Cappadona, Diane. “Humanity in the Arts.” In The
Chicago, 1984.
Dictionary of the History of Ideas, 2d ed., edited by Maryanne
Kemp, Martin, and Marina Wallace. Spectacular Bodies: The Art
Cline Horowitz. New York, 2004.
and Science of the Human Body from Leonardo to Now. Lon-
Apostolos-Cappadona, Diane. “The Nude.” In The Dictionary of
don, 2000. Exhibition catalogue.
the History of Ideas, 2d ed., edited by Maryanne Cline Horo-
King, J. C. H. The Human Image. London, 2000. Exhibition ca-
witz. New York, 2004.
talogue.
Arscott, Caroline, and Katie Scott, eds. Manifestations of Venus:
Kristeva, Julia. Powers of Horror: An Essay on Abjection. New York,
Art and Sexuality. Manchester, U.K., 2000.
1982.
Barasch, Moshe. Imago Hominis: Studies in the Language of Art.
Leeuw, Gerardus van der. Sacred and Profane Beauty: The Holy in
Vienna, 1991.
Art. Translated by David E. Green; preface by Mircea Eliade;
Baring, Anne, and Jules Cashford. The Myth of the Goddess: Evolu-
foreword by Diane Apostolos-Cappadona (reprint edition).
tion of an Image. London, 1993.
1963; reprint, New York, 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
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HUMANISM
Lucie-Smith, Edward. Sexuality in Western Art. New York, 1991.
HUMANISM. The Christian humanism of the Renais-
Lucie-Smith, Edward. Adam: The Male Figure in Art. London,
sance and Reformation period was a complex intellectual
1998.
movement, primarily literary and philological in nature, but
Michell, George, Catherine Lampert, and Tristam Holland. In the
with important historical, philosophical, and religious impli-
Image of Man: The Indian Perception of the Universe through
cations. Humanism was rooted in the love of classical antiq-
2,000 Years of Painting and Sculpture. London, 1982. Exhibi-
uity and the desire for its rebirth, both in terms of form (pri-
tion catalogue.
marily a search for new aesthetic standards) and of norm (a
Miles, Margaret R. Carnal Knowing: Female Nakedness and Reli-
desire for more enlightened ethical and religious values). The
gious Meaning in the Christian West. Boston, 1989.
return to original sources is reflected in a parallel way in the
Mullins, Edwin B. The Painted Witch: How Western Artists Have
reformers’ emphasis upon the scripture as norm and New
Viewed the Sexuality of Women. New York, 1985.
Testament Christianity as the ideal form of church life. Hu-
Nelson, Sarah M., and Myriam Rosen-Ayalon, eds. In Pursuit of
manism developed in Italy during the fourteenth century
Gender: Worldwide Archaeological Approaches. Walnut Creek,
and persisted through the Reformation well into the age of
Calif., 2002.
the Enlightenment.
Nochlin, Linda. Woman as Sex Object: Studies in Erotic Art: 1730–
The word humanism came from the phrase studia hu-
1970. New York, 1972.
manitatis or humaniora, the liberal arts or humane studies,
Nochlin, Linda. The Body in Pieces: The Fragment as a Metaphor
a concept derived largely from Cicero. The liberal arts curric-
of Modernity. London,1994.
ulum emphasized grammar, rhetoric, poetry, history, and
Paglia, Camille. Sexual Personae: Art and Decadence from Nefertiti
moral philosophy. While the course of studies owed some-
to Emily Dickinson. New York, 1990.
thing to the traditional education of the medieval cathedral
Perry, Gill. Gender and Art. New Haven, Conn., 1999.
schools, it was less concerned with dialectic or logic, natural
science, and Scholastic metaphysics. The term humanist was
Pointon, Marcia R. Naked Authority: The Body in Western Paint-
originally applied to professional public or private teachers
ing, 1830–1908. Cambridge, U.K., 1990.
of classical literature who continued the medieval vocation
Read, Herbert. The Art of Sculpture. New York, 1956.
of the dictatores, who taught the skills of letter-writing and
Roberts, Helene E., ed. Encyclopedia of Comparative Iconography:
proper style in speech and writing. But the word gradually
Themes Depicted in Works of Art. 2 vols. Chicago, 1998.
came to assume a more comprehensive meaning, referring to
Rudofsky, Bernard. The Unfashionable Human Body. Garden
all devotees of classical learning. Humanism came to be culti-
City, N.Y., 1971.
vated not merely by professional educators but by many men
Russell, H. Diane, and Bernadine Ann Barnes. EVA/AVE: Woman
of letters, historians, moral philosophers, statesmen, and
in Renaissance and Baroque Prints. Washington, D.C., 1990.
churchmen, including regular as well as secular clergy. They
Exhibition catalogue.
set the aurea sapientia, or golden wisdom, of the ancients
Saunders, Gill. The Nude: A New Perspective. New York, 1989.
against the arid dialectic of the Scholastic doctors. Christian
humanism tended toward religious syncretism, moralism,
Sennett, Richard. Flesh and Stone: The Body and Civilisation in
Western Civilisation. London, 1994.
and ethical Paulinism, and also toward a Christocentrism
that emphasized Christ as an example of good living, rather
Shilling, Chris. The Body and Social Theory. London, 1993.
than a Christology that focused on Christ’s sacrifice on the
Shilling, Chris, and Philip A. Mellor. Re-Forming the Body: Reli-
cross as sin-bearer, substitute, and savior.
gion, Community, and Modernity. London, 1997.
ITALIAN RENAISSANCE HUMANISM. It was natural that hu-
Smith, Alison. The Victorian Nude: Sexuality, Morality, and Art.
manism should emerge most strongly in Italy, given the
Manchester, U.K., 1996.
Roman inheritance and the artistic and architectural remind-
Smith, Alison, ed. Exposed: The Victorian Nude. London, 2002.
ers of ancient glories. Toward the end of the thirteenth cen-
Exhibition catalogue.
tury, a form of protohumanism developed in the north of
Steinberg, Leo. The Sexuality of Christ in Renaissance Art and in
Italy, in Padua, Verona, and Vicenza, and in Arezzo and
Modern Oblivion. Rev. ed. Chicago, 1996.
Florence in Tuscany. But the “father of humanism” was
Suleiman, Susan Rubin, ed. The Female Body in Western Culture:
Francesco Petrarch (1304–1374), who gave to Italian literary
Contemporary Perspectives. Cambridge, Mass., 1986.
humanism its basic character. He is perhaps best remem-
Üster, Celâl, ed. “Nude in Art.” Special issue of P Art and Culture
bered for his vernacular lyrics, chiefly love poems to Laura;
Magazine 9 (Spring 2003): 1–132.
he was crowned poet laureate on the Capitoline Hill in Rome
Vernant, Jean-Pierre. Mortals and Immortals: Collected Essays. Ed-
in 1341. Petrarch stressed the purity of the classical Latin
ited by Froma Zeitlin. Princeton, N.J., 1991.
style, revived enthusiasm for ancient Rome, and helped de-
velop a sense of distance from the past and a revulsion toward
Walters, Margaret. The Male Nude: A New Perspective. New York,
the medieval “dark ages.” He raised important personal and
1978.
religious questions in such writings as On the Solitary Life,
Walther, Wiebke. Women in Islam. Princeton, N.J., 1993.
the Secretum, Ascent of Mount Ventoux, and On His Own Ig-
DIANE APOSTOLOS-CAPPADONA (2005)
norance and That of Many Others, in which he wrote as an
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apologist for the Christian view of humanity and the human-
and Guarino da Verona (1370–1460) set up model schools
ists’ appreciation of the worth of the individual against cer-
with a humanist curriculum and introduced such innova-
tain neo-Aristotelians whose natural philosophy subverted
tions as physical education and coeducation.
those values.
Among the disciplines emphasized was history, for the
Petrarch’s friend Giovanni Boccaccio (1313–1375)
humanists valued both ancient and contemporary history.
gained renown for his Decameron, a collection of a hundred
What the humanists learned from classical historians was re-
short stories, for books on famous men and women, and for
flected in their own histories, from the History of Florence of
an encyclopedic Genealogy of the Gods, an important hand-
Leonardo Bruni to the History of Florence of Niccoló Machia-
book of mythology. Petrarchan humanism spread through
velli and the History of Italy in His Own Times by Francesco
Italy, largely as a lay, upper-class, and elitist movement. In
Guicciardini (1483–1540). Flavio Biondo (1389–1463), the
the search for classical manuscripts, humanists such as Pog-
founder of modern archaeology, produced massive topo-
gio Bracciolini (1380–1459), Francesco Filelfo (1398–
graphical-historical works on Rome and all of Italy. Lorenzo
1481), Cyriacus of Ancona (c. 1391–1457), and Giovanni
Valla (1407–1457) anticipated many of the questions raised
Aurispa (1374–1450) excelled, rediscovering key works of
later by Luther, such as free will and predestination, errors
Cicero, Quintilian, Vitruvius, Plautus, Pliny the Younger,
in the Vulgate, and the value of lay piety in contrast to mo-
Tacitus, Thucydides, Euripides, Sophocles, and other an-
nasticism. In a treatise titled On the Donation of Constantine,
cient authors.
he proved with philological and historical critical arguments
Humanism gained new momentum and direction with
that the Donation of Constantine was a forgery purporting to
the Greek revival. In the final decades of the fourteenth cen-
prove that when Constantine moved the capital of the
tury the Byzantine emperor, threatened by the Ottoman
Roman empire to the East, he had given the Lateran Palace
Turks, who were encircling Constantinople, made two expe-
and outlying provinces to Pope Sylvester I and his successors,
ditions to the West, in 1374 and 1399, to seek help. His ef-
as well as conferring immense privileges upon them.
forts were futile, but some Greek scholars, such as Manuel
Chrysoloras (c. 1355–1415), John Bessarion (1403–1472),
During the second half of the fifteenth century classical
and Gemistus Plethon (c. 1355–1450), remained in the
scholarship was more closely integrated with literary compo-
West and introduced Greek literature, patristics, and philos-
sition in the vernacular, printing spread rapidly following the
ophy. After the fall of Constantinople in 1453, other scholars
establishment of the first printing press in Italy in 1465, and
fled to the West, notably John Argyropoulos, Demetrius
a new metaphysical emphasis superseded the relatively un-
Calcondylas, and John and Constantine Lascaris, adding
complicated moral philosophy of the literary and civic hu-
new momentum to the Greek revival and broadening the di-
manists with the development of Neoplatonic, neo-
mensions of philosophical discussion.
Pythagorean, neo-Aristotelian, Hermetic, and qabbalistic
philosophies and theodicies. Neoplatonism became the most
Certain humanists placed their rhetorical gifts in the ser-
prominent and characteristic form of Renaissance philoso-
vice of the Florentine republic against the threatening tyrants
phy. The renewal of interest in patristic writings, aided by
of Milan and Naples. These civic humanists, such as chancel-
scholars such as Ambrogio Traversari (1386–1439), and es-
lor Coluccio Salutati (1331–1406) and Leonardo Bruni (c.
pecially in the Greek fathers, added impetus to the Greek re-
1370–1444), stirred up the patriotic impulses of the citizenry
vival. Nicholas of Cusa (1401–1464) was concerned with the
for the defense of the state. In a broader sense civic human-
search for unity between the infinite One and the infinite
ism was more than an ideology of embattled republicanism,
multitude of finite things, the coincidentia oppositorum, a
for it stood for a life of action spent for the common good.
panentheism that raised the specter of pantheism. Marsilio
Giannozzo Manetti (1396–1459), who wrote On the Dignity
Ficino (1433–1499), the most eminent Renaissance philoso-
and Excellence of Man, once described the whole duty of hu-
pher, presided over the “Platonic Academy” endowed by Co-
manity as being to understand and to act. Leon Battista Al-
simo de’ Medici, the de facto ruler of Florence. Ficino did
berti (1404–1472), a truly universal man, the architect of
editions of Plato’s works and edited the Enneads of Plotinus
Renaissance churches, palaces, and fountains, wrote treatises
and works of Greek pagan Neoplatonists such as Proclus and
that for many decades dominated theory on architecture,
Porphyry, as well as of Dionysius the Areopagite, whose
painting, and the family.
christianized Neoplatonism was so influential throughout
In order to convey humanist ideals to youth, humanist
the medieval period. Among his own influential works were
educators not only wrote influential treatises on education
the Theologia Platonica and the De religione Christiana, in
but also established schools to put their theories into prac-
which he used Neoplatonism apologetically as a support for
tice. Generally optimistic about the educability at least of the
the Christian faith. His understudy, Giovanni Pico della Mi-
upper classes, the humanists cultivated the liberal arts to de-
randola (1463–1494), sought to find the religious truth
velop leaders with sound character and lofty vision. Pietro
common to Christianity, Platonism, Aristotelianism, Her-
Paolo Vergerio (1370–1444) wrote a treatise on the morals
metism, Islam, and Qabbalah. He published for public dis-
befitting a free man, drawing extensively on Plato, Plutarch,
putation nine hundred theses, the Conclusiones, in which he
and Cicero. Vittorino Rambaldoni da Feltre (1378–1446)
sought to summarize all learning. In his oration On the Dig-
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nity of Man, sometimes described as the most characteristic
Although there were early ties with Italy during the Avi-
Renaissance document, he places humankind at the center
gnon papacy and some promise of a flowering early in the
of the “great chain of being,” the object of special creation,
fifteenth century, for example in the circle gathered around
able to rise upward toward God or to sink downward to the
chancellor Jean de Montreuil (1354–1418), the Hundred
sensate animalistic level, as it chooses. Giordano Bruno
Years’ War and the struggle between France and Burgundy
(1548–1600), combining Nicholas of Cusa’s Neoplatonism
delayed the full development of humanism in France. The
and Hermetic ideas with the physical implications of Coper-
great flowering of humanism came from 1515 to 1547, dur-
nican astronomy, synthesized a philosophy that verged on
ing the reign of Francis I, a great patron of art and literature.
pantheism. Aristotelianism persisted in the universities, and
Guillaume Budé (1468–1540) did a commentary on the
Neo-Aristotelianism found advocates such as Pietro Pom-
Pandects (a digest of Justinian’s law), a work on numismatics,
ponazzi (1462–1525), who wrote on the nature of immortal-
a commentary on the Greek language, and a major work on
ity, fate, free will, predestination, and providence.
Hellenism. Lefèvre d’Étaples (1455–1536) worked on bibli-
cal texts, doing a critical edition of Psalms and commentaries
NORTHERN HUMANISM. Thanks to close political, commer-
on Paul’s letters and on the four Gospels; this work was im-
cial, ecclesiastical, and university ties with Italy, the new hu-
portant to Luther and the French reformers. Margaret of An-
manist culture came earlier to Germany than to other coun-
goulême, Francis I’s sister, was not only an author but also
tries of northern Europe. The pioneers included wandering
a patroness of humanists and young reformers, along with
poets such as Peter Luder, schoolmaster humanists such as
Bishop Guillaume Briçonnet. François Rabelais (c. 1495–
Johannes Murmellius and Rudolf von Langen, half-
1553), author of the witty, gross, and satirical Gargantua and
Scholastic humanists such as Conrad Summenhart and Paul
Pantagruel, offered criticism through the story of a giant and
Scriptoris, and moralistic critics of church and society such
his son. Although sometimes called a skeptic, Rabelais is now
as Heinrich Bebel, Jacob Wimpfeling, Sebastian Brant, and
seen more as an Erasmian Christian humanist interested in
the preacher Johann Geiler von Kaisersberg. But the man
reform. The famous essayist Michel de Montaigne (1533–
credited with being the father of German humanism was
1592) was the greatest French literary figure of the age.
Roelof Huysman (Rodolphus Agricola, 1444–1485), known
as the “German Petrarch.” After a decade in Italy he returned
In Spain, Erasmianism, Lutheranism, and mysticism
to “the frozen Northland” and presided over a group of
found followers, but nonconformity was effectively sup-
young humanists in Heidelberg, to whom he expounded his
pressed. Cardinal Jiménez de Cisneros (1436–1517) institut-
theories of rhetoric. One of his disciples, Conrad Pickel
ed rigorous clerical reforms, founded the University of Alcalá
(Conradus Celtis, 1459–1508), the “German arch-
with a trilingual college, and endowed the publication of the
humanist,” organized young humanists into the Rhenish and
Complutensian Polyglot Bible. Antonio de Nebrija (1441–
Danubian sodalities to promote humanism and to do a topo-
1522), at Salamanca, was an outstanding classicist. The
graphical-historical work entitled Germania illustrata, never
greatest literary figure of Spanish humanism was Miguel de
completed.
Cervantes (1547–1616), author of Don Quixote.
At the universities humanists struggled with Scholastics
English humanism developed during the fifteenth cen-
for positions, and by 1520 humanism had spread to urban
tury from political and ecclesiastical contacts with Italy. Clas-
centers and to both ecclesiastical and princely courts. The
sical studies were cultivated seriously at Oxford by Thomas
Linacre (c. 1460–1524), William Grocyn (c. 1466–1519),
lawyer Conrad Peutinger, the historian Johannes Turmair
and William Latimer (c. 1460–1543). John Colet (1467–
(Aventinus), the city councilor Willibald Pirckheimer, a
1519), dean of Saint Paul’s and founder of Saint Paul’s
friend of Conrad Pickel, and the Nuremberg artist Albrecht
School, modeled somewhat after the humanist schools of
Dürer were patrons and advocates of humanism. The clash
Italy, corresponded with Ficino and was intrigued by Neo-
of humanists and Scholastics came to a head in the celebrated
platonism. But he had a serious theological bent, and in his
Reuchlin controversy. Johannes Reuchlin (1455–1522) did
lectures on Romans he emphasized humanity’s sinfulness and
a Hebrew vocabulary and grammar and wrote two major
need for God’s forgiveness. Thomas More (1478–1535)
works, On the Wonder-Working Word and On the Qabbalistic
wrote the most famous work of English humanism, Utopia.
Art, in which he used the Jewish mystical Qabbalah in sup-
port of Christianity. Reuchlin defended some Hebrew books
The prince of the northern humanists was Desiderius
from a vicious book-burner, Johannes Pfefferkorn, a convert-
Erasmus of Rotterdam (1469?–1536), who articulated the
ed Jew, and was in turn attacked by certain Scholastic doc-
loftiest ideals of Christian humanism. A great classicist and
tors at Cologne. An Erfurt humanist, Johann Jäger (Crotus
patristics scholar, he expressed social and ecclesiastical criti-
Rubianus, c. 1480–1545), and the young knight Ulrich von
cism in The Praise of Folly and the Colloquies, expounded his
Hutten (1488–1523) wrote a biting satire, The Letters of Ob-
“philosophy of Christ” in the Enchiridion and in Paraclesis,
scure Men, ridiculing the Scholastics and defending Reuch-
and did editions, with long introductions, of Latin and
lin. In Gotha the canon Mutianus Rufus (1471–1526) gath-
Greek classical authors and church fathers. His fame was
ered a circle of young humanists from the University of Er-
eclipsed by the advent of the Reformation, and he reluctantly
furt to promote classical learning.
attacked Luther on the question of the freedom of the will.
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4177
Erasmus inclined toward moralism and spiritualism rather
on a more pedantic and less spontaneous character in the
than consequential soteriology, emphasizing Christ the
universities.
teacher and example rather than the Savior who died on the
Humanist impulses were not only widespread horizon-
Cross for the salvation of humankind.
tally on a European scale but reached down vertically
HUMANISM AND THE REFORMATION. The Reformation
through the centuries. Where humanist influence was strong,
owed much to humanism for its success; contributing to an
it nourished tendencies toward universalism, or at least
atmosphere favorable to the Reformation were humanism’s
toward latitudinarianism, especially in England and the
emphasis on knowledge of the biblical languages and a return
Netherlands, and fostered an irenic spirit. The humanist way
to the sources; its criticism of ecclesiastical and social abuses;
of thinking has remained in evidence into the twentieth cen-
its negative attitude toward Scholasticism; a concomitant ro-
tury.
mantic cultural nationalism; the use of the printing press;
and the activities of the cadres of young humanists who car-
SEE ALSO Bruno, Giordano; Enlightenment, The; Erasmus,
ried Luther’s message to all parts of the Holy Roman Empire
Desiderius; Ficino, Marsilio; Neoplatonism; Nicholas of
Cusa; Pico della Mirandola, Giovanni; Reformation; Scho-
in the early years. Luther referred to the Renaissance as akin
lasticism.
to John the Baptist heralding the coming of the gospel. The
so-called magisterial reformers, Luther, Zwingli, Calvin, Me-
lanchthon, Bucer, Beza, and others, were all university men
BIBLIOGRAPHY
with some background in classical studies and humanist
For the historical background of Renaissance humanism, such
standard works as The New Cambridge Modern History, vol.
learning. Led by Luther, they reformed the university curric-
1, The Renaissance, 1493–1520, edited by G. R. Potter
ula in favor of humanist disciplines, reformed old and
(Cambridge, 1957), and Myron P. Gilmore’s The World of
founded new universities, and established secondary schools,
Humanism, 1453–1517 (1952; reprint, Westport, Conn.,
Gymnasiums and lycées, to promote the liberal arts. They in-
1983) serve as excellent guides. Wallace K. Ferguson’s The
sisted upon compulsory education for boys and girls, thus ex-
Renaissance in Historical Thought: Five Centuries of Interpreta-
panding education beyond the elitist upper-class concerns of
tion (Boston, 1948) provides a survey of the changing cur-
the Italian humanists. They stressed teaching as a divine vo-
rents of historiography.
cation. While Luther loved the classics, rejected Scholasti-
The most excellent work on the thought of the Italian humanists
cism, and favored humanism, his colleague Philipp Melanch-
is Charles E. Trinkaus’s In Our Image and Likeness: Humani-
thon (1497–1560) was the major influence in promoting
ty and Divinity in Italian Humanist Thought, 2 vols. (Chica-
classicism. In line with Italian humanism, the reformers de-
go, 1970), which in a detailed, profound, and comprehensive
emphasized dialectic and stressed the value of rhetoric, poet-
way shows how the humanists integrated the surging secular
ry, moral philosophy, and history. Along with their concern
activities and achievements of early modern Europe into the
for pure theology, the proper distinction between law and
beliefs and practices of the Christian inheritance. See also his
brilliant essays in The Scope of Renaissance Humanism (Ann
gospel, and the centrality of sin and grace, the reformers
Arbor, 1983). The Florentine scholar Eugenio Garin, in his
viewed higher culture as a sphere of faith’s works and became
Italian Humanism: Philosophy and Civic Life in the Renais-
strong advocates of humanist learning. Learned Protestants
sance (New York, 1965), offers a succinct analysis of human-
such as the polymath Joachim Camerarius (1500–1574), the
ism as a reflection of the new urban civic life. The most pro-
educator Johannes Sturm (1507–1589), the historian Johan-
lific author and bibliographer of Italian humanism is Paul O.
nes Philippi (Sleidanus, 1506–1556), the irenic theologian
Kristeller, who holds that humanism derived from the studia
Georg Calixtus (1586–1656), and a host of neo-Latin poets,
humanitatis in the Italian universities and offered an educa-
playwrights, and philosophers carried humanism into the
tional alternative to Scholasticism. Among his many writings
seventeenth century and the beginnings of the Enlighten-
one may cite the representative titles Studies in Renaissance
ment. Catholic reformers, too, especially the Jesuits, saw the
Thought and Letters (Rome, 1956), Renaissance Thought: The
Classic, Scholastic and Humanistic Strains (New York, 1961),
value of the humaniora, or humane studies, and introduced
Eight Philosophers of the Italian Renaissance (Stanford, Calif.,
them into their academies, colleges, and universities. The
1964), and Renaissance Thought and Its Sources (New York,
Reformation owed much to humanism and repaid the debt
1979). The most discussed book on civic humanism is Hans
richly by broadening the popular base of education and car-
Baron’s The Crisis of the Early Italian Renaissance: Civic Hu-
rying humanist learning into modern times.
manism and Republican Liberty in an Age of Classicism and
Tyranny, rev. ed. (Princeton, N.J., 1966), in which Baron ar-
The Reformation brought to an end the role of Renais-
gues that the threat to Florence from the Visconti tyrants of
sance humanism as an independent cultural force, for there-
Milan led the humanist chancellors of the city to write in de-
after it became associated closely with the various Christian
fense of the republic.
confessions. Lutheran, Calvinist, Catholic, and radical hu-
Significant titles for the study of northern humanism include
manist learning was cultivated in secondary schools and uni-
Itinerarium Italicum: The Profile of the Italian Renaissance in
versities. Where humanism was transmitted in this academic
the Mirror of Its European Transformations, edited by Heiko
way, it was preserved much longer than where it remained
A. Oberman and Thomas A. Brady (Leiden, 1975), on the
a matter of a few individuals or groups; but humanism took
reception of Italian Renaissance culture in France, the Low
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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HUMAN RIGHTS AND RELIGION
Countries, England, and Germany; Eckhard Bernstein’s Ger-
ble to the declaration states that the “recognition of the in-
man Humanism (Boston, 1983); my book The Religious Re-
herent dignity and of the equal and inalienable rights of all
naissance of the German Humanists (Cambridge, Mass.,
members of the human family is the foundation of freedom,
1963); James H. Overfield’s Humanism and Scholasticism in
justice, and peace in the world.” The preamble also recog-
Late Medieval Germany (Princeton, N.J., 1984); Franco Si-
nizes that “disregard and contempt for human rights have re-
mone’s The French Renaissance: Medieval Tradition and Ital-
sulted in barbarous acts which have outraged the conscience
ian Influence in Shaping the Renaissance in France (London,
of mankind.” It hopes for “the advent of a world in which
1969); and Douglas Bush’s The Renaissance and English Hu-
manism (Toronto, 1939).
human beings shall enjoy freedom of speech and belief and
freedom from fear and want,” proclaimed as “the highest as-
On the Reformation and humanism, see E. Harris Harbison’s The
piration of the common people.”
Christian Scholar in the Age of the Reformation (New York,
1956); Marilyn J. Harran’s Luther and Learning (Selings-
From these aspirations arose the International Bill of
grove, Pa., 1985); Gerhart Hoffmeister’s The Renaissance and
Human Rights, which is a collection of five documents, con-
Reformation in Germany (New York, 1977); Manfred Hoff-
sisting of:
mann’s Martin Luther and the Modern Mind (New York and
Toronto, 1985); and Quirinus Breen’s John Calvin: A Study
• Universal Declaration of Human Rights (December 10,
in French Humanism, 2d ed. (Hamden, Conn., 1968), un-
1948)
derscoring the continuity of humanism in Reformation
• International Covenant on Economic, Social, and Cul-
thought.
tural Rights (December 16, 1966; into effect January 3,
New Sources
1976)
Gifford, Paul, ed. 2000 Years and Beyond: Faith, Identity, and the
“Common Era.” New York, 2003.
• International Covenant on Civil and Political Rights
Kraye, Jill, and W. F. Stone, eds. Humanism and Early Modern
(December 16, 1966; into effect March 23, 1976)
Philosophy. New York, 2000.
• Optional Protocol to the International Covenant on
Mizruchi, Susan, ed. Religion and Cultural Studies. Princeton,
Civil and Political Rights (December 16, 1966; into ef-
2001.
fect March 23, 1976)
Olin, John. Erasmus, Utopia, and the Jesuits: Essays on the Outreach
• Second Optional Protocol to the International Cove-
of Humanism. New York, 1994.
nant on Civil and Political Rights, aiming at the aboli-
Radest, Howard. The Devil and Secular Humanism: The Children
tion of the death penalty (December 15, 1989)
of the Enlightenment. New York, 1990.
Given how wide-ranging the statement of human rights is—
Southern, R. W. Scholastic Humanism and the Unification of Eu-
from basic civil and democratic political freedoms to rights
rope. Vol. 1: Foundations; Vol. 2: In the Heroic Age. Oxford,
in education, employment, and health—it is not surprising
U.K. and Cambridge, Mass., 1995.
that in an effort to make social progress through subsequent
Witt, Ronald. In the Footsteps of the Ancients: The Origins of Hu-
human rights work, the nature and extent of the rights
manism from Lovati to Bruno. Leiden and Boston, 2000.
framework has become extremely complex, not to say con-
LEWIS W. SPITZ (1987)
troversial.
Revised Bibliography
RELIGION AND POLITICS. The immediate aftermath of the
end of the Cold War was a time of ideological triumphalism.
If Western models of governance based upon democracy and
HUMAN RIGHTS AND RELIGION. Human
universal human rights had seemingly come out victorious
rights are a secular, supposedly normative (because often de-
from a struggle against Soviet Communism, then books such
fined as “universal”) doctrine of ethical behavior embedded
as The Clash of Civilizations by Samuel Huntington contro-
in national, regional, and international systems of law under
versially revitalized an ancient notion that differing value sys-
the authority of the United Nations (UN) and implemented
tems will inevitably come into conflict. Some people, such
with varying degrees of success and failure. Indicative of the
as Francis Fukuyama, suggested that Western models of gov-
enhanced role of religion in global politics, the relationship
ernance based on democracy and universal human rights had
between religion and human rights remains complex and di-
triumphed, receiving collective recognition as the best politi-
verse, covering a variety of ever-fluctuating geopolitical situa-
cal system the world had yet produced. This new interna-
tions.
tional consensus over political values demonstrated, accord-
ing to Fukuyama, nothing less than an end of history.
UNIVERSAL HUMAN RIGHTS. The 1945 Charter of the Unit-
According to this analysis, if secularization theory has widely
ed Nations sets out basic principles upon which international
predicted the marginalization of religion to a private domain
legal standards have been developed. On December 10,
rather than a sphere of public influence, then religion simply
1948, the General Assembly of the United Nations adopted
did not come into the equation to any significant degree.
and proclaimed the Universal Declaration of Human Rights,
thirty articles that remain fundamental for all subsequent
Arguably more astute commentators were beginning to
covenants, conventions, and treaties in the field. The pream-
suggest that the end of the Cold War might mean something
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HUMAN RIGHTS AND RELIGION
4179
different—what significant scholars of religion had always
covenants and was influential in regional treaties and the
argued: that the place of religion in world politics had in the
1981 declaration. Some key international legal standards re-
modern era been seriously underplayed. In The World’s Reli-
lating to freedom of religion and belief include:
gions, Ninian Smart, foremost among such scholars, argued
• Declaration on the Elimination of All Forms of Intoler-
for the relevance of religion in a number of dimensions.
ance and of Discrimination Based on Religion or Belief
While this might be expected from a scholar of religion, such
(November 25, 1981);
a notion, unfashionable for so long outside religious studies,
came to take on importance in politics and sociology. Jeff
• Declaration on the Rights of Persons Belonging to Na-
Haynes’s analysis of religion in world politics builds on Jose
tional or Ethnic, Religious, and Linguistic Minorities
Casanova’s foundational theoretical work in sociology.
(December 18, 1992);
Casanova’s Public Religions in the Modern World began
• Oslo Declaration on Freedom of Religion and Belief
seriously to challenge the largely accepted secularization the-
(1998);
sis, that in modern societies religion becomes less and less rel-
• World Conference against Racism, Xenophobia, and
evant to public discourse, and any influence it might have
Related Forms of Discrimination (September 2002).
would be relegated to people’s private lives. Both Haynes and
Casanova demonstrated from a series of geopolitical case
The preamble to the UN Declaration on the Elimination of
studies how the secularization thesis was no longer support-
All Forms of Intolerance and Discrimination Based on Reli-
able or at least presented evidence that it needed to be refined
gion or Belief (1981) restates the wider context of the charter
to explain how religious traditions were gaining an increas-
of the United Nations. Notably this reiterates the “dignity
ingly public profile, from the rise of Islam in political con-
and equality inherent in all human beings,” international
texts across innumerable states to increasing conflicts be-
commitment on the promotion of universal human rights
tween cultural and religious traditions, notably in Africa,
and fundamental freedoms for all, “without distinction as to
Asia, and the former Soviet Union.
race, sex, language or religion,” and the principles of “non-
R
discrimination and equality before the law and the right to
ELIGION AND HUMAN RIGHTS. Since the formation of the
United Nations, human rights issues related to religion and
freedom of thought, conscience, religion, and belief.”
belief have been the focus of several international instru-
Issues of religion have increasingly come to the fore in
ments:
a United Nations formally cautious about being explicit
• The Universal Declaration of Human Rights (1948)
about arguably the most contentious of all human rights,
while an increasingly intense post–September 11 context has
• The Arcot Krishnaswami Study (1959)
highlighted the issue of potential violent conflict in the
• The International Covenant on Civil and Political
world. The wider significance of these issues might be sum-
Rights (1966)
marized by four points. First, after a long neglect (or low-
level treatment) of religion explicitly, the UN system from
• The International Covenant on Social, Economic, and
the late 1970s and especially with the 1981 declaration began
Cultural Rights (1966)
to recognize the international significance of religion for a
• The Declaration on the Elimination of All Forms of In-
stable world order.
tolerance and Discrimination Based on Religion or Be-
During the 1990s religion emerged explicitly in numer-
lief (1981)
ous international statements, gaining a new and unprece-
The Universal Declaration of Human Rights includes a
dented prominence. These included the Cairo Declaration
number of articles of relevance to freedom of religion and be-
on Human Rights in Islam (1990) and the Fundamental
lief. These include Article 2 (forbidding prejudicial distinc-
Agreement between the Holy See and the State of Israel
tions of any kind, including those related to religion) and Ar-
(1993). The Vienna Declaration and Plan of Action (1993)
ticle 26 (on the rights to a particular religious education).
and the follow-up to the World Conference on Human
The foundation stone of freedom of religion and belief,
Rights, the office of the UN High Commissioner on Human
though, is found in Article 18 of the Universal Declaration
Rights (1993), also gave some prominence to freedom of cul-
of Human Rights. This states, “Everyone has the right to
ture and religion, an important development given the re-
freedom of thought, conscience, and religion; this right in-
spective post-Yugoslavia and post-Rwanda contexts. The
cludes freedom to change his religion or belief, and freedom,
new prominence given to religion culminated in the Oslo
either alone or in community with others and in public or
Declaration on Freedom of Religion and Belief (1998).
private, to manifest his religion or belief in teaching, practice,
Second, and indicated by both the 1981 declaration and
worship, and observance.”
the 1998 Oslo declaration, the notion of freedom of religion
Nathan Lerner in Religion, Beliefs, and International
was itself extended to freedom of religion and belief to allow
Human Rights offers one of the most authoritative commen-
for a wider interpretation of worldviews. Third, this in turn
taries on religion in the UN system. As Lerner suggests, Arti-
has had the effect of linking issues such as “freedom of
cle 18 greatly influenced the texts incorporated in the 1966
thought, conscience, and religion” to what Carl Wellman in
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4180
HUMAN RIGHTS AND RELIGION
Mass Slaughter Since the 1948 Convention Against Genocide
Date
State
Victims
Deaths
1943–1957
USSR
Chechens, Ingushi, Karachai
230,000
1944–68
USSR
Crimean Tartars, Meskhetians
57,000–175,000
1955–77
China
Tibetans
Not available
1959–75
Iraq
Kurds
Not available
1962–72
Paraguay
Ache Indians
90,000
1963–64
Rwanda
Tutsis
5,000–14,000
1963
Laos
Meo Tribesmen
18,000–20,000
1965–66
Indonesia
Chinese
500,000–1 million
1965–73
Burundi
Hutus
103,000–205,000
1966
Nigeria
Ibos in North
9,000–30,000
1966–84
Guatemala
Indians
30,000–63,000
1968–85
Philippines
Moros
10,000–100,000
Equatorial Guinea
Bubi Tribe
1,000–50,000
1971
Pakistan
Bengalis of EasternPakistan
1.25–3 million
1971–9 Uganda
Karamajong
100,000–500,000
Acholi, Lango
1975–79
Cambodia
Including Muslim Cham
2 million?
1975–98
Indonesia
East Timorese
60,000–200,000
1978–
Burma
Muslims in border regions
Not available
1979–86
Uganda
Karamanjong, Nilotic Tribes
50,000–100,000
Bagandans
1981
Iran
Kurds, Bahais
10,000–20,000
1983–7
Sri Lanka
Tamils
2,000–10,000
1994
Rwanda
Tutsis
500,000–million
1992–5
Bosnia–
Mainly Bosnian Muslims
200,000
Herzegovina
(Ryan, in Gearon, 2002)
T ABLE 1 .
The Proliferation of Rights has called rights of human solidari-
founding of the United Nations. The resulting Beijing decla-
ty, notable in connections publicly made between religious
ration was careful to set the event in the context of other con-
intolerance and the ending of racism, xenophobia, and dis-
ferences. Cited conferences included those on women in
crimination. For example, the 1981 Declaration on the
Nairobi in 1985, on children in New York in 1990, on envi-
Elimination of All Forms of Intolerance and of Discrimina-
ronment and development in Rio de Janeiro in 1992, on
tion Based on Religion or Belief was followed just over a de-
human rights in Vienna in 1993, on population and devel-
cade later by the UN Declaration on the Rights of Persons
opment in Cairo in 1994, and on social development in Co-
Belonging to National or Ethnic, Religious, and Linguistic
penhagen in 1995. Convinced that “women’s empowerment
Minorities (1992).
and their full participation on the basis of equality in all
Fourth, also related to Wellman’s notion of human soli-
spheres of society, including participation in the decision-
darity are the rights affecting particular groups of the world’s
making process and access to power, are fundamental for the
population, including children and indigenous peoples. In
achievement of equality, development and peace,” commit-
terms of religion and human rights, the major issue here is
ments made by the Beijing declaration included (1) full im-
women and human rights in the world’s religions. The
plementation of the human rights of women and of the girl
prominent and influential World Conference on Women
child “as an inalienable, integral, and indivisible part of all
was held in Beijing in 1995, the fiftieth anniversary of the
human rights and fundamental freedoms” and (2) the em-
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HUMAN RIGHTS AND RELIGION
4181
powerment and advancement of women, “including the
International Human Rights Law (1999) is certainly worth
right to freedom of thought, conscience, religion, and
consulting.
belief.”
Worldviews. There are tensions between religious tra-
TENSIONS IN EQUALITY: THEORETIC EQUALITY VERSUS
ditions and different culture’s worldviews. Religious, cultur-
FACTUAL INEQUALITY. Heightened emphasis upon religion
al, and ethnic differences remain the major source of conflict
and culture in international relations shows a world that con-
in a post–Cold War world. After two world wars and with
tinues to reflect considerable tensions between worldviews
a clear awareness of the systematic mass murders of the Holo-
when dealing with ideals such as human rights. These ten-
caust, the 1948 Genocide Convention was born out of a
sions are of four kinds: first, between between particular cul-
never-again mentality. Since then genocide, defined here as
tural and especially religious systems and the notion of uni-
the systematic and deliberate targeting for extinction of par-
versal human rights; second, between religious traditions and
ticular sections of a population, has happened repeatedly.
different culture’s worldviews; within and between human
Genocide in the twentieth century became fundamental to
rights themselves; and between a stated universality of rights
human rights discourse in the twenty-first century.
and factual inequality in their distribution.
Between rights themselves. There are tensions within
Human rights. There are tensions between particular
and between human rights themselves, for example, between
cultural and especially religious systems and the notion of
freedom of religion or belief and freedom of expression. Here
universal human rights. Examples include the right to free-
the conflict between religious traditions and universal
dom of expression that might give offense to some religious
human rights contributes to these tensions between rights
sensibility or the tension between democratic political sys-
that seem to compete rather than be complementary.
tems and religiously inspired systems of governance or, and
Stated universality and factual inequality. A wider
perhaps especially, issues of universal rights between men
tension exists between a stated universality of rights and fac-
and women. Most critically on December 18, 1979, the
tual inequality. The 1993 World Conference on Human
Convention on the Elimination of All Forms of Discrimina-
Rights attempted to address this with the Vienna Plan of Ac-
tion against Women was adopted by the UN General Assem-
tion. Priorities for the global implementation of human
bly. It entered into force as an international treaty on Sep-
rights were listed and, as with the majority of UN world con-
tember 3, 1981.
ferences, a five-year review was planned. The UN commis-
While marking significant progress and the culmination
sioner for human rights concludes his Vienna +5 review with
of three decades of work by the UN Commission on the Sta-
this paragraph:
tus of Women (established 1946), the Beijing and Beijing +5
The international community must conclude that five
meetings show that the equal status of women remains in
years after Vienna, a wide gap continues to exist be-
many countries and cultures a distant ideal, despite the fact
tween the promise of human rights and their reality in
that basic equality in human rights was fundamental to the
the lives of people throughout the world. At the begin-
UN charter and the Universal Declaration. The convention
ning of the twenty-first century, making all human
states that discrimination against women is extensive and de-
rights a reality for all remains not only our fundamental
tails the areas (health, education, employment, and legal and
challenge but our solemn responsibility.
political status) where progress needs to be made. The con-
In the UN system, human rights imply universality. Yet
vention also devotes much time to reproductive rights, issues
human values are by their nature contested, and history re-
around maternity, and rights centered on marriage. Of gen-
veals a tragically imperfect world where inequalities abound
eral importance is the disparity between the UN definitions
and justice is too often absent. The World Conference on
of women’s rights and those perceived within certain cultural
Human Rights in Vienna expressed “its dismay and condem-
and religious traditions. In reality each religion will address
nation that gross and systematic violations and situations
particular issues of integrating or rejecting women’s rights
that constitute serious obstacles to the full enjoyment of all
within their respective traditions. And these will be tempered
human rights continue to occur in different parts of the
by political circumstances.
world.” It is this most fundamental sense of inequality—over
For political case studies on women’s rights, major non-
and above differences between religious traditions and secu-
governmental organizations (NGOs) in the field, like
lar notions of human rights—that arguably presents the
Human Rights Watch, often focus on similar specific issues.
greatest cause of conflict the world over. As Albert Camus
Human Rights Watch has continually updated studies of
once remarked, “The spirit of revolt can only exist where a
each of the world’s geographical regions. In general the legal
theoretic equality conceals great factual inequalities.”
difficulties in combining the equalities, rights, and freedoms
CONCLUSION. Many nation-states now regard issues of reli-
of religion with the equalities, rights, and freedoms of
gion and human rights as essential barometers of wider dem-
women are real, representing arguably the most significant
ocratic freedoms. In the United States, for example, the 1998
tension between international systems of human rights and
International Religious Freedom Act made it a requirement
religious traditions. On the technical legal side of such mat-
for the U.S. secretary of state to publish an annual report on
ters, Kelly D. Askin and Dorean M. Koenig’s Women and
religious freedom worldwide. Published each September, 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
4182
HUMAN SACRIFICE: AN OVERVIEW
Annual Report on International Religious Freedom is sub-
Lerner, Nathan. Religion, Beliefs, and International Human Rights.
mitted to the Committee on International Relations in the
New York, 2000. A standard work on religious human rights
U.S. House of Representatives and the Committee on For-
from an international legal perspective.
eign Relations in the U.S. Senate. The report is extensive and
Lindholm, Tore, Bahia Tahzib-Lie, and W. Cole Durham Jr., eds.
provides country-by-country accounts of religious freedoms
Facilitating Freedom of Religion or Belief: A Deskbook. Leiden
and infringements on and improvements in these freedoms.
and Boston, 2004. Arising from the work of the Oslo Coali-
The report contains an extremely useful executive summary
tion on Freedom of Religion or Belief, an authoritative,
and clearly links freedom of religion with the likelihood that
wide-ranging and highly useful text.
countries that preserve this right will respect other funda-
Marshall, Paul, ed. Religious Freedom in the World: A Global Report
mental rights.
on Freedom and Persecution. London, 2000. An outstanding
survey from Freedom House edited by one of the world’s
SEE ALSO Law and Religion, article on Law, Religion, and
leading authorities.
Human Rights.
Mayer, Ann Elizabeth. Islam and Human Rights: Tradition and
Politics. Oxford, 1999. One of the most authoritative voices
BIBLIOGRAPHY
on Islam and human rights.
Askin, Kelly D., and Dorean M. Koenig, eds. Women and Interna-
Novak, David. Covenantal Rights. Princeton, N.J., 2000. A sys-
tional Human Rights Law. Ardsley, N.Y., 1999. Courtney W.
tematic philosophical analysis on human rights.
Howland’s article “Women and Religious Fundamentalism”
is particularly pertinent.
Power, Samantha. A Problem from Hell: America and the Age of
Genocide. New York, 2002. Essential reading on genocide in
Blaustein, Albert P., Roger S. Clark, and Jay A. Sigler, eds. Human
the twentieth century; much more than a book on American
Rights Source Book. New York, 1987.
foreign policy. Winner of a Pulitzer Prize.
Bloom, Irene, J. Paul Martin, and Wayne L. Proudfoot, eds. Reli-
Runzo, Joseph, Nancy M. Martin, and Arvind Sharma, eds.
gious Diversity and Human Rights. New York, 2000. One of
Human Rights and Responsibilities in the Worlds Religions. Ox-
a number of authoritative publications coming from the
ford, 2002. Balances notions of rights with ethical and moral
Center for the Study of Human Rights at Columbia Univer-
responsibility.
sity.
Ryan, Stephen. The United Nations and International Politics.
Casanova, Jose. Public Religions in the Modern World. Chicago,
London, 2000. An engaging and readable general account of
1994. A foundational challenge to secularization theory.
the successes and failings of the UN.
Forsythe, David P. Human Rights in International Relations. 3d ed.
Smart, Ninian. The World’s Religions. Cambridge, U.K., 1989. A
Cambridge, U.K., 2000. An excellent single volume on the
classic work updated and significantly reworked.
development of human rights in global political context.
Fukuyama, Francis. The End of History and the Last Man. London,
Stahnke, Tad, and J. Paul Martin, eds. Religion and Human Rights:
1992. A contentious and highly influential post–Cold War
Basic Documents. New York, 1998. A useful selection of doc-
analysis of the supremacy of liberal, democratic governance.
uments from the Center for the Study of Human Rights at
Columbia University.
Gearon, Liam. The Human Rights Handbook: A Global Perspective
for Education. Stoke-on-Trent, U.K., 2003. Among the most
Villa-Vincencio, Charles. A Theology of Reconstruction: Nation
accessible guides to international human rights for the non-
Building and Human Rights. Cambridge, U.K., 1999. De-
specialist reader.
spite a seemingly narrow title, this book remains one of the
best available single volumes tracing the similarities and dif-
Gearon, Liam, ed. Human Rights and Religion: A Reader. Brigh-
ferences in Roman Catholic and Protestant Christian tradi-
ton, U.K., 2002. Defined by some as the standard collection
tions in relation to human rights.
in the field of religion and human rights, distinguished for
its combination of academic reflections across a full range of
Wellman, Carl. The Proliferation of Rights: Moral Progress or Empty
world religions combined with geopolitical case studies.
Rhetoric? Oxford, 2000. A sceptical legal-philosophical voice
presenting some critical insights into perceived theoretical
Harvard Human Rights Journal. Religion, Democracy, and Human
failings of burgeoning “generations” of rights.
Rights. Special Issue, 2003. Available at http://
www.law.harvard.edu.
LIAM GEARON (2005)
Haynes, Jeff. “Religion.” In Issues in World Politics, edited by
Brian White, Richard Little, and Michael Smith. 2d ed. Lon-
don, 2001. A great, short introduction to religion in world
politics by a writer who came to the subject long before Sep-
HUMAN SACRIFICE
This entry consists of the following articles:
tember 11.
AN OVERVIEW
Huntington, Samuel. The Clash of Civilizations. New York, 1993.
AZTEC RITES
Still reverberating as a sound bite.
Küng, Hans, and Helmut Schmidt, eds. “The Declaration of the
Parliament of the World’s Religions.” In A Global Ethic and
HUMAN SACRIFICE: AN OVERVIEW
Global Responsibilities: Two Declarations. London, 1998. A
Human sacrifice, defined as the killing of humans or the use
contentious attempt to map religious and secular ethical
of the flesh, blood, or bones of the human body for ritual
frameworks.
purposes, has been a widespread and complex phenomenon
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUMAN SACRIFICE: AN OVERVIEW
4183
throughout history. Most contemporary scholars try to ex-
ficed in order to release souls for the service of the dead an-
plain human sacrifice in terms of earlier theories of sacrifice
cestors; (2) human sacrifice is a gift that binds deities to
in general. Though the explanations given for the purposes
people in an exchange or that serves to propitiate the gods
of sacrifice have been almost as varied as the phenomena
either as homage or as renunciation; (3) human sacrifice is
themselves, they may be reduced to nine common themes
a communion meal in which the power of life is assimilated
drawn from four of the classic works on sacrifice. These
and thus regenerated; (4) the offering of human sacrifice
themes may be illustrated with descriptions of human sacrifi-
serves as an expiation of past transgressions and has a re-
cial practices in differing cultural contexts.
demptive character; (5) it brings about atonement, (6) the
regeneration of earthly fertility, or (7) immortality; (8) it
E. B. Tylor (1832–1917) theorized that the origin of re-
transforms human conditions; and (9) it unifies the divine
ligion lay in the primitive tendency to “animate” the entire
and mortal. Although some new approaches have been added
world with “soul-ghosts.” Human sacrifice released these
taking into consideration factors such as the role that cos-
soul-ghosts so that they might join their ancestors and func-
mology plays or the ordering capacities of human sacrifice,
tion as a gift to gain particular ends, as homage to a deity,
contemporary interpreters of human sacrifice still find these
or as a form of renunciation.
themes fruitful in a variety of cultural settings.
THEORETICAL PERSPECTIVES. According to W. Robertson
HISTORICAL CORROBORATION. The burials at Chan Chan
Smith (1846–1894), sacrifice originated in totemism. Sacri-
(fourteenth–fifteenth centuries) in Peru are illustrative of the
fice was a communal meal shared between the people and
theme of soul-release and kinship with the dead. In this capi-
their god, who was simultaneously their totemic animal and
tal of the Chimu empire, many adolescent females were sacri-
their kinsman. Smith postulated two types of sacrifice. The
ficed and buried with their king. It is known that later, dur-
first, the honorific, was a gift either on a friendly basis of ex-
ing Inca domination (fifteenth–sixteenth centuries), the king
change or as a part of homage to a powerful deity. The com-
was considered alive after death and was treated as a partici-
munion meal became a cannibal feast when a tribe, such as
pant in the affairs of his surviving kin. A kinship was estab-
the wolf tribe, offered to the god the appropriate food—the
lished between the dead and the living in the Shang period
members of the sheep tribe, for example. The second, the
(c. 1500–1050 BCE) in China as well. According to David
piacular or expiatory sacrifice, took on a mystical, sacramen-
N. Keightley (1978), in the Shang political system the dead
tal flavor when a tribe’s own totemic animal was offered as
and the living formed a bureaucracy together. The dead re-
a redemption for a misdeed. The animal, who as a kinsman
ceived “salaries” in the form of human sacrifices for their jobs
was also a representative of the people themselves, was killed
as intercessors between the king and the high god Di. With-
and then shared in a communion in which people achieved
out this, earthly prosperity could not continue. At Anyang
atonement by physically assimilating into their own bodies
(c. 1500–1400 BCE), the entombment of an entire company
the totemic form of themselves. The sacrificed animal was
of soldiers, four charioteers, their companions, the horses,
reborn by being assimilated into the living bodies of the peo-
and the chariots has been unearthed.
ple who ate it, and since those people were identified with
the totemic animal, they too were reborn through this ritual.
The themes of expiation, redemption, and communion
were central in the sacrificial tradition of the early Christian
James G. Frazer (1854–1941) developed a theory of re-
church. The early martyrs believed that their sufferings were
generation of fertility according to which the sacrificial offer-
evidence that the millennium was close at hand. By recapitu-
ing possessed tremendous potency. Sacred kings and human
lating Christ’s death, they shared in his resurrection and were
vegetative gods were killed to pass on their power to a youn-
instantly transported into his presence. Ignatius of Antioch
ger successor, to incorporate their potency into the living
(Antakya, Turkey) echoed the themes of redemptive com-
who consumed their bodies, and to prevent their decay in
munion when he joyously declared that he looked forward
old age since decay would endanger the fertility of earthly ex-
to being crushed by the teeth of beasts so that he might be-
istence. Frazer also suggested that animals and plants were
come wheat for God’s bread.
eventually substituted for the original human sacrificial offer-
ing because of the fear inherent in killing humans.
Themes of redemption and abnegation can also be
found in the self-sacrifices of the samurai in Japan. Drawing
In their essay on Vedic and Hebrew sacrifice (1898),
on a warrior tradition dating back to the eleventh century
Henri Hubert and Marcel Mauss considered sacrifice to be
that stressed kinship and extreme loyalty in the face of fail-
a religious act which, through the consecration of an offer-
ure, the Bushido¯ cult arose in the peaceful Tokugawa period
ing, modified or transformed the condition of the person
(1600–1868). Since there were few wars for the samurai to
who accomplished that act by joining the divine and mortal
fight, Confucian ideals were joined with the earlier warrior
via the sacrifice. Moreover, the self-sacrifice of a god in
ethic to create a martial cult in which the warrior was to give
human form was the ideal abnegation, for it was an offering
complete loyalty to his lord by rendering service in office
of one’s own life.
rather than in war. If seppuku (ritual suicide) was demanded,
Nine basic purposes of human sacrifice have been com-
the samurai were to comply without question. The reasons
monly cited from these early theorists: (1) humans are sacri-
for seppuku might include atonement for transgressions, the
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HUMAN SACRIFICE: AN OVERVIEW
avoidance of capture in war, the death of one’s lord, or a final
ly destroyed. The Fifth Sun, called the “age of movement,”
protest to a lord who failed to follow the samurai’s good ad-
was also doomed to destruction by earthquakes and famine.
vice—an act of selflessness intended to bring the foolish lord
The sun of this age was born by the willing self-sacrifice of
back to his senses. Seppuku became a refined art in which the
the gods, and so shall people sacrifice themselves for the gods
samurai, with tremendous self-control, slashed his own belly.
in return. In a cosmic exchange, gods are the maize of peo-
Often an assistant then decapitated him in such a way that
ple’s existence while people are tortillas for the gods to eat.
the head was left hanging by a bit of flesh. In one incident
But just as all people are born, eat food, grow old, and die,
forty-seven samurai chose this ritual to avenge the disgraceful
so too will the Fifth Sun meet its demise, no matter how
death of their lord. The kamikaze pilots of World War II also
much it is fed. The Aztec universe was thus unstable—
followed this ancient warrior tradition.
wobbling between periods of order and disorder. Only
human sacrifice could stay the end, and that only temporari-
In the Hawaiian Islands, sacrifice stands for transforma-
ly. In this eschatological setting, massive sacrificial rites were
tion, communion, and the capacity to reorder what has been
performed that may have offered people a chance to take
disordered. In Hawaiian theology, gods, humans, and nature
some control of their inevitable destruction, a chance to con-
are one human species. Gods are no more than differentiated
trol the uncontrollable.
manifestations of the undifferentiated cosmic Po¯ (of which
people and nature are extensions) so that the entire world is
Human sacrifice may seem remote to civilized sensibili-
related by kinship. The sacrificial ritual begins with some
ties. Nevertheless, as a human act it must be at least partly
perceived lack, which is understood as a kind of disorder.
intelligible to other humans. On November 18, 1978, in
The offering is consecrated to the god, who eats a part of the
Jonestown, Guyana, 914 members of the People’s Temple
sacrifice, thus assimilating into himself its mana (effective
took their own lives by means of a cyanide-laced fruit drink.
potency). The sacrifice then passes back to the participants,
Most of them did so willingly. The complex reasons for this
who assimilate it. In this communal sharing, life is reordered
massive sacrifice of human lives are both disturbing and chal-
and thus regenerated via the mutual assimilation of the sacri-
lenging to one’s capacity to understand. Yet some familiar
fice—an assimilation made possible by the shared kinship of
themes may be recognized. The people of Jonestown, like the
gods and humans. A transformative reordering is made.
Christian martyrs, believed in a utopian world on “the other
side.” Like the samurai, they chose death as a “revolutionary
The evidence for human sacrifice in Vedic India (c.
act” to protest against the racism that they had failed to over-
1500–600 BCE) is still largely contested. However, by draw-
come, and like the Aztecs, they preferred to choose the time
ing on both textual and archaeological sources, Asko Parpola
and place of their own deaths. As Jim Jones said during that
has suggested that rituals that were precursors of the Agni-
“white night”: “I haven’t seen anybody yet didn’t die. And
cayana (Vedic fire sacrifice) included the killing of humans.
I like to choose my own kind of death for a change.”
These earlier rites were part of a yearly cycle of two seasons
devoted to war and agriculture, the two divisions marked by
SEE ALSO Afterlife, article on Chinese Concepts; Bushido¯;
sacrifices in which the A´svamedha (horse sacrifice) was
Purus:a; Suicide; Vedism and Brahmanism.
equated with the purus:amedha (human sacrifice). Death and
regeneration were central concepts in these two sacrifices as
BIBLIOGRAPHY
they were in the Agnicayana. Even in the early twenty-first
E. B. Tylor’s theories of animism and sacrifice as a release of souls
century, the Agnicayana symbolically involves human sacri-
is discussed in his Religion in Primitive Culture (1871;
fice: The mythic sacrificial dismemberment of Purus:a (Cos-
Gloucester, Mass., 1970), vol. 2, pp. 1–87. The section on
mic Man) is recalled as the fire altar is constructed brick by
sacrifice (pp. 461–496) describes this phenomenon in terms
brick, an act that reorders both Purus:a and the cosmos. Five
of Tylor’s views on its traits, mechanisms, permutations, and
heads originally were buried under the altar—those of a man,
survivals. The short article “Sacrifice” in the Encyclopaedia
a horse, an ox, a sheep, and a goat. Today a live tortoise is
Britannica, 9th ed. (Boston, 1886), is W. Robertson Smith’s
initial and concise explication of his theories of sacrifice in
buried because of its cosmic and regenerative symbolism.
general, including those of human sacrifice. For James G.
The first layer of bricks represents Purus:a’s thousand eyes,
Frazer’s theories of sacrifice, see his twelve-volume work The
and the finished altar is shaped like the firebird who will
Golden Bough: A Study in Magic and Religion, 3d ed., rev. &
carry the sacrifice to heaven. J. C. Heesterman has suggested
enl. (London, 1911–1915). Henri Hubert’s and Marcel
that human sacrifice was eliminated in the Bra¯hman:as (c.
Mauss’s Sacrifice: Its Nature and Function (Chicago, 1964)
900–700 BCE), which substituted animals and rice cakes, in
is a short study of the structure and function of Vedic and
an attempt to control the fear of disorder inherent in the ritu-
Hebrew sacrificial rituals and is a classic work that has had
al killing of humans.
widespread influence.
Origins of Chinese Religion by David N. Keightley (Berkeley,
The themes of order and disorder also play a role in
Calif., 1983) offers one of the best overviews of early Chinese
Aztec sacrifice as does the theme of sacrificial exchange. A
culture. Keightley offers a more concise discussion of the reli-
central myth of the Aztec tells of the birth and destruction
gious perspective that may have provided a basis for, among
of four ages prior to the Fifth Sun, the age of the Aztec. Each
other things, human sacrifice in the Shang period in “The
previous age is named for the way in which the sun was total-
Religious Commitment: Shang Theology and the Genesis 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
HUMAN SACRIFICE: AZTEC RITES
4185
Chinese Political Culture,” History of Religions 17 (February–
they sawed open their chests and drew out their palpitating
May 1978): 211–225. A comprehensive discussion of mar-
hearts and offered them to the idols that were there”
tyrdom and its sacrificial theology in the early Christian
(p. 191). Following this offering to the gods at the temple,
church can be found in the classic work by W. H. C. Frend’s
the victims were rolled back down to the bottom of the steps
Martyrdom and Persecution in the Early Church (Oxford,
where ritual experts “cut off their arms and feet and flayed
1965). A more recent treatment can be found in A Noble
the skin off the faces, and prepared it afterwards like glove
Death: Suicide and Martyrdom among Christian and Jews in
Antiquity (San Francisco, 1992) by Arthur J. Droge and
leather with the beards on, and kept those for the festivals
James D. Tabor. H. Paul Varley’s Warriors of Japan (Hono-
when they celebrated drunken orgies and the flesh they ate
lulu, 1995) explores the evolving Samurai culture from the
in chilimole” (p. 191).
tenth to the fourteenth centuries as reflected in tales of war.
Valerio Valeri’s Kingship and Sacrifice: Ritual and Society in
This shocking description of an apparent massacre rep-
Ancient Hawaii (Chicago, 1985) is an extensive study of the
resents what Burr C. Brundage in his book The Fifth Sun
structure and function of Hawaiian sacrificial rituals, with
(1979) calls “the central fact of Aztec life . . . the nuclear
particular attention to the role of the king. Valeri includes
cult of war, sacrifice and cannibalism.” In this no doubt bi-
a fine discussion of Hawaiian theology as well.
ased selection, major ritual elements of Aztec human sacrifice
A lengthy treatment of a contemporary performance of the an-
can be identifed that help illuminate some aspects of Aztec
cient Vedic fire ritual can be found in Frits Staal’s two-
religion. Among the outstanding elements in the text are the
volume Agni: The Vedic Ritual of the Fire Altar (Berkeley,
centrality of the sacred temple of Tenochtitlan, the ascent
Calif., 1983). This book also includes source material for the
and descent of the temple stairs, ritual dressing, dancing and
historical background of the possibility of human sacrifice in
music, the heart sacrifice of enemy warriors, the dismember-
early India. It also includes an article by Asko Parpola, “The
ment and flaying of the victim, cannibalism, and an atmo-
Pre-Vedic Indian Background of the Srauta Rituals” (vol. 2,
sphere of political and military crisis. While it is significant
pp. 41–75), which discusses the relationship between the
that even in the report of an enemy soldier like Díaz del Cas-
horse sacrifice and human sacrifice.
tillo a number of indigenous facts of Aztec ritual sacrifice are
An extraordinarily rich source of information on the Aztecs was
communicated, it is important to acknowledge that many
compiled by a sixteenth-century Franciscan father, Bernardi-
crucial dimensions are missed. First, the Nahuatl word that
no de Sahagun, in his Historia general de las cosas de la Nueva
is closest to “sacrifice” was nextlaoalli (paying of the debt).
España, translated by Arthur J. O. Anderson and Charles E.
Dibble as Florentine Codex: A General History of the Things
In many parts of the Mesoamerican world, the ritual killing
of New Spain, 13 vols. (Santa Fe, N.Mex., 1950–1982). Vol-
of plants, animals, and humans was carried out within a
umes 2, 3, and 7 are particularly good for ritualistic and
deep-seated belief that the deities had created the universe
mythic sources on human sacrifice. A general discussion of
out of their own self-immolations or the giving of some part
Aztec sacrifice can be found in Time and Sacrifice in the Aztec
of their essences. Secondly, this gift of life put a debt on
Cosmos by Kay Read (Bloomington, Ind., 1998), and an ex-
human beings whose responsibility it was to pay back the
cellent synthesis and application of a number of classic and
gods through ritual sacrifice and the production of blood
contemporary theories on Aztec sacrifice appears in Envision-
that would result in the rejuvenation of the divine forces that
ing Power: Ideologies of Dominance and Crisis by Eric Wolf
sustain the world. Thirdly, this commitment to paying the
(Berkeley, Calif., 1999, pp. 134–195).
debt had many ritual and theological dimensions that the
KAY A. READ (1987 AND 2005)
Spaniards could not understand including the Mesoameri-
can belief that the reliability of many crucial transitions be-
tween months, years and larger cycles of time depended on
the ritual giving of blood. These are just some of the key
HUMAN SACRIFICE: AZTEC RITES
meanings of human sacrifice that is often overlooked by pub-
One of the most vivid examples of the Aztec ritual of sacrific-
lic and scholars alike.
ing human beings (tlamictiliztli) appears in Bernal Díaz del
Castillo’s book The Discovery and Conquest of Mexico (1632;
As a means of understanding these elements within a
Eng. ed., 1953). Díaz del Castillo, a foot soldier in Hernando
comprehensive setting, this essay will focus on the following:
Cortés’s army, describes seeing his comrades, who had been
(1) the social-political world of the Aztec Empire, character-
captured in a recent battle, being dragged by force up the
ized as a pulsating polity marked by ferocious rivalries be-
steps of the temple of Coatepec by Aztec warriors and priests.
tween the capital city of Tenochtitlan (the center) and the
As the “dismal drum” of the war god, Huitzilopochtli, mixed
allied and enemy territories of the state (the periphery); (2)
with the ominous sounds of shell and horn trumpets, the Az-
the cosmological setting of Aztec religion and human sacri-
tecs decorated their captives with Aztec costumes and “with
fice; and (3) the practice and paraphernalia of human sacri-
fans in their hands they forced them to dance before
fice. This approach will show Aztec ritual sacrifice as both
Huichilobos [Huitzilopochtli]” (p. 191). After this ceremo-
text and context, ritual order and ritual destruction aimed
nial preparation, we are told that the Aztecs lay the Spaniards
at cosmic and social revitalization. The Aztec warrior and
“on their backs on some rather narrow stones which had
worshiper powerfully experienced the gods not only in the
been prepared as places for sacrifice, and with some knives
poetry, art, and architecture of the ceremonial centers of the
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HUMAN SACRIFICE: AZTEC RITES
empire but also in the elaborate preparations of ritual places,
sive military campaigns to the north, south, east, and west
plants, animals and people for sacrifice through the deadly
of the city and central valley in order to expand their territo-
thrust of the sacrificial knife, the eruption of blood on the
rial and tributary empire. In some cases, large-scale military
temple, and sometimes the transformation of human flesh
campaigns were carried out at great distances from the capi-
into ritual food.
tal. These expansions into peripheral territories resulted in
both new acquisitions of land and tribute but also terrible
THE SOCIAL WORLD OF CENTER AND PERIPHERY. The so-
defeats of the Aztecs at the hands of the Tlaxcala-Puebla Val-
cial world in which Aztec ritual sacrifice developed was a rap-
ley kingdom in the east and the Tarascan state in the west.
idly expanding empire, organized around the capital city of
Tenochtitlan between 1426 and 1521. This state organiza-
The Flowery Wars. One of the most important ritual
tion was created and maintained, in part, by military force
and political institutions of the Aztec Empire was the Xochi-
and a religious cosmology pervaded by themes of competi-
yaoyotl (Flowery Wars), which lasted from 1450 to 1519 and
tion, conflict, agricultural regeneration, warfare,and the ritu-
consisted of a series of scheduled battlefield confrontations
al killing of gods and men. In the ninety-plus years of the
between warriors of the Triple Alliance and warriors of the
rise of Aztec power, the elites of Tenochtitlan—who con-
Tlaxcala-Puebla Valley kingdoms. In recent years a contro-
ceived of their world as cemanahuac, a “land surrounded by
versy has arisen over the causes and significance of the Flow-
water” that was divided by the gods into four quadrants ema-
ery Wars. According to indigenous accounts that reflect the
nating from the capital—constructed the largest and most
ideology of Aztec elites, the “wars” were staged primarily to
powerful political state in Mesoamerican history. This
provide sacrificial victims for ritual festivals and to keep the
achievement of centralization was accomplished through the
warriors in training. One argument is that the devastating
military conquest of scores of communities that lay in all di-
famines of 1450 to 1454, during the reign of Motecuhzoma
rections from the capital. This center-oriented cosmological
Ilhuicamina (Moctezuma I) (1466–1520) were interpreted
and social world was hampered by a pulsating political pro-
by the priestly elites as a sign of angry gods who needed a
cess marked by constant rebellions, secessions, and realign-
greater supply of warrior sacrifices. A sixteenth-century
ments by allies. One of the major political and religious in-
chronicler, Fray Diego Durán, states that the Flowery Wars
struments in stabilizing peripheral territories, and in the
were instituted for the specific purpose of supplying victims
acquisition of massive tribute payments such as maize, beans,
for the Templo Mayor (Great Temple) of Tenochtitlan,
cloth, war service, and labor, was the periodic, sometimes
where the shrines of Huitzilopochtli and Tlaloc stood.
large-scale sacrifice of enemy warriors at the major temples
Whereas the actual social causes were almost certainly more
of Tenochtitlan. Some of these sacrifices constituted theatri-
complex, the argument put forth by Tlacaellel, the chief ad-
cal ritual displays of the ideology, wealth, and symbolism of
viser of Motecuhzoma Xocoyotzin (Moctezuma II) (1502–
the exemplary center for the purpose of establishing and ex-
1520) represents the Aztec vision well. He compared a war-
panding Aztec authority within and beyond the Valley of
rior going to the Flowery Wars with a merchant going to dis-
Mexico.
tant markets to purchase luxuries. The god and his army
went to the battlefield to purchase blood and hearts, the lux-
This pattern of conquest, tributary control, and human
uries of the temples.
sacrifice was already a traditional practice in Mesoamerica
when the Aztec ancestors, the Chichimec (sons of the dogs),
Recent research has expanded our understanding of the
migrated into the valley in the thirteenth and fourteenth cen-
Flowery Wars by revealing that they
turies. At that time, the Valley of Mexico was politically frag-
mented into a myriad of small, warring city-states (each with
began almost as demonstration wars or tournaments,
a population of between ten and fifty thousand) in constant
with limited numbers of elite combatants, no intention-
competition and conflict for political, ritual, and economic
al killing, and the release of prisoners. A convincing dis-
play of superiority could lead to capitulation, but if that
control. While human sacrifice as an instrument of political
failed, the war escalated over a period of years: ever larg-
intimidation and religious devotion was widely practiced and
er numbers of combatants were involved; the types of
regulated by several calendars, the Aztec expanded its uses
weapons allowed expanded to include those, such as
during the fifteenth and early sixteenth centuries.
bows and arrows, that inflicted indiscriminate death;
captives were sacrificed and battles became lethal con-
The most powerful city-state encountered by the Aztec
frontations. (Hassig, 2001, p. 320).
during their rise to dominance was the Tepenac empire,
which consolidated some areas of the central valley in the late
Thus, these military confrontations resulted not just in the
fourteenth and early fifteenth centuries. Around 1424, the
capture of warriors for temple sacrifice but eventually in
Aztec of Tenochtitlan and the city-states of Texcoco and Tla-
large-scale battlefield killing that left the competing armies
copan successfully rebelled against the Tepenac and formed
depleted and in disarray. In these cases, the Flowery Wars
a state organization called the Triple Alliance, which took
reflect true warfare conditions between states, not simply the
over the Tepenac patterns of conquest, territorial control,
acquisition of warriors for sacrifice in the capital. Further, it
and tribute payments. However, during the next ninety
is certain that during periods of truce between these ritually
years, Aztec tlatoanis (chief speakers/rulers) directed aggres-
warring kingdoms, rulers of enemy territories were invited
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4187
to witness the theatrical sacrifice of warriors in the ceremoni-
and disorder, cosmic life and cosmic death. This oscillation
al center of Tenochtitlan. Hidden behind special canopies,
reflects historical developments in which the collapse of spe-
these visiting lords witnessed the ritual devastation of allied
cific city-states or kingdoms resulted in the initial fragmenta-
and enemy warriors. According to Johanna Broda, the Aztec
tion but later proliferation of new communities.
rulers organized the ceremonies so that their enemies could
see “the greatness of Mexico” and in order to “bewilder
At least three major cosmogonic episodes contain para-
them, fill them with fear, . . . in order to show that the Az-
digms for the Aztec practices of warfare and human sacrifice.
tecs were the masters of all the riches of the earth” (Broda,
A review of these episodes reveals three important patterns:
1970, p. 234). In this case, the rulers from the peripheries
first, a widening of the pattern of sacrifice from sacrifice to
of the Aztec state were brought to the center to witness the
a single deity to sacrifice to masses of deities, and, second,
ceremonial authority of the capital, Tenochtitlan, which as-
the conquest and sacrifice of gods from the periphery of the
sisted the Aztec in their purpose of achieving political superi-
cosmos by the gods and warriors at the center of the world.
ority.
In some cases a third pattern appears—the victory of a
weaker god or brother over the dominant sibling or deity.
Whereas the Aztecs were able by the middle of the reign
of Motecuhzoma Xocoyotzin to consolidate scores of city-
A major cosmogonic episode related to human sacrifice
states into their empire and to intimidate many others into
is reported in Sahagún’s Florentine Codex as occurring after
uneasy alliances, their world was repeatedly shocked by rebel-
the universe has passed through the first four cosmogonic
lions and defeats at the peripheries of their empire. These
ages. We are told that during the night the gods gathered
tensions put the Aztec state in an atmosphere of periodic cri-
around a divine fire at Teotihuacan (abode of the gods) to
sis and regeneration and likely contributed to the escalation
discuss who take it upon himself to “be the sun, to bring the
of ritual human sacrifices in the ceremonial center of the
dawn” (vol. 7, p. 6). Following four days of penance and rit-
capital.
ual, the god Nanahuatzin (the pimply one), dressed in cere-
monial garb, hurled himself into the fire, followed by a sec-
It must be noted, however, that human sacrifice was
ond deity, Tecuciztecatl (lord of snails). Immediately, an
practiced prior to the Aztec Empire and in many parts of Me-
eagle and a jaguar rose from the flames. “From this event it
soamerica. There is evidence of human sacrifice among the
is said, they took the custom whereby one was called valiant,
Olmecs who date back to 1200 BCE and the Classic Maya
a warrior” (vol. 7, p. 6). Then the dawn appeared in all direc-
inscriptions have a special glyph for the notion of sacrifice
tions. Uncertain as to where the sun would rise, the gods fell
that sometimes referred to the ritual killing of a defeated,
upon their knees. Quetzalcoatl looked eastward and “when
rival king. The ritual torture of prisoners at ceremonial tem-
the sun came to rise, when he burst forth, he appeared to be
ples as well as the ritual dismemberment and beheading of
red, he kept swaying from side to side” (vol. 7, p. 7). The
prisoners is shown on murals and painted vessels from nu-
gods were faced with an unstable, threatening cosmic orb
merous Maya archaeological sites. As González Torres writes,
born out of the self-sacrifice of two of their number. Because
sacrifice is now known to have taken place at the great city
of the motionless sun, the gods decide to sacrifice themselves,
of Teotihuacan in central Mexico.
saying, “Let this be, that through us the sun may be revived.
Recent excavations in Teotihuacan have proved that
Let all of us die” (vol. 7, p. 7). The wind god, Ecatl (Ehécatl),
human sacrifice was practiced there on a large scale. So
“deals death” to the mass of deities, but the sun still fails to
far, 126 skeletons have been found in or around the
“follow his path.” In desperation, Ecatl “exerted himself
temple of Quetzalcoatl, and archaeologists think there
fiercely, and violently as he blew” and the sun “went on his
were at least 272 individuals represented in remains as-
way” (vol. 7, p. 7). Thus began the fifth and present age—the
sociated just with this building. One hypothesis is that
Aztec age—created when one courageous warrior god sacri-
they constituted a foundation sacrifice that may have
ficed himself, followed by the sacrifice of almost all of the
been part of a great ceremony dedicated to the deities
gods. It may be that this cosmogonic sacrifice served as the
of water, just before the completion of the temple.
religious justification for the increase in sacrifices at later cer-
(González Torres, 2001, p. 103)
emonial cities such as Tenochtitlan.
Whereas this essay focuses intensely on the Aztec patterns
COSMIC SACRIFICE OF HUITZILOPOCHTLI. The cosmic pat-
and practices, other Mesoamerican cultures devised elaborate
tern of mass sacrifice to energize the sun is repeated in a sub-
sacrificial practices that deserve further attention.
sequent episode in which terrestrial warfare and human sacri-
COSMOLOGY OF HUMAN SACRIFICE. In the various creation
fice are created by the gods to provide for their nourishment.
myths and sacred histories found in such representative
In one version, the god Mixcoatl (cloud serpent) creates five
works as the Historia de los Mexicanos por sus pinturas, the
women and four hundred Chichimec warriors to stir up dis-
Leyenda de los soles, and Fray Bernardino de Sahagún’s Hi-
cord and warfare. While the warriors pass their time hunting
storia general de las cosas de la Nueva España (1569–1582),
and drinking, the god sends the five human beings to slay
the Aztec cosmos is shown to have several distinctive quali-
them. In this account, war is created specifically to provide
ties, including a dynamic, unstable, and destructive cosmic
sacrificial victims for the gods but again we see a large num-
setting that is marked by sharp alternations between order
ber of sacrifices taking place.
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HUMAN SACRIFICE: AZTEC RITES
However, the specific paradigm for massive sacrifices of
older or more powerful sibling resulting in the death of the
enemy warriors at Tenochtitlan appears in the teotuicatl (di-
latter and the creation of a new age, place or era. In the three
vine song) of the birth of Huitzilopochtli, the Aztec war god.
cases above, we see this pattern acted out when Nanahuatzin
This narrative illustrates the pattern of the conquest and ritu-
becomes the hero god of the Fifth Sun, when the five women
al killing of warriors from the periphery of the state at the
take on the role of sacrificing the lazy male deities and when
major temple in the heart of the capital. The story begins
the miracle child Huitzilopochtli defeats his fully grown, ex-
when the mother of the gods, Coatlicue (serpent skirt), be-
perienced warrior sister. In these and many cases, the uni-
comes pregnant while sweeping out the temple at Coatepec
verse is renewed as a result of an “overthrow” of the younger
(serpent mountain). When her daughter Coyolxauhqui hears
sibling against the older and more powerful god.
of the pregnancy, she incites her 399 siblings to dress for war.
PRACTICE AND PARAPHERNALIA OF HUMAN SACRIFICE. It
The text in book 3 of Sahagún’s Historia reads, “They were
must be understood that the “debt payments” by humans to
very angry, they were very agitated, as if the hearts had gone
the gods who created them and the universe—what we are
out of them. Coyolxauhqui incited them, she inflamed the
calling human sacrifice—were carried out within a larger,
anger of her brothers, so that they should kill her mother”
more complex ceremonial system in which a tremendous
(p. 6). Next, Coyolxauhqui directs them to dress for war:
amount of energy, wealth, and time was spent in a variety
“They distributed among themselves their paper garb, the
of ritual festivals dedicated to a crowded and active pantheon
anecuyotl, the nettles, the streamers of colored paper, . . .
of divinities who needed to be nurtured. This dedication is
their arrows had barbed points, . . . then they began to
reflected in the many metaphors and symbols related to agri-
move” (p. 6). Following a journey through many towns, the
cultural renewal, war and sacrifice. Blood was called chalchi-
army, led by Coyolxauhqui, charges up Serpent Mountain
uh-atl, meaning “precious water.” Human hearts were lik-
to kill Coatlicue. As they reach the top, Huitzilopochtli is
ened to fine burnished turquoise, and war was
born fully dressed and attired for war. Attacking Coyolxauh-
teoatltlachinolli, meaning “divine liquid” and “burnt things.”
qui, he cuts off her head and dismembers her. The text notes,
War was the place “where the jaguars roar,” where “feathered
“The body of Coyolxauhqui rolled down the slope; it fell
war bonnets heave about like foam in the waves.” And death
apart in pieces; her hands, her legs, her torso fell in different
on the battlefield was called xochimiquiztli, meaning “the
places” (p. 7). Next, Huitzilopochtli attacks the other war-
flowery death.”
riors: “He pursued them, he chased them like rabbits, all
round the mountain . . . four times, . . . with nothing
The crowded ceremonial schedule was acted out in the
could they defend themselves. He chased them, he drove
many ceremonial centers of the city and empire. The greatest
them away, he humbled them, he destroyed them, he annihi-
single ceremonial precinct, that surrounding the Templo
lated them” (p. 7). Following the killing of the enemy war-
Mayor, formed the axis of Tenochtitlan and measured 440
riors at the mountain, he takes off their costumes and “intro-
meters on each of its four sides. It contained, according to
duces them into his destiny” (p. 7).
some accounts, more than eighty ritual temples, skull racks,
schools, and other ceremonial structures. Book 2 of
As the significant excavations (1978–2003) of the Tem-
Sahagún’s Historia contains a valuable list with descriptions
plo Mayor of Tenochtitlan have revealed, this mythic epi-
of most of these buildings, including “the Temple of Uitz-
sode was replicated in the architecture and ritual action of
ilopochtli [Huitzilopochtli] . . . of Tlaloc . . . in the mid-
the temple, which was dedicated to Huitzilopochtli and
dle of the square; . . . it was higher; it was taller; . . . [it]
Tlaloc. It has been learned that the temple was called “Coate-
faced toward the setting of the sun.” Sahagún’s work also
pec” by the Aztec. Its arrangement of parts, with Huitz-
contains descriptions of the kinds of sacrifices performed at
ilopochtli’s shrine at the top of one of the great stairways and
various sacred places. At Teccizcalli, the Florentine Codex re-
the eleven-foot-diameter round stone depicting the dismem-
ports, “Moctezuma did penances; . . . there was dying there;
bered Coyolxauhqui located at the bottom, is an architectur-
captives died there.” At Mexico Calmecac “dwelt the peni-
al repetition of this mythic episode. Ethnographic research
tents who offered incense at the summit of the Temple of
has shown that the largest number of ceremonial sacrifices
Tlaloc, quite daily.” At Teccalco “there was casting of men
of enemy warriors from surrounding communities took place
into the fire.” At the Great Skull Rack “there also . . . used
at this temple. As the divine song of Huitzilopochtli’s birth
to be slaying.” At the Temple of Cinteotl, “the impersonator
states at the end,
of Chicomecoatl died, at night only. And when she died,
The Méxica venerated him, made sacrifices to him,
then they flayed her . . . the fire priest put on the skin.” At
honored and served him. And Huitzilopochtli paid
Coaapan “the fire priest of Coatlan bathed himself.” At Tilo-
back those who behaved that way. And his cult was
can, amaranth-seed dough was “cooked . . . [for] the image
taken from there, from Coatepec, the Mountain of the
of Uitzilopochtli.” And, finally, at Acatl Yiacapan Uey Cal-
Serpent, as it was practiced in ancient times. (Sahagún,
pulli, “they gathered together the sacrificial victims called
vol. 3, p. 8)
Tlalocs . . . when they had slain them, they cut them to
As remarked earlier, many mythic episodes related to sacri-
pieces there and cooked them. They put squash blossoms
fice constitute an “overthrow” episode in which the younger,
with their flesh . . . then the noblemen ate them, all the
weaker or more vulnerable sibling or god overcomes the
high judges: but not the common folk—only the rulers.” (All
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HUMAN SACRIFICE: AZTEC RITES
4189
quotations in the preceding passage are from Sahagún, vol.
their tongues, thighs, calves, and there are written reports
2, pp. 179–193.)
that the most committed priests pierced their tongues and
penises, sometimes splitting them in two. All people—men,
Though important variations of ritual activity were car-
women, and children—were apparently expected to carry
ried out at these temples, schools, skull racks, and bath-
out ritual bloodletting and several Maya carvings depict royal
houses, the general pattern of debt payment/human sacrifice
women involved in highly important scenes of autosacrifice.
was as follows. Most Aztec ritual began with a preparatory
As Klein writes,
period of priestly fasting (nezahualiztli) that lasted four (or
a multiple of four) days. An important exception was the
These women are invariably wives or mothers of a male
yearlong fast by a group of priests and priestesses known as
ruler, who typically accompanies them in the image.
the teocuaque (god eaters) and the greatly feared in iachhuan
The most famous example is Lintel 24 from Yaxchilan.
Huitzilopochtli in mocexiuhzauhque (the elder brothers of
In his sixteenth-century Relacion de las cosas de Yucatan,
the Franciscan bishop Diego de Landa reports that
Huitzilopochtli who fasted for a year). This preparatory peri-
bloodspattered paper strips used in autosacrificial rites
od also involved nocturnal vigils (tozohualiztli) and offerings
by the Conquest-period Yucatec Maya were eventually
of flowers, food, cloth, rubber, paper, and poles with stream-
burned. The smoke from the burning bloodletters and
ers, as well as incensing (copaltemaliztli), the pouring of liba-
bloodied papers was thought to transmit nourishment
tions, and the embowering of temples, statues, and ritual par-
to the gods, since blood was perceived as an analogue
ticipants. Dramatic processions of elaborately costumed
of both fertilizing water and semen. (2001, p. 64)
participants moving to sacred songs played by musical en-
The most dramatic and valued sacrifices were the human sac-
sembles passed through the ceremonial precinct before arriv-
rifices of captured warriors and slaves. These victims were rit-
ing at the specific temple of sacrifice. The major ritual partic-
ually bathed, carefully costumed, taught to dance special
ipants were called in ixiptla in teteo (deity impersonators). All
dances, and some were fattened or slimmed down during the
important rituals involved a death sacrifice of either animals
preparation period. They were elaborately dressed to imper-
or human beings.
sonate the specific deities to whom they were sacrificed.
Autosacrifice and bloodletting. It is often overlooked
What must be emphasized—if one is to gain a deeper under-
that autosacrifice or the willful piercing and bleeding was the
standing of the indigenous practices, is that these rituals ut-
most common form of sacrificial action carried out by the
terly transformed the identity of the human beings to be sac-
Aztecs on their own bodies. A simple way to understand
rificed into teotl ixiptlas (living images of the gods) as they
the meaning of autosacrifice is to state that Mesoamerican
had lived in the mythic times before the establishment of the
peoples shed their own blood at the completion of major
daily life of the present age. This point has been made most
temporal cycles and periods. This reflects their understand-
clearly by Alfredo Lopez Austin who writes that these deity
ing that the continuation of life on the cosmic and local
impersonators or
scales depended on the ritual offerings of one’s own internal
teteo imixiptlahuan, . . . men possessed by the gods,
divine substance—namely blood. As Cecelia Klein writes in
who, as such, died in a rite of renewal. The idea of a
her superb summary of this ritual practice “Maya rulers let
calendric cycle, or a periodic returning, in which the
their blood during what we now call ‘period endings,’ which
power of a god was born, grew, decreased, and conclud-
could mark the successful completion of a katun (twenty-
ed made it necessary in a rite linking the time of man
year period), baktun (four-hundred-year period), or even
to mythical time that a god would die so his force might
longer time cycle. On those occasions, autosacrifice was in-
be reborn with new power. It was not men who died,
tended to encourage the safe transition between the old cycle
but gods—gods within a corporeal covering that made
and the new, and thus the continuation of life” (Klein, 2001,
their possible ritual death on earth. If the gods did not
pp. 64–66).
die, their force would diminish in a progressively aging
process. Men destined for sacrifice were temporarily
Klein shows that as early as the ninth century BCE, Me-
converted into receptacles of divine fire, they were treat-
soamerican peoples were using stingray spines and other
ed as gods, and they were made to live as the deity lived
sharp instruments to ritually bloodlet themselves. This prac-
in legend. Their existence in the role of ixiptlatin, or
tice, as shown in the archaeological (obsidian, flint blades,
“images” could last from a few days up to four years.
(Lopez Austin, 1988, p. 377)
animal bones—sometimes found in the foundation of build-
ings), iconographic (lintels, pictorial manuscripts sometimes
Various sacrificial techniques. The different primary
showing the ritual instruments as elaborately decorated) and
sources reveal a wide range of sacrificial techniques, includ-
documentary (sixteenth-century accounts) evidence was car-
ing decapitation (usually for women), shooting with darts or
ried out throughout Mesoamerican history. These practices
arrows, drowning, burning, hurling from heights, strangula-
were carried out by elites and commoners alike with the for-
tion, entombment and starvation, and gladiatorial combat.
mer sometimes using sharpened jaguar bones and the latter
Usually, the ceremony peaked when splendidly attired cap-
using stingray spines. The Aztecs had elaborate rules deter-
tors and captives sang and danced in procession to the tem-
mining when and what parts of the body were to be bled.
ple, where they were escorted (sometimes unwillingly) up the
In colonial manuscripts it describes Aztec priests piercing
stairways to the sacrificial stone. The victim was quickly
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4190
HUMAN SACRIFICE: AZTEC RITES
thrust on the sacrificial stone (techcatl), and the temple priest
new fire was started, marking the regeneration of the cosmos.
cut through the chest wall with the ritual flint knife (tech-
The fire was then taken to the Templo Mayor and thence
patl). The priest grasped the still-beating heart, called “pre-
to all the cities and towns in the empire.
cious eagle cactus fruit,” tore it from the chest, offered it to
A remarkable festival, celebrated on the first day of the
the Sun for vitality and nourishment, and placed it in a
month of Atlcuaualo, involved the paying of debts to Tlaloc,
carved circular vessel called the cuauhxicalli (eagle vessel). In
the rain god. On this day, children (called “human paper
some cases, the body, now called “eagle man,” was rolled
streamers”) with two cowlicks in their hair and favorable day
down the temple steps to the bottom, where it was dismem-
signs were dressed in costumes—some set with pearls—of
bered. The head was cut off and the brains taken out. In
dark green, black-striped with chili red, and light blue were
some ceremonies the victim was beheaded and the head was
sacrificed in seven different locations. The flowing and fall-
placed on the tzompantli, a skull rack consisting of long poles
ing of tears of the children insured the coming of rain. It
laid horizontally and loaded with skulls. In many cases, the
should be noted that some sources indicate the difficulty that
captor was decorated (for instance with chalk and bird down)
priests had in carrying out these particular “debt payments.”
and given gifts. Then, in some cases, together with his rela-
The meaning of the rain-blood exchange in this ritual has
tives, he consumed a ritual meal consisting of a bowl of stew
been interpreted by the historian of religions Phil Arnold as
of dried maize called tlacatlaolli.
follows. These child sacrifices physically constituted
Although this pattern of ritual preparation, ascent, and
the central theme of correspondence between human
descent of the temple, as well as heart sacrifice of enemy war-
life and the landscape; blood and water. The former is
riors, dismemberment, and the offering to the gods in order
a bodily water and the basis of human life, the latter is
to nurture them was typical, it is also important to emphasize
an earthly or heavenly blood and logically the basis of
the diversity of sacrificial festivals, which involved variations
Tlalocan or the landscape’s life. The reciprocal nature
and combinations of these elements. For instance, during the
of life and death was a central element in most of Aztec
feast of Tlacaxipeualiztli (the feast of the flaying of men), a
religious life. The ritual acquisition of water required
prisoner of war “who came here from lands about us” was
paying a high price in children’s blood, which offset the
taken by a priest called the “bear man” and tied to a huge,
costs of the sacrifice given by Tlaloc. The exchange was
round sacrificial stone, called the temalacatl, that was placed
a liquid one. (Arnold, 1999, p. 227)
flat on the ground. The captive was provided with a pine
CONCLUSION. In recent years a controversy has broken out
club and a feathered staff to protect himself against the at-
in academic and popular literature as to whether there is any
tacks of four warriors armed with clubs of wood and obsidian
reliable evidence that the Aztecs and other Mesoamerican
blades. When he was defeated he was taken off the stone, his
peoples actually carried out human sacrifice. It has been ar-
heart was taken out, and he was flayed. His skin was then
gued in polemical tones that all the evidence is the result of
prepared to be worn by relatives of the captor and then pa-
either distorted archaeology or terribly biased Spanish
raded around the city going from house to house asking for
sources. One motive for these denials is to protect contempo-
gifts.
rary indigenous peoples from being labeled as descending
Another distinctive festival, called Toxcatl, was dedicat-
from uncivilized even monstrous cultures. For years, the
ed to the protean god Tezcatlipoca. Elaborate efforts were
word Aztec has been equated—like no other world culture—
made to find the perfect deity-impersonator for this festival.
with the worst and most violent forms of human violence.
The captive warrior had to have a flawless body and musical
In books, films, and art, the Aztecs are degraded in ways that
and rhetorical skills. For a full year prior to his sacrifice, he
sometimes makes a fulsome understanding and appreciation
lived a privileged existence in the capital. He had eight ser-
of their culture impossible. The solution is not to deny what
vants to ensure that he was splendidly arrayed and bejeweled.
is so clearly in the record pre-conquest and post conquest—
Four wives were given to him during the last twenty days of
namely that ritual violence against humans was one of the
his life. Just before the end of the sacrificial festival, he ar-
many ways the Aztecs and their precursors carried out their
rived at a small temple called Tlacochalco. “He ascended by
religious commitments, military expansions, and political
himself, he went up of his own free will, to where he was to
dominations. The more useful approach is to study the Az-
die. As he was taken up a step, as he passed one step, there
tecs in the full range of their expressions in daily life and po-
he broke, he shattered his flute, his whistle.” He was then
litical glory—including their extraordinary linguistic
swiftly sacrificed (see Sahagún, vol. 2, p. 71).
achievements, their astonishing aesthetic expressions, their
architectural and political practices, and their bellicose tradi-
Still another remarkable ceremony was the New Fire
tions of imagining and treating the human body as a recepta-
Ceremony, also called the Binding of the Years, held only
cle of divine fire that needed to be magically transformed
once every fifty-two years on the summit of the Hill of the
into a divinity, cultivated in spirit, and cut open so the plants
Star outside Tenochtitlan. At midnight, when the star cluster
and political forces of the world could be rejuvenated. This
called Tianquiztli (marketplace; the Pleiades) passed through
duality with its apparent contradictions is what makes the
the zenith, marking the end of the fifty-two-year calendrical
study of the Aztecs and all Mesoamerican peoples so interest-
cycle, a captive warrior was sacrificed. In his chest cavity a
ing, challenging, and necessary. It also demonstrates in dis-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUME, DAVID
4191
comforting ways that their contradictions—however distant
Gordon F. Ekholm and Ignacio Bernal, pp. 395–446. Aus-
from modern practices—are similar to people in modern
tin, Tex., 1971. This classic introduction to Mesoamerican
times.
religion provides a cogent description of the salient features
of Aztec ritual and human sacrifice. Key Nahuatl phrases are
With all this cosmology, social history, and ritual prac-
incorporated into the text.
tice in mind, it can be seen that Bernal Díaz del Castillo wit-
Sahagún, Bernardino de. Historia de las cosas de la Nueva España
nessed more than a massacre. He glimpsed and was later able
(compiled 1569–1582; first published 1820). Translated as
to record with some accuracy fragments of an elaborate ritual
Florentine Codex: General History of the Things of New Spain,
tradition struggling to maintain the dominance of the Aztec
13 vols., by Arthur J. O. Anderson and Charles E. Dibble.
city and its temple against threats from enemy warriors, who,
(Santa Fe, 1950–1982). Vivid descriptions of temples, ritu-
like the siblings of Huitzilopochtli (and like the Spaniards),
als, paraphernalia, and mythology can be found in several of
had come from the edge of the world to conquer and kill.
this work’s volumes, especially volumes 2 and 3.
SEE ALSO Aztec Religion.
DAVÍD CARRASCO (1987 AND 2005)
BIBLIOGRAPHY
Brundage, Burr C. The Fifth Sun: Aztec Gods, Aztec World. Austin,
HUME, DAVID (1711–1776), was a Scottish philoso-
Tex., 1979. The last chapter, “The Nuclear Cult: War, Sacri-
pher and historian. Hume was born in Edinburgh on April
fice and Cannibalism,” shows a broad understanding of the
26, 1711, to Joseph and Katherine Home. Most of his child-
religious elements of Aztec human sacrifice.
hood was spent on the family estate at Ninewells, in Berwick-
Carrasco, Davíd. City of Sacrifice: The Aztec Empire and the Role
shire, forty miles south of Edinburgh near the border of En-
of Violence in Civilization. Boston, 2000. An interpretation
gland. At age eleven Hume entered the University of
of the religious meaning of sacrifice in the Aztec world.
Edinburgh, and upon leaving the university three years later,
Duverger, Cristian. La Flor Letal: Economia del sacrificio humano.
began to prepare for a career in law. Hume’s interest in law
Mexico City, 1983. A useful interpretation of the economy
was soon eclipsed by his passion for literature, history, and
of human sacrifice.
philosophy; over the following decade most of his time was
Gonzalez Torres, Yolotl. “Sacrifice and Ritual Violence.” In Ox-
spent studying what he called “polite authors” such as
ford Encyclopedia of Mesoamerican Cultures, edited by Davíd
Shaftesbury, Butler, Locke, and Cicero. In 1734, at age
Carrasco, pp. 102–104. Oxford, 2001. A good overview of
twenty-three, Hume left Scotland to take a position as clerk
sacrificial myth and ritual violence, especially in central Me-
with a Bristol merchant. It was here that he changed the
soamerica.
spelling of his surname from Home to Hume, because in
Hassig,Ross. “Warfare.” In Oxford Encyclopedia of Mesoamerican
Scotland Home is pronounced as Hume is in England; Hume
Cultures, edited by Davíd Carrasco, pp. 317–321. Oxford,
preferred that his name be pronounced correctly, even if it
2001. A concise discussion of the warfare practices among
the Mexicas and other Mesoamerican peoples.
meant changing the spelling. After four months in Bristol,
Hume left for the south of France, determined to pursue a
Ingham, John M. “Human Sacrifice at Tenochtitlan.” Compara-
life of letters.
tive Studies in Society and History 26 (1984): 379–400. In-
gham’s article relates the cosmology of the Aztec to the prac-
In 1737 Hume returned from France with the two vol-
tice of human sacrifice in a novel and important way.
umes of A Treatise of Human Nature in manuscript form.
Isaac, Barry L. “The Aztec ‘Flowery War’: A Geopolitical Explana-
Being sure that the work would bring him instant fame and
tion.” Journal of Anthropological Research 39 (1983): 415–
fortune, he was eager to publish without delay. In his own
432. Isaac’s scrutiny of primary sources challenges our un-
words, however, the Treatise “fell dead-born from the press.”
derstanding that the Flowery Wars were fought for the pri-
This is not to say that it was not widely read both in Britain
mary purpose of obtaining sacrificial victims for the temples.
and on the continent. Hume undoubtedly meant that the
A geopolitical model is presented that provides insight into
ideas put forth in the Treatise fell dead-born on the minds
the escalation of human sacrifice.
of those who read it. Reviews of the Treatise were universally
Klein, Cecelia. “Autosacrifice and Bloodletting.” In Oxford Ency-
negative.
clopedia of Mesoamerican Cultures, edited by Davíd Carrasco,
vol. 1, pp. 64–66. Oxford, 2001. The best summary of auto-
Hume’s disappointment was profound. During the six-
sacrificial practices accompanied by a useful bibliography.
year period from 1739 to 1745 he lived in virtual seclusion
Lopez Austin, Alfredo. Human Body and Ideology: Concepts Among
at Ninewells, writing the third volume of the Treatise (pub-
the Ancient Nahuas. Salt Lake City, 1988. The classic study
lished in 1740) and experimenting with the essay form as a
of cosmology and the human body.
medium of expression. Hume’s first efforts as an essayist re-
Najera C., Martha Ilia. El don de la sangre en el equilibrio cosmico:
sulted in a two-volume work published in 1742 under the
El sacrificio y el autosacrificio sangriento entre los mayas. Mexi-
title Essays Moral and Political. This was Hume’s first success-
co City, 1987. A good overview of the sacrificial practices
ful publication. Only a small selection of the twenty-seven
among the Maya.
essays therein contained can be counted as serious philosoph-
Nicholson, H. B. “Religion in Pre-Hispanic Central Mexico.” In
ical pieces, and these were not the ones that accounted for
Handbook of Middle American Indians, vol. 10, edited by
the popularity of the collection as a whole.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4192
HUME, DAVID
Short of money, in 1745 Hume took a position as tutor
clusions of the text. At the same time, Hume was busy at
to the marquis of Annandale, and in the same year applied
Ninewells preparing a corrected edition of the first two vol-
for the chair of Ethics and Pneumatical Philosophy at the
umes, which he hoped would remove the misunderstandings
University of Edinburgh. Hume judged that a regular aca-
that his first efforts had generated. But the corrected edition
demic appointment would provide both the income and lei-
never appeared. The only changes made during this period
sure necessary to pursue a full-time life of study. However,
that survived in printed form were included in an appendix
his application was opposed by the principal of the universi-
to the Treatise published together with the third volume in
ty, who accused him of atheism, heresy, and skepticism. His
1741. Neither the publication of the Abstract nor the materi-
failure to secure this appointment was the second great disap-
als appended to the Treatise had the desired effect. It was not
pointment of his life.
until Hume cast the basic theses of the Treatise into essay
Hume’s next two years were spent traveling in France
form and released them in the Enquiries that the ideas first
as secretary to James St. Claire, a general in the British army.
delivered in the Treatise received the sort of attention Hume
The army was of interest to Hume for financial reasons only:
thought they deserved. In later years, Hume in effect aban-
He stayed just long enough to accumulate the money needed
doned the Treatise in favor of his Enquiries. In the “Author’s
for another retreat to his study. Between 1747 and 1751 he
Advertisement” printed in volume 2 of the 1777 edition of
composed and published his two great treatises: An Enquiry
Hume’s works, Hume described the Treatise as a “juvenile
concerning Human Understanding (originally titled Philosoph-
work,” stating that he had made an “error in going to press
ical Essays concerning Human Understanding), and An Enqui-
too early,” and announcing that the Enquiries rather than the
ry concerning the Principles of Morals. These were the first of
Treatise should be taken as expressing his considered views
Hume’s serious philosophical works to achieve acclaim.
on the topics therein discussed. Still, succeeding generations
of scholars have, as it were, rediscovered the Treatise. Most
In 1752 Hume secured an appointment as librarian to
students of the history of philosophy now regard it as
the Faculty of Advocates in Edinburgh. This was the first
Hume’s foremost contribution to philosophical literature.
time Hume had had steady access to a major library. He took
the opportunity to pursue a project of long-standing inter-
Regarding the impact of the philosophical views first ex-
est—the detailed study of English history. Between 1754 and
pressed in the Treatise and restated in the enquiries, two
1761 Hume published, in installments, his masterful six-
comments are in order. First, book 1 (“Of the Understand-
volume History of England. Regarded as a classic in Hume’s
ing”) and its companion, An Enquiry concerning Human Un-
own time, this text remained the standard in its field until
derstanding, are generally thought to contain definitive state-
the end of the nineteenth century.
ments of the epistemological theses associated with classical
British empiricism and generative of the empiricist trends in
In 1763 Hume became secretary to the British embassy
Western philosophy during the nineteenth and twentieth
in Paris, spending the next three years writing and conversing
centuries. In the introduction to the Critique of Pure Reason,
with the luminaries of the Parisian intellectual set. By this
Kant acknowledges Hume as the one who inspired his own
time he was generally regarded as Britain’s foremost man of
probing into the foundations of human knowledge. The em-
letters. Hume returned to England in 1766 as under secre-
piricist elements in the philosophies of Mill, Russell, Carnap,
tary of state, but he resigned from the diplomatic service
and Wittgenstein are in no small measure traceable to the di-
three years later, retiring to Ninewells. In 1775 Hume was
rect or indirect influence of Hume.
stricken with an internal disorder that claimed his life on Au-
gust 25, 1776.
Second, it should also be noted that, in book 3 of the
Treatise and in An Enquiry concerning the Principles of Morals,
David Hume was a man of gentle bearing—humane,
Hume sets the stage for much of what follows in nineteenth-
tolerant, charitable, and generous in his opinions of others.
and twentieth-century moral philosophy. Here Hume works
In his autobiographical essay “My Own Life,” Hume charac-
out a hedonistic, rule-based, and utilitarian theory of ethics
terized himself as being of “cheerful nature.” From all re-
very much like the one suggested more than a hundred years
ports, his wit was sparkling; he was a favorite both in the po-
later by John Stuart Mill in chapter 5 of Utilitarianism. This
lite salons of Paris and the rude pubs of Edinburgh. To his
theory has served as one of the major foci of moral-
French intimates he was known as “le bon David,” while his
theoretical reflection in twentieth-century philosophical lit-
many friends in Scotland referred to him as “Saint David.”
erature. It might be added that at least some commentators
Although Hume never married, he was not unpopular with
(e.g., A. J. Ayer, 1980) claim to find in Hume’s ethical writ-
the ladies; his charm and good humor more than compensat-
ings rudiments of the so-called emotive analysis of ethical
ed for his obese physical appearance.
language—a theory not brought to maturity until the mid-
Directly following its poor reception in 1739, Hume
twentieth century, but very influential in British-American
made two attempts to stimulate interest in A Treatise of
moral philosophy since that time. Whether or not this last
Human Nature. In 1740 he published an essay titled “An Ab-
claim can be sustained, it is clear that Hume stands as a major
stract of a Treatise on Human Nature,” which identified the
figure in the history of ethics. Putting it all together, it is hard
nub of the work’s method and summarized some of the con-
to imagine how the last two hundred years of Western phi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUME, DAVID
4193
losophy would have gone, had the ideas expressed in the
Dialogues concerning Natural Religion is focused on a
Treatise really fallen dead-born from the press.
very special version of the argument from design used by a
number of eighteenth-century devotees of Isaac Newton’s
The corpus of Hume’s writings includes seven texts that
theological writings. In the course of the discussion, Hume
specifically treat religious topics. In order of their appearance
not only delivers what many believe to be the definitive refu-
in published form, they are: (1) “Of Superstition and Enthu-
tation of the argument from design (even anticipating the
siasm,” published in 1742 as one of the Essays Moral and Po-
nineteenth-century Darwinian account of adaptation in na-
litical; (2) “Of Miracles” and (3) “Of a Particular Providence
ture), but he also presents a series of sharply penetrating criti-
and of a Future State,” which appeared in 1748 as parts 10
cal studies on a wide variety of other important theological
and 11 respectively of An Enquiry concerning Human Under-
topics such as divine attribution, the cosmological argument
standing; (4) “The Natural History of Religion,” one of Four
for the existence of God, and, especially, the problem of evil.
Dissertations published in 1757; (5) “Of Suicide” and (6)
It should be added that, apart from its stunning philosophi-
“On the Immortality of the Soul,” brought out together in
cal merits, Hume’s Dialogues can also be credited with what
1777 under the title Two Essays; and (7) the Dialogues con-
is perhaps the most beautifully executed employment of the
cerning Natural Religion, which occupied Hume’s attention
dialogue form in Western philosophical literature.
periodically during the last twenty-five years of his life and
was finally published in 1779.
BIBLIOGRAPHY
All these texts are critical of religion—of religious insti-
Works by Hume
tutions, religious practices, theological doctrines, and/or
Dialogues concerning Natural Religion. In Essential Works, edited
by Ralph Cohn; a reprint of the original 1779 edition. There
theological arguments. Correlatively, all were greeted in or-
are modern editions by Norman Kemp Smith (Oxford,
thodox circles with suspicion and, in some cases, with hostili-
1935), Henry Aiken (New York, 1948), and myself (India-
ty. Most were in one way or another suppressed either by
napolis, 1970).
Hume or by his publishers for fear of reprimand from the
History of Great Britain from the Invasion of Julius Caesar to the
religious community. Thus, “Of Miracles,” written prior to
Revolution in 1688. 6 vols. The most recent edition is by R.
1739 and originally intended for inclusion in the Treatise,
Worthington (New York, 1880).
was deleted from the text prior to publication, because
Hume on Religion. Edited by Richard Wollheim. New York, 1963.
Hume judged that it might be found scandalous and thus
This text includes all seven of Hume’s works on religion and
detract from the reception of his work. Similarly, “Of Sui-
the autobiographical essay “My Own Life.”
cide,” “Of the Immortality of the Soul,” and an early version
Hume’s Enquiries (1894). Edited by L. A. Selby-Bigge. 3d ed. Ox-
of Dialogues concerning Natural Religion were all scheduled
ford, 1975. Contains both An Enquiry concerning Human
for publication in 1756, but they were suppressed by Hume’s
Understanding and An Enquiry concerning the Principles of
publisher for prudential reasons. All three were published
Morals. There is also a modern edition of the Enquiry con-
only after Hume’s death and even then without the author’s
cerning Human Understanding with Hume’s autobiographi-
or publisher’s name attached. It should be recalled that in
cal essay, “My Own Life,” and a letter from Adam Smith
1745 Hume’s appointment at the University of Edinburgh
concerning Hume’s death (La Salle, Ill., 1956).
had been opposed because his writings were judged wanting
Hume’s Philosophical Works. 4 vols. Edited by Thomas H. Green
on religious grounds. Eighteenth-century Britain could be
and Thomas S. Grose. London, 1874–1875. Contains all of
hard on religious dissenters; neither Hume nor his publishers
Hume’s philosophical works except the “Abstract.”
sought to cause offense.
A Treatise of Human Nature. Edited by L. A. Selby-Bigge. Oxford,
1888. Book 1, “Of the Understanding,” has been published
Although Hume is best known for his views in episte-
more recently in a volume that includes the appendix to the
mology and moral philosophy, the essay “Of Miracles” and
Treatise and the “Abstract,” edited by D. G. C. MacNabb
the Dialogues concerning Natural Religion are generally re-
(London, 1962).
garded by contemporary philosophers as classics in the phi-
Works about Hume
losophy of religion. “Of Miracles” is centered on the ques-
Ernest C. Mossner’s The Life of David Hume (New York, 1954)
tion of whether evidence supporting the claim that a given
is the best available biography. It is a rich and abundant ac-
miracle occurred could ever be strong enough to warrant be-
count. Norman Kemp Smith’s The Philosophy of David
lief, given the facts that (1) a miracle is by definition an event
Hume (London, 1941) is a well-worked-out analysis of
whose occurrence violates natural law, and (2) the evidence
Hume’s ethical and epistemological theories. Barry Stroud’s
supporting the claim is derived entirely from human testimo-
Hume, a thoughtful and patient work with a useful bibliogra-
ny. Hume’s negative verdict is based on a general historio-
phy, covers much the same ground (London, 1977). See also
A. J. Ayer’s Hume (New York, 1980). The various editions
graphical principle that is applicable not only in the study
of Hume’s Dialogues by Kemp Smith, Aiken, and myself all
of religion, but in any area of inquiry that relies on human
contain commentaries on the text. Kemp Smith’s is thought
testimony as a major source of evidence: namely, that the
by some to be definitive. My own is more detailed (110
credibility of any given piece of testimony is in part a func-
pages) and also contains a bibliography. See also Richard
tion of the plausibility of what is affirmed within it.
Wollheim’s introduction to Hume on Religion. Wollheim
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4194
HUMOR AND RELIGION: AN OVERVIEW
comments briefly but broadly on Hume’s writings on reli-
order, meaning, or redemption, religion frequently has been
gious topics.
characterized as preoccupied with congruity, with bringing
human hopes, expectations, actions, and longings into agree-
NELSON PIKE (1987)
ment with an ideal that may be described either as conformi-
ty with some form of cosmic order or as liberation from some
form of oppressive order. Such characterizations of religion
HUMOR AND RELIGION
are of value as long as religion is not viewed solely in terms
This entry consists of the following articles:
of a concern with congruity. A preoccupation with congruity
AN OVERVIEW
must inevitably result in—perhaps even inevitably gener-
HUMOR AND RELIGION IN EAST ASIAN CONTEXTS
ate—an encounter with a range of incongruities including
HUMOR AND ISLAM
HUMOR, IRONY, AND THE COMIC IN WESTERN
those of both a tragic and humorous sort.
THEOLOGY AND PHILOSOPHY
Religion then may be conceived as a complex interplay
of congruity and incongruity that inevitably entails humor.
HUMOR AND RELIGION: AN OVERVIEW
Humor here is understood in the most inclusive sense as em-
The topic of humor and religion poses a puzzle. As witnessed
bracing phenomena such as wit, satire, and comedy from
by notions such as Homo ridens and Homo religiosus, both
which it is sometimes distinguished. Whatever form it may
humor and religion have been regarded as defining the
take, humor may be said to involve a perception of incongru-
human condition. Somewhat differently, both have often
ity generated by the intrusion of an unexpected event, logic,
been held to be universals found throughout history and
or perception that calls into question, at least temporarily,
across cultures. Even if one questions their use to define the
some standard expectation, belief, or orientation.
human condition or their status as universals, one must
Humor and religion share something else in common.
admit that both humor and religion do seem to be found al-
Although the value of both has been questioned by many
most everywhere. The relation of religion and humor, how-
throughout history, there is still a widespread assumption at
ever, has not formed a central topic for reflection in the study
present that religion and, perhaps especially, humor are in-
of religion. Although a number of well-known instances of
herently good, healthy, and liberating. Both seem best ap-
the conjunction of the two—such as that of tricksters or the
proached, however, as morally neutral terms. Humor and re-
Christian festival Carnival—have drawn considerable atten-
ligion may serve at times to free people from imposed
tion and theoretical reflection, both classic and more current
conceptual constraints, overcome a sense of self-importance,
theorists of religion rarely give the topic extended, if any,
and establish community, yet both may also function to den-
treatment. In addition, no prominent general studies of the
igrate others, enforce social hierarchies, and underscore the
topic exist. Introductory textbooks for the study of religion
differences between communities.
and encyclopedias of religion have also given the topic rather
HUMOR IN MYTH, SACRED TEXTS, AND LITERATURE. Al-
scant attention.
though there are no comprehensive comparative studies,
The puzzle might be stated thus: humor and religion
humor has played important roles in the central myths and
seem to be ubiquitous, yet their relation is rarely treated.
sacred texts of many religious traditions. It has even been ar-
Two possible explanations present themselves. The first is
gued that a fundamental characteristic of mythic narratives
that religion and humor represent two different modes of
is their humorous nature. In this view, myths in a variety of
awareness, experience, or cognition that exist only occasion-
ways present humorous incongruities that serve to challenge
ally in any significant relation to one another. This view can
the confines of normal, everyday patterns of thought (Bolle,
be seen, for instance, in the still rather commonly held idea
1968, pp. 35–72). Although only a few preliminary observa-
that religion deals with serious matters and humor with the
tions can be offered here, a comparison of the roles of humor
nonserious. A second explanation is that the relation of reli-
in myths, tales, and sacred texts would seem to be a promis-
gion and humor is of more importance than has generally
ing project: Are mythic narratives inherently humorous?
been recognized and deserves fuller exploration and reflec-
What sort of sense of humor, if any, do the gods possess?
tion. This overview will attempt, through offering a provi-
What roles are accorded humor in the interaction of gods
sional map of some of the ways humor and religion are relat-
and people? What roles does humor play in bringing into
ed, to suggest that the second explanation is closer to the
being, maintaining, or disrupting cosmic order?
truth.
Humor has figured significantly in the mythologies, sto-
Humor and religion clearly share one thing in common.
ries, and folklore of what have been variously termed savage,
Discussions of the two terms frequently claim at some point
primitive, nonliterate, primal, indigenous, tribal, or tradi-
that definition of the concepts is almost impossible. Rather
tional religions. Most attention here has been focused on fig-
than attempt formal definitions here, a characterization of
ures known as tricksters, a term that seems first to have been
the relation of religion and humor in terms of the interplay
applied to the often humorous, disruptive, seemingly amoral,
of congruity and incongruity will be offered as a means of
and yet at times creative figures appearing in Native Ameri-
orienting the discussion. Whether cast in terms of salvation,
can myth and folklore. The term has been extended to
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HUMOR AND RELIGION: AN OVERVIEW
4195
mythological figures in Africa, South America, Southeast
of Greek myth, whom Christians came to regard as immoral,
Asia, and well beyond. Trickster or tricksterlike figures have
are a case in point. While not infrequently laughing at and
even been taken as a fundamental characteristic of traditional
mocking humans, the gods also acted much like humans:
religions (Smith, 1995, pp. 1093–1094).
they played tricks on one another, made foolish mistakes,
Tricksters usually are presented as having inhabited the
committed adultery, and laughed at and made fun of one an-
world in mythic times when the world was moving toward
other. Being sexual beings themselves, at least some of the
its present form and a range of supernatural beings was active
Greek gods also had an appreciation for the humorous di-
and present, though some figures identified as tricksters are
mensions of sexuality. As seen in the myth of Demeter, get-
active and present in this age. Tricksters often exhibit a com-
ting the gods to laugh was one way of restoring the world
bination of divine, human, and animal characteristics, and
to order and fertility. Dionysos was a god of laughter linked
their actions contribute to shaping the world and human
with sexual excess and inebriation. In short it is difficult to
condition. They are also frequently preoccupied with their
conceive of the Greek gods and their relations to humans
bodies, sexuality, bodily orifices and excretions, and bounda-
without taking into account humor.
ries and limits of all kinds. Tricksters’ excesses and experi-
There is probably no corpus of myth richer in humor
mentation with the body often lead to comic situations. As
than that of India. Though India has produced as refined,
their name suggests, they often play tricks, with their tricks
abstract, and sublime conceptions of the divine as anywhere,
sometimes backfiring and rendering themselves rather than
Indian deities, despite all the powers they may possess, share
their victims the objects of humor. Among the many func-
with humans most if not all of the elements necessary to gen-
tions and meanings attributed to tricksters is mocking and
erate a wide variety of humor: folly, ambition, excessive sexu-
calling into question both human and divine solemnity.
al appetite, curiosity, conflicting desires, a delight in trickery,
The usefulness of the category of the trickster has been
and so forth. Humor is linked also to an important theme
questioned, and the term has no doubt often been overex-
running throughout Vedic, epic, and Puranic myths: “the ex-
tended, including applications to the Marx Brothers, Jesus,
cess of anything, bad or good—such as the virtue of an ascet-
the Japanese media, and Thomas Merton (1915–1968). For
ic—poses a threat to the balance of a closed universe”
the purposes of this essay, however, scholarship on the trick-
(O’Flaherty, 1973, p. 282). Mythic exploration of the conse-
ster clearly establishes a valuable point. Whether narratives
quences of excess frequently leads to comic situations,
of tricksters or tricksterlike figures form a part of central
humor, and laughter. When confronted with S´iva’s aim to
myths or whether they exist as separate narratives comment-
overcome attachment to sexuality through ascetic practices,
ing on other myths, they clearly demonstrate that humor in
Ka¯ma, the god of sexuality, commented: “If a man who is
a variety of forms has played a central role in the myths of
wise and intent upon release tries to slay me, I dance before
many traditional religious communities. In other words,
him as he devotes himself to attaining the bliss of libera-
even if the trickster does not represent a coherent category
tion—and I laugh at him” (Maha¯bha¯rata 14.13.16–17).
or concept, the variety of figures gathered under the term at
Given Indian deities’ explorations of the consequences of ex-
least testify to the importance, if not centrality, of humor in
cess and the delight of at least some gods in trickery, a num-
traditional religions.
ber of divine or semidivine figures in Indian myth such as
The history of the study of tricksters is also of signifi-
Indra, Vis:n:u, Kr:s:n:a, and the sage Na¯rada have sometimes
cance for reflecting on the relation of humor and religion.
been identified as tricksters or tricksterlike figures. It has also
In the nineteenth and early twentieth centuries when mis-
been suggested that the Indian view of this world as ma¯ya¯
sionaries and anthropologists were encountering religious
(illusion) in contrast to another level of ultimate reality sets
communities with myths, tales, and rituals containing
up a potentially comic or humorous situation: suddenly seen
humor linked with sexuality, scatology, and other “scandal-
from the perspective of a higher truth, the events of this
ous” elements, such myths, tales, and rituals were linked with
world can take on the quality of a joke.
savagery, primitiveness, and childishness. At work here of
Given the influence they have had on the Western study
course were normative assumptions about the nature of
and conceptualization of religion, the sacred texts of the
proper religion, derived largely from Christianity as well as
Abrahamic traditions deserve special attention. The holy
from the Enlightenment’s preoccupation with rationality.
books of Judaism, Christianity, and Islam have frequently
The ensuing century or so, however, has seen some change;
been characterized as being devoid of humor, particularly
tricksters and the sensibilities they embody are as like as not
when satire and ridicule are excluded from the category of
to be viewed as positive, as possessing something modernity
humor. This in itself, of course, is evidence of an important,
and Christian traditions have regrettably lost. The reapprais-
if negative, relation between humor and religion and has
al in the last hundred years of what were deemed “primitive”
done much to shape Western conceptions of the relation of
traditions has at least partially hinged, in other words, on a
humor and religion by suggesting that sacred matters and
reappraisal of the humor to be found in such traditions.
texts are or should be marked by an absence of humor. There
Humor has played important roles as well in the myths
has been a growing effort in recent years, however, to recover
of religions beyond those once deemed primitive. The gods
the humorous dimensions of these sacred texts.
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HUMOR AND RELIGION: AN OVERVIEW
Though conceived in various ways, the god of the
Considerable humor has also been found in the com-
Abrahamic traditions stands apart from the gods of many
mentary on sacred texts found in the Talmud and in the
other Middle Eastern religions in not having, with some no-
Midrash. Included here are witty disputations, farcical ani-
table exceptions, what might be termed an active sexual life
mal fables, humorous stories about sinners as well as pious
and in rejecting many of the sexual aspects of fertility rituals
fools and rabbis, portrayals of God as being a bit of a trick-
that were elsewhere a source of humor and laughter. Humor
ster, and some joking at the expense of Jesus and Christians.
seems, for instance, to have been an issue in the confronta-
The flavor of some of this humor is suggested by an encoun-
tion between the cult of Baal and the cult of Yahweh. In the
ter between Moses and God: “When Moses went up to God
cult of Baal (as in many traditional religions throughout the
he found God weaving crowns for the letters of the Law. God
world), laughter was associated with rituals of renewal and
said to him: Do men give no greetings in your city? Moses
fertility that included sexual symbolism and practices; joy,
said: Does a slave greet his master? God replied: You ought
sexuality, laughter, and fertility were often linked. The
to have wished me success. Then Moses said: May the power
prophets of Israel opposed and ridiculed such practices as
of the Lord be great, according as Thou hast spoken” (Jóns-
well as the gods associated with them.
son, 1985, p. 54). There is also, of course, a rich literature
of satire, parody, humorous tales, and jokes to be found
Perhaps the most prominent mode of humor found in
throughout Jewish traditions which forms an additional
the Hebrew scriptures is the humor of mockery and derision.
“commentary” on sacred texts. In many traditions the under-
In Psalms 1 and 2, which are often held to serve as guides
standing of more “serious” sacred texts has often been condi-
for reading the entire book of Psalms, mockery plays a central
tioned and qualified by humorous commentary on or alter-
role. In Psalm 1 the righteous and those who scoff at their
native versions of sacred texts.
implausible beliefs are contrasted. In Psalm 2 the Lord “sits
Though there is a long tradition denying that Jesus ever
in the heavens and laughs” at those who oppose him. A num-
laughed (and thus also perhaps that he lacked a sense of
ber of the Psalms return to these themes, with the righteous
humor), growing attention has been given to the question
being laughed at by the unrighteous and vice versa. The Lord
of humor in the New Testament. There has been consider-
is portrayed as a god who laughs at the unrighteous, knowing
able debate about whether the sayings, repartee, and parables
that they will come to ruin and eventually understand that
of Jesus can be regarded as humorous. Some have pointed,
what they took as implausible or incongruous is not so.
for instance, to passages such as Matthew 19:24—“It is easier
In addition to the aggressive humor of satire and ridi-
for a camel to go through the eye of a needle than for a rich
cule, the Hebrew scriptures are marked by other types of
man to enter into the kingdom of God”—as evidence of
humor. The most noted episode involving humor and laugh-
Jesus’ use of humorous incongruity in teaching. Even if the
ter is found in Genesis 17 and 18 where God reveals to Abra-
debate about Jesus’ humor is unresolved, it is obviously of
ham and then Sarah that they shall have a child. The initial
crucial importance in that it involves fundamental issues
response of both Abraham and Sarah is to laugh at the im-
concerning the image of Jesus as well as the meaning of his
plausibility of the aged Sarah bearing a child. God upbraids
pronouncements and the ways they were understood. De-
Sarah for laughing at his pronouncement. In addition, God
spite the immense progress which has been made in the study
stipulates that the child shall be named Isaac, which means
of the canonical Gospels, scholars are still uncertain as to
“laughter” or “he laughs,” and Sarah exclaims that God has
whether Jesus was joking or serious and, if joking, uncertain
given her reason to laugh. Although the story has been inter-
as to how to understand his humor. One of the fundamental
preted in various ways, it is difficult to deny that humor
ways in which Jesus remains an enigma, in other words, con-
based on a perception of incongruity is at the heart of this
cerns his relation with humor.
story of the interaction of God, Abraham, and Sarah. A cru-
In the New Testament humor also functions to define
cial moment in the Abrahamic tradition is thus marked, in
the boundary between and relation of the righteous and non-
more than one way, by laughter and reflection on the appro-
righteous or believers and unbelievers. Luke, for instance, has
priateness of laughter.
Jesus describing the coming of the kingdom of God in terms
of a reversal of who will be able to laugh: “Blessed are you
Arguments have been made for the existence of a wide
who weep now, for you will laugh” and “Woe to you who
variety of forms of humor in various parts of the Hebrew
are laughing now, for you will mourn and weep” (Luke 6:21,
scriptures. Considerable attention has been given to humor-
25). In the canonical Gospels, humor also plays a role in the
ous punning, verbal wit, and irony in a number of texts rang-
trial and crucifixion of Jesus, who is mocked and ridiculed
ing from Genesis to Proverbs; Jonah has been treated as a paro-
as a powerless figure claiming to be (or proclaimed by some
dy of the standard prophetic narrative or, alternatively, as a
to be) a king.
satire of a prophet; and figures such as Jacob have been dis-
cussed as tricksters. Many of the Hebrew Bible’s narratives,
Varying accounts of the crucifixion of Jesus also illus-
including Job, have also been understood as comedies—
trate how the presence or absence of humor can signal radi-
narratives resolving in a more or less happy ending and, at
cally different religious orientations. In the canonical Gos-
least in some readings, involving humor.
pels, clearly there is little in the way of humor on Jesus’ part
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HUMOR AND RELIGION: AN OVERVIEW
4197
during the Passion. However, in one of the gnostic gospels,
HUMOR AND RITUAL. Humor plays important roles in both
the Apocalypse of Peter, Jesus is depicted as laughing because
the central and more peripheral rituals of religious communi-
his physical body is only an illusion and, despite what his
ties. It should be noted that, even when it is not present,
persecutors may think, he is not really in pain. The joke is
humor is important for ritual. Many religious rituals are
reversed, with Jesus now laughing at those who ridicule him,
marked of course by seriousness and solemnity. In such cases
and marks a radically different conception of Jesus and the
the exclusion of humor is a major strategy for marking the
nature of his presence in the world than that found in some
sacred nature of the occasion.
Christian traditions.
When humor is present in ritual it often exhibits a range
The QurDa¯n is not usually thought of as containing
of related but not always present features: an at least seeming
much in the way of humor. Like the sacred scriptures of Ju-
absence of social control; a reversal or inversion of norms,
daism and Christianity, the QurDa¯n makes much of the op-
status, social roles, and conventional behavior; explicitly sex-
position between believers and unbelievers, with the unbe-
ual and scatological behavior; mocking or burlesque of au-
lievers mocking the believers and taking them as fools. Alla¯h
thority, sacred rituals and beings, and foreigners; the appear-
in turn will mock the unbelievers (Su¯rah 1: 11–15). The
ance of comic, ambiguous, and incongruous figures such as
QurDa¯n also makes some use of irony, humor, and wordplay.
jokesters, fools, and clowns; and an appearance of disorder
Much of this dimension of the QurDa¯n, however, is lost when
and chaos. Various meanings and functions, some compati-
the QurDa¯n is interpreted into another language without de-
ble and some not, have been attributed to ritual humor: con-
tailed commentary on the original Arabic.
flict resolution; the cathartic release of tension and emotion;
Though humor is not prominently featured in the
entertainment; maintenance of order and social control; the
QurDa¯n, it would be a mistake to conclude that humor is thus
establishment of community; the marking of boundaries be-
of little importance in Islam. Though some Muslim theolo-
tween groups; subversion and the questioning of authority;
gians have expressed reservations about humor and laughter,
the use of incongruity and ambiguity to facilitate ritual and
this has done little it seems to curb the Muslim appreciation
symbolic transformations; and the use of humorous incon-
of humor, as witnessed by the numerous collections of jokes,
gruities to reflect on religious, cosmological, and metaphysi-
anecdotes, and humorous tales to be found in Arabic litera-
cal concepts. In short, there is no theoretical consensus on
ture from a relatively early date. Franz Rosenthal observes in
the meaning of ritual humor, and the precise meanings and
Humor in Early Islam that “the otherworldliness of Islam did
functions of ritual humor are often context specific.
little to stop the actual enjoyment and literary appreciation
Although some traditions contain clear charter myths
of humor. With all his seriousness and the foreboding of im-
for the use of humor and laughter in ritual, the roles humor
pending doom, the prophet Muhammad himself possessed
and laughter may play in ritual cannot be deduced merely
much cheerful humanity and his followers through the cen-
from an examination of sacred texts and theological pro-
turies have always preserved a good-natured love of jokes and
nouncements. The New Testament contains little to encour-
pranks” (1956, p. 5). Indeed some traditions present the
age humor explicitly and Church Fathers often cautioned
Prophet as a bit of a practical joker. As Rosenthal relates, “he
against it, yet the presence of humor and laughter in Chris-
told an old woman that old women were not admitted into
tian ritual is hardly unknown. Easter rituals in some Eastern
Paradise, and when she was greatly upset by his statement,
Orthodox communities, for instance, have made use of ritu-
he quoted QurDa¯n 56. 35–7/34–6 to the effect that all
alized laughter as part of the celebration of Jesus’ resur-
women in Paradise would be equally young” (1956,
rection.
pp. 5–6).
Ritual humor has formed a key component of both ca-
Because it is difficult if not impossible to deduce the at-
lendrical rituals and life-cycle rituals in traditional societies
titudes about humor to be found in a religious community
and has received considerable attention from anthropolo-
based solely on an examination of its most central or sacred
gists, particularly in their studies of Native American and Af-
texts, attention should be given to the vast body of tales, folk-
rican societies. In many traditional, agriculture-based socie-
lore, and literature that, often from the perspective of both
ties, rituals linked with the start of the agricultural cycle often
religious communities and scholars, lies outside the bounds
involve obscene joking, licentious behavior, or pantomimes
of sacred myths and texts proper. Many of these stories and
of sexual acts. Such rituals of course parallel the fertility-
texts have humorous aspects and treat or comment on the
related rituals rejected by Israelite religion and Christianity.
themes of what are usually regarded as more sacred myths
Humor, often including scatological and sexual elements,
and texts. In Europe, Mexico, and the American Southwest,
may also be found in puberty rites, weddings, funerals, and
for instance, there is a rich body of folktales presenting Saint
a variety of initiation rituals. Humor is integrated into such
Peter as a tricksterlike figure (Hynes and Steele, 1993). How
rites in numerous ways and serves various roles.
religious communities have understood and experienced
their sacred myths and texts cannot be grasped without an
The use of humor in some initiation rites illustrates how
appreciation of how they stand in relation to the less sacred
humor may play a role in encouraging reflection on religious
stories and texts that often offer a humorous perspective on
concepts and practices. A famous example here is Victor Tur-
them.
ner’s analysis of an initiation rite for the cult of Chihamba
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HUMOR AND RELIGION: AN OVERVIEW
among the Ndembu people of Zambia. At one point in the
Christian festival Carnival, as exemplified by the medieval
rite, initiates are ordered to strike with rattles an effigy of the
Feast of Fools which generally took place between Christmas
deity Kavula hidden under a white cloth. The initiates are
and Epiphany. In the course of the festival a choir boy was
then told they have killed the deity. They are soon told, how-
elected King of the Fools to serve as bishop, a parody of the
ever, that they have not really killed him, and the white cloth
Holy Mass was staged, and revelry of various sorts took place
is pulled back to reveal nothing more than a few everyday
both within the cathedrals and in the streets of the cities. Un-
objects. Laughter results (1962, p. 87). The point of the joke
like the ritual humor found in many traditional societies
seems to be the destruction of any simple-minded identifica-
which was generally accepted as a legitimate and even essen-
tion of the deity with a material object. Humor works here
tial part of rituals and the ritual calendar, the hierarchy of
to free one from overly simple conceptions. Reflecting on
the Roman Catholic Church struggled, with limited success,
such examples, Jonathan Z. Smith has gone so far as to sug-
for hundreds of years to control, temper, and do away with
gest that many if not most initiations have the character of
Carnival. Though the Feast of Fools eventually died out,
a practical joke (1978, p. 301).
Carnival has continued in Europe and throughout the Amer-
icas despite being modified, controlled, and restrained by
Considerable attention has also been given to the role
both church and secular authorities.
of ritual humorists or clowns (sometimes also referred to as
fools or buffoons) in traditional cultures. Anthropologists
Although the parody of the Mass in the Feast of Fools
have focused in particular on ritual clowns in the Americas
was not universally approved within the Catholic communi-
and Africa, though examples can be found throughout most
ty, parodies or burlesques of religious rituals that seem to be
parts of the world. The role of ritual humorists in the Ameri-
generally accepted by the community are one notable type
cas and Africa is at times but by no means inevitably linked
of ritual humor. The activities of ritual clowns in many cul-
to tricksters appearing in myth and folklore. Some have even
tures often include comic parodies of priestly figures and sa-
regarded ritual humorists or clowns as a characteristic though
cred rituals. In Japan many rituals are presented in both a
not universal feature of the ritual life of traditional religions
serious mode and comic mode (known as modoki), with the
(Smith, 1995, pp. 1093–1094). If the category of ritual hu-
serious ritual usually being followed by a comic version. Such
morist is extended to include fools, buffoons, and jesters of
parodies of religious ritual may, however, reflect tensions and
various sorts, then ritual humorists can be found in many if
different orientations within communities. There are a num-
not most religious traditions. Particularly noteworthy here
ber of studies which report on women engaging in comic im-
are court jesters and fools who have played important roles
itations of rituals wherein men are the major actors. Kwakiutl
in relation to kings and rulers in China, India, Mesoamerica,
women, for instance, have at times performed parodies of the
medieval and early modern Europe, and the Muslim Middle
potlatch ceremonies so important for determining male pres-
East.
tige and status (Apte, 1985, p. 160).
The history of the study of ritual clowns and humor in
The interpretation of the role of humor in ritual re-
traditional religions is instructive and parallels that of the
quires a careful analysis of such factors as kin relations, reli-
study of the trickster. When initially encountered by mis-
gious hierarchy and status, and gender. Anthropologists of
sionaries and anthropologists in the nineteenth and early
an earlier generation preoccupied with structural-functional
twentieth centuries, religious ritual involving humor as well
theories of society devoted great efforts to the study of insti-
as often scatological and sexual elements were perceived as
tutionalized kin-based (including extended kin, interclan,
strange, exotic, and unusual. According to Mahadev L. Apte,
and intertribal) joking relationships, particularly in East Afri-
one of the reasons for the attention given these rituals by an-
ca. Though the content of the joking was not necessarily of
thropologists “may have been the ‘exotic’ nature of the rites,
an explicitly religious nature, kin-based relationships were
since they often involved scatological and sexual acts that ap-
frequently if not characteristically understood in religious
peared to be a strange combination of the ‘sacred’ and the
terms, and such joking relationships frequently impinged
‘profane’ to the Western mind” (1985, p. 153). Observers
upon religious ritual. For example, in the utani relationship
were encountering dimensions of religion that Christianity
in some East African tribes, at funerals the joking partner of
had for the most part managed to exclude from the domain
the deceased was allowed, if not expected, to make fun of the
of the sacred. Such rituals were initially perceived by some
deceased.
as immoral and irrational and as evidence of the primitive
and undeveloped character of such cultures. Interpretation
The relation of gender, ritual, and humor, however, is
of such rites has shifted over the course of the last century,
a topic only beginning to be explored. It is important to note
however, to one of celebration rather than denigration.
that there are few women who function as ritual clowns or
humorists. There has been considerable research on women’s
Within the context of larger ritual systems, some rituals
cults and initiations in various religions, yet the issue of
and festivals stand out as distinct because of the central role
women’s humor and the gender dimensions of ritual humor
accorded humor. Two noteworthy examples are the Jewish
seem to deserve fuller exploration (Sands, 1999,
Purim and the Hol¯ı festival of northern India. One of the
pp. 442–444). Historical documentation for women’s activi-
most widely discussed examples of such ritual humor is the
ties is not as great as that for men’s. In addition it is only
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HUMOR AND RELIGION: AN OVERVIEW
4199
in recent decades that a growing number of women anthro-
bracing of humor. Even if humor is present in some rituals,
pologists have been able to gain access to settings in tradi-
there are other ritual moments and occasions marked by so-
tional societies in which only women are permitted (Apte,
lemnity and seriousness. Even if some religious themes, ritu-
1985, p. 78). There are also reports, particularly regarding
als, gods, or religious figures are treated humorously in cer-
wedding ceremonies and female rites of passage, of extensive
tain rituals, myths, or texts, they are not always treated
mockery of men by women. Indeed a growing body of schol-
humorously. In other words, efforts are frequently made to
arship suggests that women have not always taken men’s ac-
control the distribution of humor in the life of a religious
tivities—often including religious activities—terribly seri-
community. Despite the appearance of chaos, disorder, or
ously.
total freedom in humorous expression that sometimes oc-
curs, humor is usually limited by rules as to who can make
If the relation of women and humor has not received
light of what and whom under what circumstances.
the full attention it deserves, the relation of children, ritual,
and humor has received even less. Though there seems to be
Aspects of what we might now classify as falling under
little research on the topic, there have been reports of chil-
the category of humor also emerged as a problem for philoso-
dren engaging in imitations of religious rituals in both a seri-
phers and religious thinkers at a relatively early date. Plato
ous and comic mode. Ijaw children in Nigeria, for instance,
(c. 428–348 or 347 BCE) discusses laughter primarily as the
have been reported to play by imitating sacred dances used
laughter of ridicule directed at other people’s ignorance
to appease the spirits of the ancestors. Early in the twentieth
about themselves. Aristotle (384–322 BCE) also closely links
century in France, sets of paraphernalia were available for
laughter with the ridicule and derision of others. Both sug-
children so that they could play at enacting their own ver-
gest that at least some aspects of such laughter and ridicule
sions of the Catholic Mass. It has also become common in
are morally questionable. Cicero (106–43 BCE) and others
some Protestant services to invite young children to the front
throughout classical antiquity echoed similar concerns about
of the sanctuary, usually prior to the serious sermon, to re-
at least some aspects of laughter and humor. Such doubts
ceive a more informal teaching from the minister. The chil-
and concerns have continued throughout much of Western
dren often find parts of this informal sermon amusing and
philosophy. Some have even read Western philosophical and
funny; the adults almost invariably find funny moments to
theological traditions, with some notable exceptions, as basi-
laugh at. A humorous mode of teaching, in other words, is
cally rejecting humor (Morreall, 1989).
used to instruct both children and adults; and the message
Humor has been treated with some suspicion outside of
is conveyed that a sense of humor is part of Christian identi-
the West as well. In one of the first analyses of literature in
ty. These examples suggest that the role of humor and play
China, Wenxin diao long (The Literary Mind and Carving of
in the socialization of children into a religious life deserves
Dragons), Liu Xie (465?–520?) conceded the value of some
fuller exploration.
forms of humor but criticized from a Confucian perspective
One last extensive topic deserves at least mention in a
other forms of humor involving jests, riddles, and puns as
discussion of ritual and humor. Even if one does not accept
undermining the correct and proper use of language. Inap-
theories that understand drama as having emerged from ritu-
propriate forms of humor were also deemed misleading, pos-
al, one cannot deny that many forms of drama have been
sibly immoral, capable of disrupting social order, and not
linked to religious ritual at some point and that often it is
suitable to those of high social standing. An ambivalent and
difficult to draw a clear line between ritual and drama. Many
at times negative attitude toward humor runs throughout the
forms of drama of course are comic or humorous, and such
Confucian tradition.
dramas have played a considerable role in ritual and festival
What have sometimes been classified as “otherworldly”
systems throughout the world. In addition to commenting
or “world-rejecting” religions have at times considered
often from a humorous or comic perspective on religious
humor and laughter particularly problematic. At times,
themes and topics, such dramas are often considered as offer-
though not invariably, the rejection of humor seems to be
ings to the gods. Not a few religious communities, as well
linked with the rejection of worldly entertainments and a re-
as the gods themselves, thus seem to be open and receptive
jection of or effort to control sexuality. The propriety of at
to humorous reflection on the relations of people and gods.
least some forms of humor has been questioned, for instance,
THE DARK SIDE OF HUMOR. Religious traditions and com-
within Buddhism, Christianity, and Islam.
munities have not infrequently considered humor to be a
In reaction to the laughter of dancing girls attempting
problem. At times this has resulted in a near outright rejec-
to entertain him, the prince Siddha¯rtha Gautama wondered
tion of humor. More frequently certain types of humor have
to himself: “How can anyone laugh who knows of old age,
been rejected or humor excluded from certain occasions and
disease, and death?” (Buddhacarita 4.59). After his enlighten-
situations. Whether an effort is made to reject, critique, or
ment the Buddha repeated the question in slightly different
control humor, the effort serves at least partially to define a
form: “How can there be mirth or laughter when the world
particular religious orientation, moment, or mode.
is on fire?” (Dhammapada 146). Within the Buddhist tradi-
Even in religious communities where humor is marked-
tion, humor and laughter are also rendered problematic by
ly present in myth, tales, or rituals, there is never a total em-
the noble eightfold path, particularly the precept concerning
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HUMOR AND RELIGION: AN OVERVIEW
right speech that can be read as inveighing against at least
was mocked by young children saying: “Go up, thou bald
some forms of humor, laughter, and mirth. The rejection of
head; go up, thou bald head” (2 Kings 2:23). Mockery of
sex by Buddhist monks and nuns also would seem to pre-
prophets, however, is sometimes dangerous. After being
clude humor associated with sexuality. Buddhism has, how-
cursed by Elisha, the children were eaten by two bears.
ever, been anything but a humorless religion. The Buddha
Even if the entire history of religions could not be writ-
himself, at least as portrayed in some texts, seems somewhat
ten as a history of the ways in which different religions have
to have recovered his sense of humor. There are also many
made fun of one another, a good portion of it probably could
well-known examples within the Buddhist tradition linking
be. A suggestive essay here is the unsigned article “Religions
insight and enlightenment with humor.
of Antiquity” included in The HarperCollins Dictionary of Re-
Christianity presents some of the clearest examples of
ligion (Smith, 1995). The essay provides an overview of reli-
the rejection of humor. As noted, at least some within Juda-
gions of antiquity in which humor (along with death and
ism and Christianity rejected the humor associated with fer-
magic) is a major theme. Humor is examined in terms not
tility cults. In addition the writings gathered together as the
only of how it functions within a religious community but
New Testament express little in the way of explicit humor,
also of how it functions with regard to competition and rival-
despite the best efforts of some to locate it there. The Church
ry between different religions or between different commu-
Fathers were generally suspicious of and often hostile toward
nities within the same religion.
humor and laughter. John Chrysostom (c. 354–407), for in-
The way in which ridicule can shape religious identity
stance, made a point of noting that Jesus never laughed,
is clearly illustrated by examples drawn from the history of
raised the question of how Christians could possibly laugh
Christianity. Early Christians were frequently subject to ridi-
when they thought of the suffering of Christ, spoke of laugh-
cule because many people found some Christian beliefs
ter and mirth as leading to sin, and, like Jesus in Luke, pre-
laughable. Some Christians such as Paul responded to ridi-
dicted that those laughing now will be wailing in torment
cule by embracing the role of “fools for Christ’s sake.” In
on the day of judgment. As Chrysostom also complained
turn Christian figures such as Clement of Alexandria (c.
that members of his congregation were laughing when they
150–215) and Tertullian (c. 160–c. 220) made fun of pagan
should have been praying, not all Christians seem to have
religions. So-called heretical Christian groups were also ridi-
shared his views. Part of the rejection of humor by the
culed by those of a more orthodox orientation. Conversely
Church Fathers also seems to be linked to the rejection of
some gnostic texts have been read as making fun of or being
entertainments, theater, and rituals linked with pagan reli-
parodies of more orthodox texts. In his later years Martin Lu-
gions. The rejection of humor and laughter may also be
ther (1483–1546) penned satirical portrayals of Catholicism
found among ascetics, hermits, and monks. Christian ascet-
and the pope which made free use, in “primitive” fashion,
ics “shared with Greek and Jewish ascetics the ideal of the
of scatological themes. As illustrated by the designations
perfect human who never laughed” (Gilhus, 1997, p. 64).
Quakers, Shakers, and Methodists, the names of some Chris-
Like Jesus, Saint Anthony (c. 250–356) has been regarded
tian groups derive from terms of ridicule often initiated by
by many as a model who never laughed.
fellow Christians of a different persuasion.
Those expressing an ambivalent or even negative atti-
Religions frequently have been subjected to ridicule,
tude toward at least some forms of humor have a point. Al-
mockery, and satire not only by those of different religious
though humor may serve to bring people together, humor
orientations but also by those who might be described as un-
in the guise of ridicule and satire has also been used to divide
believers. Satirical treatments of religion appear at a relatively
peoples, to mark others as somehow inferior, and to enforce
early date in India, China, Japan, and the West, though de-
social control. If the we/they distinction is a basic compo-
termining whether a rejection of all religion is entailed is
nent of any group’s identity, communities have frequently,
often difficult. Some satirists in late antiquity, such as Lucian
if not invariably, partially established their identity by ridi-
of Samosata (120–c. 180), seemed to be making fun of most
culing others. This seems to hold true for religious commu-
if not all religions. As for modernity, it is difficult to conceive
nities as well. What is now referred to as “ethnic humor” fre-
of it without taking into account satirical treatments of reli-
quently involves ridicule of other religions and does not seem
gion. Although the United States is often described as the
to be a phenomenon of recent origin.
most religious of modern nations, a truly American literature
was initiated, according to some, by an author whose works
Ridicule, mockery, and satire of foreign gods, cults, and
are replete with satires of Christianity as well as religion in
kings is not uncommon in the Hebrew scriptures. In 1 Kings
general: Mark Twain.
18:27, for instance, Elijah mocks the Baal prophets when
their god seemed not to reply to their entreaties: “And it
In some instances it is possible to argue that ridicule of
came to pass at noon, that Elijah mocked them, and said, Cry
religion has a profound impact on the development of some
aloud: for he is a god; either he is talking, or he is pursuing,
religions and the surrounding culture. An example here
he is on a journey, or peradventure he sleepeth, and must be
would be the 1925 trial of John Scopes (also called the “mon-
awakened.” Prophets themselves of course were also subject
key trial”) that pitted Clarence Darrow (1857–1938), repre-
to mockery and ridicule. Following Elijah’s ascent, Elisha
senting a modern scientific orientation, against William Jen-
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HUMOR AND RELIGION: AN OVERVIEW
4201
nings Bryan (1860–1925), representing a Christian
regarded as a teaching tool, a way of awakening religious real-
perspective embracing a literal reading of the Bible and its
ization, or a sign of a holy or enlightened state, or a funda-
account of creation. Although Darrow initially lost the case
mental aspect of the structure of the cosmos; it may also re-
(the ruling was eventually overturned), he effectively defeat-
late to the basic functions of certain religious specialists or
ed Bryan by exposing, at least to many, Bryan’s position to
even help define the basic orientation of a religious com-
be a foolish one. Much of the press at the time joined in the
munity.
ridicule of Bryan and the views he represented. Some have
The study of the celebration of humor within religions
suggested that this event had a profound effect on segments
is closely related to scholarly evaluations of humor and might
of the conservative Christian community, causing them to
indeed be linked to a growing celebration of humor within
withdraw from mainstream public life until resurfacing, dec-
Western thought. As already noted, Western philosophical
ades later, when they had regained their confidence.
and theological traditions, from the Greeks through the En-
Religion’s use of ridicule and the ridicule of religion are
lightenment, have expressed at best an ambivalent attitude
deeply connected to contemporary studies of religion. Intro-
toward humor. Humor was considered suspect on a number
ductory textbooks on religion almost invariably state that the
of grounds. The cruelty of humor, as expressed in ridicule
purpose of studying religions (and especially religions not
and other forms, was rejected on moral grounds. Humor too
one’s own) is to gain sympathetic understanding of others
closely connected with sexuality, the body, or the emotions
so that we no longer see them as strange and, though this
was also frequently questioned as undermining either spiritu-
is rarely explicitly said, funny. In North America what is
ality or the dictates of rationality. Whether considered from
called political correctness has repeatedly reminded us that
the perspective of Christian theology, Enlightenment ratio-
we should not make fun of others. Scholarly studies of
nality, or the demands of modern civilization, humor was
groups perceived by some as odd and funny not infrequently
something more to be controlled or constrained rather than
remind the reader that we should not laugh at or make fun
celebrated.
of these people (though it is hard to imagine that the readers
There has been, however, a growing reappraisal of the
of such books need to be reminded). Although at least some
importance of humor. Amid increasing doubts about the val-
of this effort is no doubt well and for the good, it is possible
ues of modernity, Enlightenment rationality, and traditional
that this mission to rid the world of negative humor also
Christian theology, not a few have concluded that their costs
blinds us in some aspects. It is difficult to find a book on reli-
are too high and that one of these costs is the loss of tradi-
gion that clearly makes the point that religions have some-
tional forms of humor. This loss has been traced to a variety
times defined themselves by making fun of others.
of sources, including Christianity in general, Protestantism
There is yet another way in which humor plays a role
in particular, Enlightenment rationality, bourgeois sensibili-
in distinguishing peoples and defining the other. Other peo-
ties, and the modern bureaucratic state. Humor in this reap-
ples can be made to seem strange and alien either by denying
praisal is accorded a positive, liberating value both emotion-
them a sense of humor or attributing to them a strange, inap-
ally and cognitively. Some have linked this revised view of
propriate, or inferior sense of humor. As noted many West-
humor with postmodern sensibilities. Whether or not the
erners have found the humor of “primitives” to consist of a
West has somehow been lacking in humor and whether or
scandalous mixing of the sacred and the profane that was
not the cause has been rightly identified, such views are of
taken as evidence of childishness, a lack of civilization, or
importance for the ways they have shaped scholarship.
even immorality. In similar fashion, Lucien Lèvy-Bruhl
At least some of the roots of this recent reappraisal of
judged the humor of “primitives” to be inferior to that of Eu-
humor can be found within Western traditions. The Praise
ropeans because it was lacking in rationality (Chidester,
of Folly (1511) by Desiderius Erasmus (1466?–1536) antici-
1996, pp. 230–32). For much of the period after World War
pates later celebrations of folly and medieval Carnival from
II the Japanese were widely perceived as being without
both a Christian and non-Christian perspective. Thinkers as
humor or, just as disturbingly, given to laughing and giggling
diverse as Francis Hutcheson (1694–1746); Anthony Ashley
at inappropriate times. In the culture and literature of the
Cooper, the first earl of Shaftesbury (1621–1683); Immanu-
United States a common characterization of the religious or
el Kant (1724–1804); and Jean Paul (1763–1825) all treated
“overly religious” is that they are without a sense of humor.
humor in terms of a perception of incongruity and attributed
At present it is difficult to locate studies on the relation of
to it a cognitive value. So⁄ren Kierkegaard (1813–1855) was
humor and Islam. Either Muslims are humorless or Muslim
preoccupied with irony throughout much of his work and
humor has simply not been explored. The latter alternative
linked the comic with a perception of the contradiction or
is no doubt closer to the truth. The image of Muslims as hu-
incongruity between infinity and the finite. For Kierkegaard
morless of course fits well with the image of Muslims as fa-
such a perception was regarded as the precursor to religious
natical or overly religious in some way.
insight or faith.
CELEBRATIONS OF HUMOR. Humor has also been celebrated
In the twentieth century a number of thinkers also
as possessing particular religious value within some religions
granted importance to humor and related ideas. Johan Hui-
or movements within religions. In such cases humor may be
zinga’s Homo Ludens: A Study of the Play-Element in Culture
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HUMOR AND RELIGION: AN OVERVIEW
(1938) defined the human condition in terms of play, an ac-
ners, radical poverty, an itinerant existence, and engaging in
tivity closely related to humor, and inspired many in their
joking and parody. Such figures, it should be noted, fre-
reflections on the importance of humor. In a similar fashion
quently set their folly in opposition not simply to worldly
Arthur Koestler’s The Act of Creation (1964) placed humor
wisdom but also to the wisdom of the church.
at the center of human thought and culture. Another widely
Within Christianity, mention should be accorded to
influential work is Mikhail Mikhailovich Bakhtin’s Rabelais
Meister Eckhart, considered by many to represent the pinna-
and His World (1965), a celebration of medieval Carnival
cle of Christian mysticism for identifying, if in somewhat
which argues that the modern world is impoverished in com-
cryptic fashion, laughter as playing a crucial role in the gene-
parison to the fulfilling and liberating culture of laughter ex-
sis of that most mysterious of Christian mysteries, the Trini-
isting in the medieval period. Umberto Eco’s best-selling
ty: “Indeed I say, the soul will bring forth Person if God
novel The Name of the Rose (1983) at least implicitly makes
laughs to her and she laughs back to him. To speak in para-
a similar argument, with readers being asked to contemplate
ble, the Father laughs into the Son and the Son laughs back
the cost of the church’s supposed suppression of Aristotle’s
to the Father; and this laughter breeds liking, and liking
work on comedy. Scholars with orientations based in Marx-
breeds joy, and joy begets love, and love begets Person, and
ism, postmodernism, or cultural studies have also come to
Person begets Holy Ghost” (Pfeiffer, 1947, p. 59). The gene-
focus on humor whenever it might be viewed as somehow
sis and nature of the relation among the persons of the Trini-
“subversive” of Enlightenment rationality, social hierarchy,
ty and people is imagined in terms of laughter.
or the political, economic, and cultural hegemony of the
West.
Within Islam, S:u¯f¯ı traditions have also at times granted
a special place to humor. Throughout at least part of the his-
Humor has also served to define basic orientations of
tory of Sufism, S:u¯f¯ı communities have existed outside of or
and within various religions. Saint Paul’s presentation of
in tension with more orthodox orientations, and S:u¯f¯ı figures
Christians as being “fools for Christ’s sake” (1 Corinthians
have rejected some of the local strictures of daily behavior as
4:10) indicates a recognition that Christian belief and behav-
well as questioned the adequacy of orthodox formulations ei-
ior were perceived as folly, if not madness, when viewed from
ther to communicate or to express union with the divine. All
other religious and nonreligious perspectives of the time. At
of these factors have led S:u¯f¯ıs to be sometimes regarded as
least some Christians in early Christianity willingly em-
fools. The name itself, meaning “wool-wearer” in reference
braced the role of the fool. Although this embrace of folly
to the ascetic garb of early S:u¯f¯ıs, may well have originated
was not inevitably humorous in itself, it was grounded in a
as a term of ridicule. S:u¯f¯ıs are also well known for the use
willingness to accept mockery and ridicule for embracing
of humorous tales in their teaching, as witnessed by consider-
what seemed like folly to much worldly and religious wis-
able use of tales concerning Khezr and Mulla¯ Narsruddin,
dom. Jesus himself, indeed, had been subjected to mockery
who both make use of humor and who are at times seemingly
and ridicule. The embrace of folly and acceptance of ridicule
willing objects of humor themselves. While closely linked
and mockery, however, was accompanied by the expectation
with Sufism, tales of these two figures have been appreciated
of reversal: the foolish would be shown to be wise and the
more widely throughout much of the Muslim world. Some
wise foolish.
S:u¯f¯ıs have also clearly linked laughter and humor with the
highest of religious experiences. The S:u¯f¯ı Ru¯m¯ı (c. 1207–
Once Christianity established itself, became a religion
1273) is reported to have observed: “If you want special illu-
of empire, and came to wield considerable political power,
mination, look upon the human face: See clearly within
Christians were no longer as widely regarded as fools and
laughter the Essence of Ultimate Truth” (Shah, p. 5).
perhaps less inclined to welcome the designation of fool.
Within both Eastern and Western Christianity, though,
Within Asian religious traditions a range of religious
some continued to embrace the role of fools for Christ’s sake.
specialists and movements might be viewed as embracing
However, many Christians seemed to regard these fools as
foolishness and humor. Throughout the region a variety of
merely ordinary fools rather than holy fools. There are a
Indian gurus, wandering ascetics, Daoist sages, and Buddhist
number of celebrated holy fools to be found in both Catholic
monks are well known for their use of humor and embrace
and Orthodox traditions, with the Orthodox traditions more
of folly. The Chan or Zen school of Buddhism has frequently
clearly recognizing and celebrating holy fools. Though the
been singled out for special attention here. In addition to
list is extensive, prominent examples from the Catholic and
pointing to the wide use of humorous tales and teaching
Orthodox traditions include Theophilus and Maria of Anti-
methods in Zen, some have even defined the basic Zen orien-
och and Saint Symeon of Emesa in the sixth century, Saint
tation as humorous or comic. This celebration of the comic
Andrew the Fool of Constantinople in the tenth and elev-
orientation of Zen, however, is much more prominent in the
enth centuries, Saint Isaac Zatvornik of Kiev and Saint Basil
West than in Asia, suggesting that Western images of Zen
the Innocent in the eleventh century, and Saint Francis of
as particularly humorous perhaps represent in part a fantasy
Assisi in the twelfth and thirteenth centuries. Among the
concerning what is sensed to be missing in the West.
range of behaviors embraced by such fools were nakedness,
In the course of the twentieth century and into the
self-humiliation in a variety of forms, association with sin-
twenty-first, some in certain parts of the world have come
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HUMOR AND RELIGION: AN OVERVIEW
4203
to identify Judaism as a religion that is fundamentally comic
tinctions has taken time. It is only in recent decades, for in-
or humorous in orientation. At least in English and in the
stance, that scholars have begun to explore more fully the
United States, there has been an endless stream of mostly
connections between religion and the arts.
popular books celebrating Jewish humor (though at times
Vastly different conceptions of religion might have aris-
the humor relates more perhaps to questions of Jewish iden-
en if other sacred texts and other philosophical traditions had
tity than to Judaism itself, though the two of course cannot
formed the starting point for (or had truly been given equal
be clearly separated). There seems to be, however, relatively
weight in) reflection on religion. For instance, if Japanese
few scholarly works on Jewish humor that clearly relate the
myth had formed a starting point for the study of religion,
Jewish humor of the modern period to the history of the Jew-
it would have been difficult to form a conception of the
ish traditions. Even if Judaism is not inherently more humor-
“holy,” “sacred,” or “divine” that was not closely connected
ous in orientation than other religious traditions, the modern
to humor. In the myth of the heavenly cave, a central narra-
perception of Judaism as a particularly humorous religion is
tive episode in Japanese myth, the gods employ humor and
of interest and importance in itself.
laughter to restore order to the cosmos as well as to establish
Mention might also be made of a reappraisal of the im-
the basic forms of ritual by which people should relate to the
portance of humor in popular Christian theology which
gods.
seems to have begun in the 1960s and is exemplified by
An additional reason for the neglect of humor in the
works such as Elton Trueblood’s The Humor of Christ
study of religion is the social location of much humor.
(1964), Harvey Cox’s The Feast of Fools: A Theological Essay
Humor and religion have been given scholarly attention
on Feast and Fantasy (1969), Cal Samra’s The Joyful Christ:
most often when humor is institutionalized in myths, texts,
The Healing Power of Humor (1986), Conrad Hyers’s And
rituals, or formal joking relationships. As many have ob-
God Created Laughter: The Bible of Divine Comedy (1987),
served, there is a great deal of humor that exists in noninsti-
and Earl Frank Palmer’s The Humor of Jesus: Sources of
tutionalized spaces: humor often emerges in informal inter-
Laughter in the Bible (2001). All of these works are united
actions that comment on the more institutionalized aspects
by the notions that Christianity, somewhere along the line,
of life. Much of this humor is ephemeral, unrecorded, and
lost its sense of humor and that properly valuing humor is
often unnoticed.
central to the Christian message. Although some of these
works have served to raise interest among scholars and theo-
Historians have access to such moments only when they
logians in the topic of the relation of religion and humor,
happen to be recorded in texts, the visual arts, or archeologi-
none seems to have generated enough interest among Chris-
cal remains. Although such sources allow us to reconstruct,
tians at large to engender new Christian movements or orien-
with varying degrees of certainty, the rituals, myths, and be-
tations embracing humor as a central Christian value. With-
liefs of the past, we have precious little indication, for exam-
in some charismatic movements in recent years, however,
ple, of what peoples of the past were doing and saying before,
hysterical or uncontrolled laughter in worship services has
after, and perhaps surreptitiously during rituals. If we assume
come to be taken as a sign of a visitation of the Holy Spirit.
that people have always had recourse to humor and humor-
It is possible that the perception of the importance of humor
ous commentary on “serious” matters, then we are perhaps
in religions such as Judaism and Zen has influenced this re-
missing an important dimension of the religious life.
appraisal of the role of humor by some Christian theologians.
Though anthropologists have had direct access to mo-
THE HUMOR WE HAVE MISSED. The importance of the var-
ments of informal humor, they have done little better than
ious relations of humor and religion seem to have been over-
historians in bringing the significance of these moments to
looked for a number of reasons. Despite all the critical reflec-
light. Anthropological theory has not often attuned anthro-
tion, in the last one hundred fifty years or so, devoted to the
pologists to the importance of such moments, documenting
study of religion, assumptions concerning the “holy” and the
informal interaction is difficult and time consuming, anthro-
“sacred” deriving primarily from the sacred scriptures of Ju-
pologists have often lacked the near native command of a
daism and Christianity still seem to haunt Western concep-
language required to appreciate and understand humor, and
tions of religion. Most obvious of these assumptions is that
much of the informal joking anthropologists are able to ob-
religion is somehow fundamentally connected with what is
serve is humor provoked by the presence of a strange being—
serious and solemn rather than with what is humorous.
the anthropologist (Driessen, 1997). In addition, not a few
have suggested that, even with a command of the language,
The failure to connect religion and humor might also
informal humor is often the most difficult part of a foreign
be traced to the tendency of many Enlightenment philoso-
culture to fathom and understand.
phers to draw essentialistic distinctions between phenomena
such as religion and art by linking them with essentially dis-
What we have lost here is well documented and illus-
tinct faculties, epistemologies, or modes of symbolization.
trated in Samuel C. Heilman’s Synagogue Life: A Study in
Some Enlightenment philosophers, such as Kant, treated
Symbolic Interaction (1976). In addition to an account of the
humor under the category of the aesthetic and thus neatly
ritual activity occurring at a synagogue, Heilman also offers
separated it from religion. Undoing such essentialistic dis-
an analysis of the joking that takes place at informal mo-
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HUMOR AND RELIGION: AN OVERVIEW
ments, such as the coffee hour, at the synagogue. Some of
Chidester highlights here the ways indigenous peoples sati-
the joking makes use of or comments on the more serious
rized some Christian teachings and behavior they found to
and solemn moments of ritual activity. Such joking is obvi-
be funny, and he argues that such a response constitutes a
ously an important part of the participants’ experience of rit-
form of comparative religion. Chidester’s book as a whole
ual and religion. The lesson here is a simple one: we cannot
suggests indeed that Westerners and indigenous peoples
get a serious sense of people by looking only at serious, for-
finding each other to be strange, ludicrous, funny, or ridicu-
lous was an important part of the emergence of the notion
mal moments. If we can assume that such moments of infor-
of religion in the modern period.
mal joking have been ubiquitous in human experience, then
we have perhaps seriously misconstrued the degree to which
A relatively early and still useful effort to focus attention on the
and the ways in which people have been “serious” about their
relation of religion and humor is Holy Laughter: Essays on Re-
religion.
ligion in the Comic Perspective, edited by M. Conrad Hyers
(New York, 1969). Hyers’s essays in this volume offer still
As suggested above, the history of the study of religion
interesting efforts to give a phenomenological account of the
in the last one hundred and fifty years might well be written
relation of religion and humor. Among Hyers’s subsequent
in terms of a gradual and not yet complete coming to terms
works on the topic are The Laughing Buddha: Zen and the
with the various ways humor has formed a part of the reli-
Comic Spirit (Wolfeboro, N.H., 1989) and, more theologi-
gious lives of many outside the West. This can be seen in the
cally oriented, And God Created Laughter: The Bible as Divine
shifting attitudes to tricksters and ritual clowns. Initially
Comedy (Atlanta, 1987).
treated as evidence of childishness, primitiveness, a lack of
A Cultural History of Humour: From Antiquity to the Present Day,
civilization, or even immorality, tricksters and ritual clowns
edited by Jan Bremmer and Herman Roodenburg (Cam-
now tend to be celebrated as representing a sensibility and
bridge, U.K., 1997) contains a number of essays treating the
insight into the human condition which many in the modern
relation of humor and religion in the West. The essays are
West have lost. It can also be seen in the ways some religions,
important for the ways in which they complicate many set
ideas, such as Bakhtin’s analysis of Carnival, and the notion
such as Zen, have come to be celebrated in the West as pos-
that Protestantism is humorless. In addition an argument is
sessing an appreciation of humor lacking in Christianity. To
made that humor has been a topic at least relatively neglected
an extent at least, the European encounter with the humor
by cultural historians. The collection also includes an excel-
of others has led to changes in Western notions of religion,
lent bibliography. Anton C. Zijderveld’s Reality in a Looking-
has played a not unimportant, albeit often overlooked, role
Glass: Rationality through an Analysis of Traditional Folly
in the development of the study of religion, and has even en-
(London, 1982) explores the causes and consequences of the
tailed a rediscovery of the humor to be found in Western reli-
loss of folly in the course of modernization in the West.
gious traditions.
An excellent introduction to anthropological studies of humor is
Mahadev L. Apte’s Humor and Laughter: An Anthropological
SEE ALSO Carnival; Clowns; Drama; Hol¯ı; Myth, overview
Approach (Ithaca, N.Y., and London, 1985) which offers an
article; Paradox and Riddles; Play; Purim; Purim Plays; Rit-
overview of the relevant literature, an extensive bibliography
ual; Tricksters, overview article.
of English language studies, and chapters on religion and
tricksters. Henk Driessen’s “Humour, Laughter and the
BIBLIOGRAPHY
Field: Reflections from Anthropology” in the previously dis-
Although no classic studies of humor and religion exist, several re-
cussed A Cultural History of Humour, pp. 222–241, provides
cent works provide good starting points for exploring the
a more recent guide to discussions of humor in anthropolo-
topic. Peter Berger’s Redeeming Laughter: The Comic Dimen-
gy. Both Apte and Driessen lament the lack of attention
sion of Human Experience (New York, 1997) is a sociological
given to the study of humor thus far in anthropology. Clowns
and theological reflection on the various ways religion and
& Tricksters: An Encyclopedia of Tradition and Culture, edited
humor might be related. Though focused on the symbolism
by Kimberly A. Christen (Denver, Colo., 1998), is valuable
of laughter rather than humor in the strict sense, much of
not only for the range of examples brought together but also
Ingvild Sælid Gilhus’s Laughing Gods, Weeping Virgins:
for the bibliographic references provided for each entry.
Laughter in the History of Religion (London and New York,
Christie Davies’ Ethnic Humor Around the World: A Compar-
1997) might be read as relating to the study of humor and
ative Analysis (Bloomington, Ind., 1990) is a thorough survey
religion. Despite their titles, both works are focused on
of studies of ethnic humor, much of which is related to reli-
Western traditions and exclude Islam from consideration.
gion. An influential and often cited essay on humor is Mary
Both works contain useful bibliographies. John Morreall’s
Douglas’s “Jokes” in her Implicit Meanings: Essays in Anthro-
Comedy, Tragedy, and Religion (Albany, N.Y., 1999) deserves
pology (London and Boston, 1975), pp. 90–114.
mention for directly addressing the question of the relation
Taking Laughter Seriously (Albany, N.Y., 1982) and The Philoso-
of religion to comedy and humor and for including Islam as
phy of Laughter and Humor (Albany, N.Y., 1987), both by
well as Asian traditions in the discussion.
John Morreall, are good introductions to discussions of
A brief but important discussion of the role humor played in the
humor in Western philosophy. Morreall provides an argu-
encounter of Western missionaries and colonialists with “sav-
ment concerning the rejection of humor in Western philo-
ages” and “primitives” may be found in David Chidester’s
sophic and religious traditions in “The Rejection of Humor
Savage Systems: Colonialism and Comparative Religion in
in Western Thought,” Philosophy East and West 39, no. 3
Southern Africa (Charlottesville, Va., 1996), pp. 226–233.
(1989): 243–266. John Lippitt’s Humour and Irony in Kier-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUMOR AND RELIGION: HUMOR AND RELIGION IN EAST ASIAN CONTEXTS
4205
kegaard’s Thought (New York, 2000) is an excellent study of
O’Flaherty, Wendy Doniger. Asceticism and Eroticism in the
Kierkegaard, whose work is perhaps the most profound of
Myththology of Síva. London and New York, 1973.
Christian reflections on humor.
Pfeiffer, Franz. Meister Eckhart, translated by C. de B. Evans, vol.
Discussions of humor in the Hebrew scriptures may be found in
1. London, 1947.
On Humour and the Comic in the Hebrew Bible, edited by Ye-
Sanders, Barry. Sudden Glory: Laughter as Subversive History. Bos-
huda T. Radday and Athalya Brenner (Sheffield, U.K.,
ton, 1995.
1990), and in J. William Whedbee’s The Bible and the Comic
Sands, Kathleen M. “Humor.” In Encyclopedia of Women and
Vision (New York, 1998). A good introduction to the possi-
World Religion, edited by Serinity Young, vol. 1. New York,
ble types of humor in the New Testament is given by Jakob
1999.
Jo⁄nsson in Humour and Irony in the New Testament: Illumi-
nated by Parallels in Talmud and Midrash (Leiden, 1985).
Shah, Idries. Special Illumination: The Sufi Use of Humor. London,
The essays grouped under “Humor and Wit” in The Anchor
1977.
Bible Dictionary, edited by David Noel Freedman, vol. 3
Smith, Jonathan Z., ed. The HarperCollins Dictionary of Religion.
(New York, 1992), contain discussions as well as bibliogra-
San Francisco, 1995.
phies for the Middle East in ancient times, Hebrew scrip-
Turner, Victor Witter. Chihamba, the White Spirit: A Ritual
tures, and the New Testament.
Drama of the Ndembu. Manchester, U.K., and New York,
A good introduction to the topic of Jewish humor is Jewish
1962.
Humor, edited by Avner Ziv (New Brunswick, N.J., 1998).
An engaging critique of the notion of Jewish humor is Dan
RICHARD GARDNER (2005)
Ben Amos’s “The Myth of Jewish Humor,” Western Folklore
32 (1977): 112–131.
Though limited in historical scope, the best introduction in En-
HUMOR AND RELIGION: HUMOR AND
glish to Islam and humor is still Franz Rosenthal’s Humor in
RELIGION IN EAST ASIAN CONTEXTS
Early Islam (Philadelphia, 1956). A good introduction to the
An overview of humor and religion in East Asia is complicat-
QurDa¯n’s relationship to humor is Mustansir Mir’s “Humor
ed by a number of factors. While the area is united by millen-
in the QurDa¯n,” The Muslim World 81, nos. 3–4 (1991):
nia of cultural exchange, exemplified by the spread of the
179–193.
Chinese writing system, it is also marked by sharp cultural
Motivated by his skepticism regarding scholarly opinion that there
and linguistic divides. East Asia has also been influenced by
was little humor or satire to be found in Sanskrit literature,
an Indian tradition, Buddhism, which both transformed and
Lee Siegel offers an extensive and enthusiastic exploration of
was transformed by the religions of the area. In addition, it
the wealth of humor to be found in India in Laughing Mat-
is difficult to neatly separate religious traditions such as Bud-
ters: Comic Tradition in India (Chicago, 1987).
dhism, Confucianism, Daoism, and Shinto¯; though distinc-
Mention should be made of a number of works which provide
tions were made, there was a constant tendency to combine
suggestions for developing a theory of religion in which
and blur traditions sometimes now thought of as distinct.
humor plays a central, if at times implicit, role: Helmuth
What are today thought of as the major traditions have exist-
Plessner’s Laughing and Crying: A Study of the Limits of
ed in complex relations with what have been variously styled
Human Behavior, translated by James Spencer Churchill and
as local, indigenous, or folk traditions.
Marjorie Grene (Evanston, Ill., 1970); Arthur Koestler’s The
Act of Creation (London, 1964); Kees W. Bolle’s The Free-
INDIGENOUS CONCEPTS AND ORIENTATIONS. While the En-
dom of Man in Myth (Nashville, 1968); and Jonathan Z.
glish word humor has been absorbed into and widely used
Smith’s Map Is Not Territory: Studies in the History of Reli-
in both Chinese and Japanese in the modern era, there is a
gions (Chicago, 1978). Though Smith makes only passing
long history of related or analogous indigenous concepts to
reference to humor here and in other works, his approach to
be found throughout the languages of East Asia. Since there
religion as an interplay of congruity and incongruity is well
is, however, little in the way of systematic studies of such
suited to developing a fuller appreciation of the relation of
concepts, only the importance of exploring them further can
religion and humor. For a suggestive essay discussing play
be suggested here. In Chinese, one related term that was also
and humor in relation to Smith’s approach to religion, see
made use of in Korea and Japan is huaji, combining hua
Sam Gill’s “No Place to Stand: Jonathan Z. Smith as Homo
(slippery) with ji (a bobbling motion), a word for ancient
Ludens, the Academic Study of Religion Sub Specie Ludi,”
Journal of the American Academy of Religion 66, no. 2 (1998):
jesters, acrobats, jugglers, and entertainers. An integral part
283–312.
of ancient Chinese court and ritual life, huaji wore costumes
asymmetrically half red and half black. These specialists were
Other Relevant Works
mad, or topsy-turvy, and by their frenzy threw the normal
Huizinga, Johan. Homo Ludens: A Study of the Play-Element in
world out of its order. Comic jesters were deemed indispens-
Culture. Boston, 1950.
able to the efforts of kings to mediate between heaven and
Hynes, William J., and Thomas J. Steele, S.J. “Saint Peter: Apostle
earth. Both the Korean and Japanese languages are also re-
Transfigured into Trickster.” In Mythical Trickster Figures:
plete with a number of terms and concepts related to humor.
Contours, Contexts, and Criticisms, edited by William J.
Hynes and William G. Doty, pp. 159–173. Tuscaloosa, Ala.,
In ancient China, a central locus for the development
1993.
of humor in religion was the ritual cycle of offerings and per-
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HUMOR AND RELIGION: HUMOR AND RELIGION IN EAST ASIAN CONTEXTS
formances for the ancestors and gods. As is documented by
works of the early ritualists, chroniclers, and philosophers
oracle bone inscriptions, it was hoped that the higher gods
were often invested with puns, wordplay, ambiguity, and
could be influenced by establishing smooth relations with
amusing stories. In a text purporting to chronicle events of
the recently dead. Royal ritual life in early China was thus
574 BCE (Chronicles of Zuo, 17th year of Duke Cheng), Con-
organized in great detail around the need to mollify the dead,
fucius is, for instance, recorded telling some jokes involving
with special efforts being made to please them with food and
puns about foot amputation that may well have had deeper
entertainment. Records from the Shang period (late second
cosmological implications. Confucius is also depicted (Ana-
millennium BCE), show the existence of rituals to “entertain”
lects 17.4) laughing at an elaborate ritual held in a town of
the ancestors. As the writing system developed, it generated,
very modest importance, characterizing the villagers as
as a means to express this notion, a system of interchangeable
“using a beef cleaver to cut a chicken!” When his students
graphs and a network of concepts relating to the terms pray
remonstrated, Confucius admits that he had only been
(celebrate, intone), pleasing, elder brother (who conducted
joking.
ceremonies for ancestors), music, joy, sacred speech, and laugh-
ter. Laughter was thus implicated in a network of concepts
As the body of early texts was canonized and made into
for conceiving of the relations among people, ancestors, and
the so-called Confucian classics, the Ru (Ritualist or Confu-
gods.
cian) school more and more became an arbiter of cultural or-
thodoxy. With its emphasis on decorum, morality, and the
In early Japan, a charter myth relating to the role of
proper use of language, and particularly in its role as state
humor in religion is found in Kojiki. The myth narrates how
ideology, Confucianism has perhaps rightly been character-
the Sun goddess, Amaterasu, faced with the outrageous be-
ized as a dry religion. An early work on literature in the Con-
havior of her brother Susano-o (who has sometimes been
fucian tradition, which was also of some influence in Japan,
identified as a trickster), secludes herself in a cave and thus
is Liu Xie’s (465?–520?) Wenxin Diaolong (The literary mind
throws the heavenly realm into chaos and darkness. The
and carving of dragons). The work expresses an ambivalent
other gods, however, devise a plan to lure Amaterasu from
opinion of the value of humor, particularly in the way it un-
the cave by pretending another goddess is present. As part
dermines the clear and proper use of language. Perhaps inevi-
of the ruse, Ame no Uzume performs a dance on an over-
tably, Confucianism also became a straight man for humor
turned tub and exposes herself. Ame no Uzume’s perfor-
and ridicule. Ridicule of slavish imitators of Confucius or
mance produces uproarious laughter on the part of the other
Confucians became a popular topic in Chinese jest books
gods. Not able to understand why the gods are laughing
(Harbsmeier, 1990, p. 152).
when she has hidden herself away, Amaterasu is told another
goddess is present, and thus is lured out of the cave. The
Confucianism was sometimes even linked with moves
myth testifies to the efficacious power of laughter, as well as
to suppress humor. In the seventeenth through the nine-
the gods’ appreciation of humor. In the medieval No¯ play
teenth centuries, Japan witnessed a boom in comic literature
Ema (The votive tablet), Amaterasu is even portrayed as
that illustrates how religion can be subject to satire and paro-
wanting to reenact the myth so that she can enjoy the joke
dy and how some religious orientations can oppose humor.
again. Ame no Uzume’s performance is also often cited as
Informed by Confucian notions of morality and decorum,
the origin of kagura (ritual song and dance offered to the
the Tokugawa regime made frequent, and mostly futile, ef-
gods), rites of possession, and many traditional forms of the-
forts to suppress the upsurge of comic and satirical literature
ater and performance.
that made fun of most aspects of Japanese social, political,
and religious life. One early anonymous work was Hijiri
Though the issue has not been fully argued, some have
yûkaku (The pleasure quarter of the sages), in which the Bud-
suggested that the religions of East Asia are inherently more
dha, Confucius, and the Daoist sage Laozi congregate in
open to humor than the monotheistic religions of the West.
Japan for the purpose of visiting an Osaka brothel run by the
There is probably a degree of truth in this argument. The
Tang poet Li Bo, with his colleague Bai Ju-i as an entertainer.
gods of East Asia tend to be more human than those of the
While some political and religious authorities took offense
monotheistic traditions and not nearly as fastidious about
at much of this satire, it is unclear whether the buddhas and
sexual matters, one of the great sources of humor in human
gods were offended or not.
life.
Daoism. Daoism has taken many forms throughout
CONFUCIANISM, DAOISM, AND BUDDHISM. Though the tra-
Chinese history, and the term is highly contested. As used
ditions of Confucianism, Daoism, and Buddhism have great-
here, it denotes primarily what has sometimes been referred
ly influenced one another and often existed in symbiotic rela-
to as philosophical Daoism, centered on the texts Laozi and
tion to one another, they nevertheless exhibit somewhat
Zhuangzi. While the first of these texts maintains a relative
distinctive orientations to humor.
air of dignity and seriousness, Zhuangzi is marked by a more
Confucianism. Neither Confucius nor Confucianism
humorous orientation and makes considerable use of irony,
is particularly noted for humor. One should never underesti-
paradox, and amusing stories. In its philosophical and liter-
mate, however, the continuous presence of puns, wordplay,
ary forms, which advocated a radical relativism of opposites
sarcasm, and ridicule throughout the Chinese tradition. The
and distinctions, Daoism seems inherently open to a comic
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HUMOR AND RELIGION: HUMOR AND RELIGION IN EAST ASIAN CONTEXTS
4207
and humorous perspective as a way of freeing oneself from
ko¯ans, tales, or behavior, humor became a pedagogical tool
the unnatural constraints imposed by society, the state, and
for teaching the limits and constraints of conventional teach-
an overly rational approach to the world. Daoism also shares
ings and concepts. Humor was, in short, a technique for en-
with Buddhism a sense of the limits of language to describe
suring that one did not take the finger pointing at the moon
reality, thus opening the way for ironic and humorous dis-
as the moon itself. Laughter was also often taken as a sign
plays of the limits of language and concepts. Not a few schol-
of enlightenment, as a mark of having realized the comic ab-
ars have argued that Daoism contributed much to the Chi-
surdity of attempting to apprehend the truth in rational dis-
nese transformation of Buddhism, especially to the use and
tinctions, concepts, and categories. How humor might teach
appreciation of humor in the Chan or Zen schools.
and how laughter is a sign of understanding is concisely com-
municated in a tale about the Chinese master Yangqi, who,
The Zhuangzi, of course, is a locus classicus for many hi-
when about to lecture his disciples on the path to enlighten-
larious images of human limitation that suggest the useless-
ment, simply said: “Ha! Ha! Ha! What’s all this! Go to the
ness of usefulness, the usefulness of uselessness, the irratio-
back of the hall and have some tea!” (Blyth, 1959, p. 90)
nality that undermines the very notion of rationality, and in
general the possibility of liberation from all such categories.
Throughout East Asia, Chan/Zen teachers or figures, be
The famous tale of Zhuang Zhou dreaming he was a butter-
they historical or legendary, often exhibited the behavior of
fly (and then on waking not knowing whether he had
clowns or fools. In China, the “foolish” figures Hanshan and
dreamed of being a butterfly or whether the butterfly was
Shide are well-known both in paintings and tales about
now dreaming of being him) is an amusing and humorous
them. In Japan, Zen figures such as Ikkyu¯, Ryo¯kan (whose
account of a basic human conundrum. The text also makes
name means “great fool”), and Hakuin were known not only
fun of a variety of human proclivities, such as the desire to
for their foolishness but also as self-consciously embracing
better oneself: “A youth of Shouling in the state of Yan stud-
the role of fool. The Japanese Zen master Harada Sogaku
ied the proper way of walking in Handan, the capital of
(1871–1961) even elevated the Buddha himself to the status
Zhao. He failed to learn the distinguished gait of Handan.
of fool. “My admonition, then: Be a Great Fool! You know,
Moreover he unlearned his original way of walking. So he
don’t you, that there was a master [Ryo¯kan] who called him-
came crawling back home on all fours” (Harbsmeier, 1989,
self just that? Now, a petty fool is nothing but a worldling,
p. 303).
but a Great Fool is a Buddha. S´a¯kyamuni and Amita¯bha are
The general Daoist orientation was also one factor mak-
themselves Great Fools, are they not?” (Hyers, 1989, p. 43).
ing possible the appearance of a type of religious figure char-
The foolishness of Zen figures was directed not only at upset-
acterized by extreme eccentricity, drunkenness, or madness.
ting the common-sense assumptions of the day but also the
Well-known examples of such eccentric figures are Liu Ling
rigidity of Buddhist and Zen teachings themselves.
(221–300) and the other members of the Seven Sages of the
LOCAL, INDIGENOUS, AND FOLK TRADITIONS. As has been
Bamboo Grove at the time of the transition from the Han
suggested, what have sometimes been styled as “great tradi-
dynasty to the Jin dynasty. Liu Ling, who often went around
tions” were not only not easily separable but also existed in
his house naked, is remembered for his retort to the objec-
complex relations with what have sometimes been referred
tions of an offended guest: “The universe is my house, and
to as local, indigenous, or folk traditions in China, Korea,
this room is my trousers. What are you doing here inside my
and Japan. Such traditions and practices embraced a variety
trousers?”(Welch, 1957, pp. 124–125)
of types of humor and were also subject to a variety of forms
Buddhist ambivalence. While Buddhism is frequently
of control, suppression, and systematization as they were har-
celebrated in the West for its appreciation of humor, the
nessed to the agendas of emerging kingdoms, imperial sys-
Buddhist attitude to humor has often been ambivalent. The
tems, and modern nation states. As part of these “civilizing”
Buddha himself questioned how any one could laugh given
processes, local traditions were often regarded as “supersti-
the suffering that marked the world. Early Buddhist scholas-
tions,” and the humor they embraced was at times deemed
tics debated whether the Buddha had ever laughed (it was
inappropriate.
decided that only the faintest of smiles had crossed his lips),
Whether motivated by the desire to celebrate auspicious
and the precept concerning right speech was often interpret-
occasions, restore harmony, or divine the future, the center
ed as rejecting laughter and joking. Buddhists have neverthe-
of religious life throughout the indigenous religions of East
less managed to develop at times a rich appreciation of
Asia has been daily and periodic interaction among people,
humor.
ancestors, and gods. Much of the humor related to religion
The most celebrated aspect of the relation of Buddhism
throughout the area may be traced indeed to this ongoing
and humor is no doubt the use of humor in Chan, or Zen.
interaction. In contrast to the gods of the monotheistic tradi-
In an overstatement of his case, D. T. Suzuki argued that
tions, the gods and ancestors of the region seem more human
Zen was the only religion to find room for laughter. In many
in their engagement in and appreciation of a variety of types
respects, Zen schools took to a radical extreme the Buddhist
of humor. In addition, the coming together of people, ances-
teaching that the truth could not be fully conveyed in sym-
tors, and gods often aims at the creation of a “happy atmo-
bols, concepts, and words. Whether expressed in dialogues,
sphere” (Chinese, xiqi) or “celebration” (Japanese iwai) in
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4208
HUMOR AND RELIGION: HUMOR AND RELIGION IN EAST ASIAN CONTEXTS
which people, as well as gods and ancestors, are entertained.
or sanitize sexual humor. Under Mao Zedong, extensive at-
Given that all involved have an appreciation of humor, the
tempts were made to recast Yangge dances into properly rev-
coming together often involves a variety of humorous perfor-
olutionary terms. Throughout the Meiji period (1868–
mances and interactions.
1912) in Japan, efforts were also made to suppress or tone
down some of the more ribald aspects of ritual in an effort
Divination in various forms has played a central role in
to nationalize and civilize some aspects of Shinto¯. Despite
ritual practices throughout East Asia. At present, Chinese
such efforts, at least traces of earlier practices continue.
divination activities continue on a daily basis both at home
in front of the ancestors’ shrine and publicly in temples. The
Humor has a prominent role to play in the kut, the ritu-
most common articles for divination now are comma-shaped
al conducted by mansin (shamans), that plays a central role
pieces of wood that are flat on one side and convex on the
in Korea’s indigenous religion and aims at harmonizing the
other. The inquirer must throw a pair of such blocks in such
relations of gods, ancestors, and the living. The kut has been
a way as to produce one up and the other down. If both land
described as a “living and loud event with some mistakes,
flat, the god has refused the request, but if both land rocking
much skill, clumsy moments, copious wine, and considerable
on the round side, the gods are “laughing.” This is not an
laughter” (Kendall, 1985, pp. 20–21). While various aspects
outright refusal; the inquirer continues. Humor has also
of the interaction of gods, ancestors, shamans, and people in
played a role in divinatory practices in Japan. The No¯ play
the kut can provoke laughter, there is one being in particular
Ema (The votive tablet) even presents the gods as making fun
that the shaman can call upon and embody who frequently,
of people for wanting to divine the future when the gods
if not inevitably, will add humor and levity to the interac-
have already pledged to bestow their blessings.
tion. This is Changbu, a female, clownlike figure linked with
the spirits of actors, singers, and acrobats. In addition to of-
Ritual and festivals. Ritual life and festivals—be they
fering advice, Changbu engages in making fun of people,
Buddhist, Shinto¯, or, as was more often the case, a complex
particularly if they do not seem disposed to accept the advice
symbiosis of the two—have been marked by humor through-
the shaman has offered or have not sufficiently contributed
out Japanese history. Though there are solemn Buddhist and
money to support the proceedings. By engaging in actions
Shinto¯ rituals, many ritual complexes contain humorous di-
such as tweaking the breasts of the recalcitrant, Changbu
mensions, the gods and buddhas of many shrines and tem-
sometimes transgresses the boundaries of decorum in a way
ples enjoy humorous performances, and serious rituals often
that causes consternation to some and provokes laughter in
have a comic counterpart known as modoki. There is even
others. In a somewhat similar fashion, shamanistic rituals in
a tradition of festivals devoted to laughter—warai matsuri,
Taiwan not infrequently involve similar comic behavior on
or laughing festivals—in which the central ritual act is laugh-
the part of the gods and spirits evoked.
ing. As seen in a ritual held annually in May at the Atsuta
Shrine in Nagoya, even shrines closely linked with Imperial
Korean tiger, Chinese Budai. In Korea, humor is also
Shinto¯ (and thus more focused on maintaining an air of dig-
linked with the activities of the tiger, an important figure in
nity and solemnity) are marked by laughter. Following rites
myth and folklore who has sometimes been understood as
of purification to commemorate the shrine’s being entrusted
a trickster figure. Like tricksters, the tiger appears in a variety
with a sacred sword (one of the imperial regalia), the priests
of guises and roles; exhibits contradictory features (some-
begin to laugh aloud and are soon joined in laughter by the
times benevolently working for good, at others wreaking
crowds gathered there. Folklorists remain a bit uncertain,
havoc); and frequently plays tricks, many of which backfire
however, about just what everyone is laughing about.
on him or her. In addition to serving as the messenger and
companion of the mountain god, tigers have also served as
Some of the ritual humor to be found throughout East
guides and aids of shamans. In many tales, tigers are identi-
Asia is of a sexual nature and is often linked with agriculture
fied as Horangi (young boy tiger), a name suggestive of such
and fertility rituals. At a small festival in the mountains of
tigers’ playfulness and mischievousness. It is a bit difficult to
Mikawa in Japan, the gods Ebisu and Daikoku appear. The
determine whether all of these tigers are the same tiger or
latter must declare what he has brought with him, and the
whether there are different types of tigers. When appearing
fun involves him producing, after some hesitation, a larger-
in his more malevolent form, the tiger’s tricks and plans
than-life-size phallus. Yanagita Kunio (1875–1962), a pio-
often backfire, and he becomes an object of laughter. When
neering scholar of folklore and humor in Japan, has noted
appearing as a more benevolent figure, the tiger often serves
that some female mountain deities seem to be amused by and
to reveal the foolishness of people’s actions and preoccupa-
partake in the laughter provoked by the display of a small
tions. Images of the tiger are also common in the visual arts.
dried fish. Furthermore, in China, occasions of festivity
A common folk painting of Horangi, believed to be capable
sometimes involve ribald humor such as in the Yangge (rice-
of repelling evil or bad fortune, often depicts the tiger in hu-
sprout songs) performances at Chinese New Year or in the
morous fashion as smiling, sometimes almost idiotically.
dances featuring masked figures in the Nuo rituals still held
in peripheral areas of China or among minority groups. Rib-
An important humorous figure in East Asia who illus-
ald humor is also found throughout Korean folk songs. Ef-
trates the difficulties of discussing religion in terms of dis-
forts have often been made, it should be noted, to suppress
crete schools and traditions is the Chinese figure Budai (Jap-
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HUMOR AND RELIGION: HUMOR AND RELIGION IN EAST ASIAN CONTEXTS
4209
anese, Hotei), who is sometimes referred to as the Laughing
be found in Giak) incorporates Buddhist and shamanistic
Buddha and whose legends, at least by some accounts, are
music and frequently holds up Buddhist monks and mem-
based on the life of a Chinese monk of the Tang dynasty
bers of the literati for ridicule. In the comic Japanese Kyo¯gen
(618–907). The name Budai means “sackcloth” and was sup-
theater, monks and other religious figures are often the ob-
posedly given to the monk because of his habit of carrying
ject of humor, and the gods themselves are often portrayed
his meager worldly possessions in a sackcloth over his shoul-
in comic fashion. In the play Asaina, Enma—the god of the
der. In sculpture and painting, Budai is portrayed as a jolly,
underworld—lets a hunter off lightly for the crime of killing
fat monk with his large stomach protruding from his dishev-
animals when the hunter introduces the god to the delights
eled robes. One of his major activities seems to have been
of eating roasted meat. The humor directed at religion in
playing with children. Budai also came to be regarded as an
these plays, however, cannot be simply taken as a rejection
incarnation of the future buddha Maitreya, both popularly
of religion. As suggested above, such plays were not infre-
and by some schools of Zen that sometimes enshrine images
quently understood as being performed for the entertain-
of Budai as Maitreya. In China, Budai as Maitreya appears
ment of the gods.
as a masked laughing man dancing with dragon dancers at
The literary traditions of East Asia are also replete with
festive occasions such as New Years. In Japan, Hotei appears
stories, novels, tales, poems, and songs in which humor and
as one of the Seven Gods of Fortune (shichifukujin) and is
religion are entwined in every conceivable way. A single ex-
the patron deity of fortune-tellers and liquor merchants. His
ample must suffice here: Xiyouji, translated as The Journey to
sack of material goods now inexhaustible, Hotei is also re-
the West, one of the most celebrated of Chinese works of lit-
garded as a source of material blessings.
erature. The work narrates the journey of the monk Tang
HUMOR, RELIGION, AND THE ARTS. Another vast area pro-
Sanzang, aided by Sun Wukong, or Monkey, to India for
viding evidence of the links between humor and religion is
Buddhist scriptures to bring back to China. The tale might
to be found in the rich traditions of visual art, literature, folk
be regarded as a comedy and contains numerous humorous
tales, theater, and a range of performing arts, including song,
episodes. Towards the beginning of the tale, the Buddha
dance, music, and storytelling, found throughout East Asia.
agrees to confer divine status on Monkey if he is able to jump
The origins of many of these art forms are traced to the activ-
over the Buddha’s hand, but to make him do penance if he
ities of the gods, cultural heroes, and various types of holy
fails. Having acquired magical powers and believing himself
personages. In addition, all of these art forms have at one
up to the task, Monkey thinks the Buddha a fool and accepts
time or another been offered at shrines, temples, and other
the proposition. Jumping to what seems the outer edge of
places for the entertainment of the gods. It is not unusual
the cosmos, Monkey writes his name on five pillars he finds
for art forms such as sculpture, song and dance, or theater
there to mark his achievement. For good measure, he also
to be conceived as vehicles for rendering the gods present in
pisses on one before leaving. When Monkey returns to where
this world. Comic, humorous, and ribald elements are not
the Buddha is waiting, the Buddha holds up one hand with
at all rare in these art forms.
Monkey’s name written on each finger and with one finger
stained yellow.
Throughout the region, temples and shrines often con-
tain a stage or area set aside for the performance of rituals,
As suggested, the visual arts throughout the region also
plays, dances, and a variety of other performing arts. Such
include many works linking humor and religion. A well-
performances have pleased the gods throughout history and
known subject in painting is the Three Doctrines, which
frequently contain humorous elements. At Takachiho in
portrays the Buddha, Confucius, and Laozi together as away
Kyushu, as well as other places throughout Japan, perfor-
of symbolizing the unity of the three religions (though it has
mances offered as entertainment for the gods depict an old
been noted that some of the paintings do attempt to subtly
couple attempting to have sex with somewhat hilarious re-
suggest the superiority of one of the three). At least in a num-
sults. In contemporary Taiwan, some temples are equipped
ber of the paintings, such as that by the early-fifteenth-
with a television appropriately placed so that the gods may
century Japanese painter Josetsu, there is a general comic air,
view it without impediment.
and the Buddha and Laozi are depicted as smiling in such
a way as to suggest that they are either chuckling or about
Various forms of theater and performance throughout
to chuckle. Confucius, it must be admitted, looks a bit som-
the area also make extensive use of humor and satire in rela-
ber. There is the suggestion, however, that a degree of mirth
tion to religion. The Japanese Gigaku (Korean, Giak) is a
is involved in the coming together and recognition of the
form of Buddhist masked drama originating in China and
unity of the three religions.
transmitted from Korea to Japan in the seventh century. A
fourteenth-century Japanese text describes the masked per-
SEE ALSO Carnival; Clowns; Tricksters.
formance as containing comic scenes making fun of the evils
of drunkenness and lewd behavior. Traditional forms of the-
BIBLIOGRAPHY
ater, however, also make fun of religious figures and, at
There are no general overviews of humor and religion in East Asia,
times, even the gods themselves. The traditional Korean
and few books and essays even centered on more discrete as-
masked dance play Sandae (some of whose roots may perhaps
pects of the topic. Though not focusing on religion, a num-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4210
HUMOR AND RELIGION: HUMOR AND ISLAM
ber of popular books on humor in East Asia have appeared
some entry to the roles humor plays in Korean religions: Ed-
throughout the twentieth century. Some of these works are
ward R. Canda, “The Korean Tiger: Trickster and Servant
still capable of providing inspiration. A classic, popular work
of the Sacred,” Korea Journal 21, no. 11 (1981): 22–38; Suk-
of this sort is R. H. Blyth’s Oriental Humor (Tokyo, 1959),
kee Yoh, “Farcical Elements in Korean Mask Plays,” in
a work that covers China, Korea, and Japan and touches fre-
Humor in Korean Literature, edited by Chun Shin-yong
quently on religion. Reference here might also be made to
(Seoul, 1977); and Young-pil Kwon, “Humor: An Aesthetic
George Kao, ed., Chinese Wit and Humor (New York, 1974),
Value in Korean Art, Especially as Expressed in Scholarly
an anthology of Chinese humor giving considerable place to
Painting,” Korea Journal 37, no. 1 (1997): 68–80. Laurel
the humor to be found in the Chinese classics. In many re-
Kendall’s, Shamans, Housewives, and Other Restless Spirits:
spects, the work of scholars has yet to appreciate and develop
Women in Korean Ritual Life (Honolulu, 1985) provides
the insight about the importance of humor in culture and re-
some discussion of Changbu.
ligion to be found in such works.
For Japan, an overview of the history of concepts of humor, with
A useful starting point for exploring more scholarly discussions of
some reference to religion, is offered in Marguerite Wells,
the topic is Philosophy East and West 39, no. 3 (1989), an
Japanese Humor (New York, 1997). In addition to providing
issue of the journal devoted to the role of humor in Asian
an overview of humor in Japan, Howard Hibbett’s The Chry-
thought. Particularly useful for placing the topic in compara-
santhemum and the Fish: Japanese Humor since the Age of the
tive perspective is John Morreall’s “The Rejection of Humor
Shoguns (Tokyo, 2002) presents a detailed survey and analy-
in Western Thought,” pp. 243–266, which suggests how cer-
sis of the voluminous satiric literature of the Edo period,
tain philosophical assumptions have led many Western
much of which was related to religion. Arthur H. Thornhill
scholars to downplay the importance of humor. Morreall’s
III’s Six Circles, One Dewdrop: The Religio-Aesthetic World of
Comedy, Tragedy, and Religion (Albany, N.Y., 1999) contains
Komparu Zenchiku (Princeton, N.J., 1993) contains an excel-
a chapter devoted to Asian religions that, like his article, at-
lent discussion of the myth of the heavenly cave and later in-
tempts to put the issues in comparative perspective.
terpretations of the myth in Japan.
There are a number of valuable discussions of the place of humor
For humor in the performing arts, the religious themes appearing
in Chinese religious thought and philosophy. Among the ar-
in the comic art of rakugo are discussed in Heinz Morioka
ticles included in the issue of Philosophy East and West cited
and Miyoko Sasaki, Rakugo: The Popular Narrative Art of
above are Christopher Harbsmeier, “Humor in Ancient Chi-
Japan (Cambridge, Mass., 1990), and the religious themes
nese Philosophy,” pp. 243–266, and Joel J. Kupperman,
in Kyo¯gen are considered in Carolyn Anne Morley, Transfor-
“Chuang Tzu’s Strategies of Communication,”
mation, Miracles, and Mischief: The Mountain Priest Plays of
pp. 289–311. Harbsmeier’s “Confucius Ridens: Humor in
Kyo¯gen (Ithaca, N.Y., 1993). Discussions of humor and reli-
Ancient Chinese Philosophy,” Harvard Journal of Asiatic
gion relating to folk religion can be found in Fanny Hagin
Studies 50 (1990): 136–161, and David R. Knechtges’s “Wit,
Mayer, “Japanese Folk Humor,” Asian Folklore Studies 41,
Humor, and Satire in Early Chinese Literature (to A.D.
no. 2 (1982): 187–200; Shuhei Kikkawa, “The Function of
220),” Monumenta Serica 29 (1971): 79–98, also provide
Laughter in Japanese Religious Ritual,” Tokushima Bunri
valuable contributions to the topic. Humor in relation to
Daigaku Hikaku Bunka Kenkyujo¯ Nenpo¯ 10 (1994): 29–44;
Chan/Zen is treated at length in Conrad Hyers’s The Laugh-
and Goh Abe, “A Ritual Performance of Laughter in South-
ing Buddha: Zen and the Comic Spirit (Wolfeboro, N.H.,
ern Japan,” Australian Journal of Comedy 7, no. 2 (2001):
1989).
16–24. A discussion of the role of parody, satire, and humor
in response to Aum Shinrikyo¯ can be found in Richard A.
Karin Myhre’s “Wit and Humor,” in The Columbia History of
Gardner, “‘The Blessing of Living in a Country Where There
Chinese Literature, edited by Victor H. Mair (New York,
Are Senryu¯!’: Humor in the Response to Aum Shinrikyo¯,”
2001), pp. 132–138, is a valuable discussion of Chinese no-
Asian Folklore Studies 61, no. 1 (2002): 35–75.
tions of humor, with some reference to religion. Victor H.
Mair and Maxine Belmont Weinstein’s “Popular Literature:
RICHARD A. GARDNER (2005)
Part I: Folk Literature,” in The Indiana Companion to Tradi-
SCOTT DAVIS (2005)
tional Chinese Literature, edited by William H. Nienhauser
(Bloomington, Ind., 1986), pp. 75–81, provides an orienta-
tion to the place of joke books and folk humor in Chinese
literature. Both of these volumes also contain a number of
HUMOR AND RELIGION: HUMOR AND ISLAM
relevant articles and bibliographies. A study of humor in
“Do not seek to put man in a cosmic dimension, but to hu-
Chinese art and literature that also touches on religion
throughout is Henry W. Wells’s Traditional Chinese Humor:
manize the cosmos, for there surely is laughter, and strength
A Study in Art and Literature (Bloomington, Ind., 1971). Hu
against tragedy” (Orfalea and Elmusa, p. 153). Thus the
Pi-ching’s “Feng Meng-lung’s Treasury of Laughs: Humor-
Arab American poet Eugene Paul Nasser neatly sums up the
ous Satire in 17th Century Chinese Culture and Society,”
interdependency of religion and humor while acknowledging
Journal of Asian Studies 57 (1998): 1042–1048, provides a
a certain inevitable tension between those of earnest and
good introduction to the some of the vast body of satirical
those of ironic inclination. Laughter, like music, dance, alco-
literature in China that includes satires of religion.
hol or drugs, love, and poetry, can be considered threatening
Though Korean culture is rich in humor, there are few English
to religion because of its powerful attraction. Although it can
language discussions of the topic, particularly in relation to
be co-opted, repressed, or embraced, it cannot be ignored.
religion. The following works, however, provide at least
A Tunisian trickster tale was the author’s introduction to the
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HUMOR AND RELIGION: HUMOR AND ISLAM
4211
world of humor and Islam. Shared by an unlettered thirty-
taken-for-granted interrogated needs to be done. Some ex-
five-year-old North African mother of four over tea on a cold
amples of debate about the appropriateness of humor in
spring afternoon in 1967, the tale for some might humanize
Islam are offered in the conclusion.
the cosmos a little too much, but for many over the centuries
Humor appears in religiously central Muslim texts, in-
and around the Mediterranean Sea, it has borne an essential
cluding the QurDa¯n and h:ad¯ıths, in texts or oral traditions
charm. In it the trickster Juha, not a religious figure, finds
of specific locales, embedded in larger ritual and festival prac-
himself at odds with a religious practice and religious author-
tices, and as a central expectation within certain antinomian
ity. He is annoyed at the noise of his small town muezzin’s
Muslim groups. The joking behavior can be directed toward
early morning call to prayer and the subsequent arising of his
fellow practitioners or, as in the Juha story, to the arduous-
mother, who takes their only blanket for prayers. Juha’s sim-
ness of following the basic directives, or can emerge from a
ple solution is to cut off the muezzin’s head and pitch it
generational dissonance. For example, the son of a famous
down a well. Juha is unfazed by his deed, but his mother cov-
S:u¯f¯ı irreverently refers to the formulaic and protracted ex-
ers up for him by secretly throwing a ram’s head down the
change of greetings, compliments and blessings between his
well so it is what is discovered when the townspeople search
S:u¯f¯ı father and members of his brotherhood as “ping-pong.”
for the missing muezzin. The punch line, yelled up by the
Further, humor can ease tensions or comment on relations
investigator from inside the well, is, “Oh townspeople, does
between Muslims and non-Muslims. These humorous incur-
your muezzin have horns?” (Dundes, p. 310; Chanfrault,
sions reflect but also overtly or obliquely comment on, evalu-
pp. 54–55).
ate, and reimagine shared and personal religious (and other)
To associate humor with Islam might disconcert readers
phenomena (Webber, 1987). A humorous look at religious
of publications that stereotype Muslims as essentially humor-
practice can be a resource for vulnerable or marginalized
less and incompatible with the West, members of “a different
Muslims, as in many trickster stories, providing a safety valve
civilization” living in the “land of bloody borders” (Hunting-
and sometimes protection for the subaltern, the old, the
ton, 258). And indeed some Muslims, like some Christians
poor, and the young—especially young women or minori-
and Jews, are serious. Yet M. Conrad Hyers, in Holy Laugh-
ties—to resist power or to defend themselves by humorously
ter, cautions that “the [religiously] over zealous, the fanatic,
calling attention to the fates of those who harm them. In all
the excommunicator and executioner . . . are nearly always
cases the cosmos is made relevant to the human condition.
serious, contemptuous of frivolity and giggles” (Hyers,
RELIGION AS EVERDAY LIFE. Religion is a marked off catego-
p. 245). He finds in religious humor the antidote to zealotry.
ry so that a certain comportment is expected in the presence
Like the tale above, such humor tends to cluster around areas
of religious leaders, sacred texts, sacred performances and sa-
of social or personal tension or difficulty—in Juha’s case, the
cred space. Sometimes these expectations get in the way of
challenge of required prayers.
what really matters and laughter can restore the balance.
The examples of Islam and humor that follow, selected
Boundaries between the religious and the every day are
from different centuries, regions, and classes and from both
often relaxed in the “little traditions,” and this is a locus of
oral and written sources, tend toward breaking down hierar-
criticism by the more conservative keepers of the “great tradi-
chies, creating liminal spaces that offer a chance to see facets
tion,” itself in flux. The effects of this collapsing vary from
of the Muslim experience afresh as they are played out in per-
one situation to another, but the incongruity catches the at-
sonal and congregational, micro and macro situations. In
tention of the audience—in a narrative, an essay, a mawlid
some examples secular humor is used to critique religion,
(birthday, anniversary), children’s play—and opens up the
whereas in others religious humor is used to highlight social
space for insight or revelation.
ills. Some examples have been chosen for their Muslim sub-
Children. The religious behaviors of children provide
ject matter, some because the Muslim humorist drew on
unexpected, amusing examples of interweaving of the sacred
humor for religiously informed ethical instruction, and some
with playfulness. In 1968 in a Tunisian kindergarten little
because the protagonist of a humorous joke or anecdote is
boys sometimes used the school’s dolls to play funeral—with
represented as a religious figure and thus a lesson might be
procession and improvised prayers—causing the Muslim
expected. Each is offered to crystallize a certain facet of Mus-
teachers to gasp and laugh. In 1985 in a mosque in Toledo,
lim artful managing of confluences of humor and Islam or
Ohio, startled smiles were elicited from adults who noticed
to point to a locus where humor seems often to emerge with-
little boys lined up between their fathers for prayer bowing
in a religious context. No doubt other loci will occur to read-
forward contrapuntally to the grownups to play peekaboo
ers from their own experiences. (Nonreligiously referenced
with their small friends to their left and right in the row of
joking behavior of people who happen to be Muslim is be-
worshippers. In such circumstances children innocently play
yond the scope of this entry.) Although women’s humor as
the part of outsiders, the uninitiated, and thus remind adult
well as laughter in noninstitutionalized or marginal spaces is
adherents of the constructedness of religious practice.
attended to here, more study of humor from the geographi-
cal, social, gender, religious, and class hinterlands from
Memories of childhood religious rituals from an adult’s
whence new thoughts and practices tend to emerge and the
perspective are also a source of humor and perhaps proble-
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4212
HUMOR AND RELIGION: HUMOR AND ISLAM
matize that ritual. In “Theft in Broad Daylight” the scholar
sires or their human and humorous consequences. In the Jo-
Abdulaziz Abbassi recalls the day as a young schoolboy in his
seph Sura v. 30–32 the wife of Potiphar, the Egyptian who
Moroccan hometown that he was tricked into his Muslim-
bought Joseph, has attempted to seduce him and her lady
ordained circumcision:
friends are condemning her. Thus follows an amusing scene
when she invites the women to dine. As they are peeling fruit
And why were the barbers [at his friend Hassan’s
she has Joseph appear unexpectedly and her guests are so af-
house]? Was it to cleanse or purify you before you were
allowed to play with Hassan’s [pet] rooster? Or, was it
fected by his beauty that they lose control of their knives and,
to cleanse and purify you after the incident . . . when
en mass, knick their hands instead of the fruit, intimating
a female cousin on the verge of womanhood tricked you
that they might have behaved no better than she had they
into playing body-intertwine with her? Were these peo-
been in her situation. Again, this humor in the QurDa¯n col-
ple going to let the rooster’s blood or yours? . . . All
lapses the distance between the sacred and the everyday,
efforts to struggle out of their tight grip proved futile.
brings some Muslims closer to God and even helps believers
The last thing you remembered before fainting was bit-
not fear death (Mir, 1991).
ing desperately at someone’s arm. Later you found out
that poetic justice had prevailed. It was rumored that
Female modesty can also be a locus of humor when jux-
it took Hassan’s father months of doctor’s visits, fre-
taposed with a new technology. In an 1874 cartoon in an Is-
quent dressings, and medication before the bite healed.
tanbul journal, a veiled woman instructs her photographer,
(Abbassi, pp. 226–227)
“above all . . . I want a good likeness.” (Georgeon, p. 109)
The elderly. Postmenopausal women are both powerful
Muslims in the West. Sometimes a participant observer
and supposedly naive and thus able to commingle the reli-
finds the juxtaposition of sacred and profane humorously
gious and religiously abjured without the communal censor-
and touchingly jarring. The poet H. S. Hamod finds himself
ship that any others except young children, holy fools, or the
next to a busy South Dakota highway as his father, grandfa-
simpleminded might incur. The following joke about an old
ther, and father’s friend have insisted that he stop his car so
lady returning from pilgrimage going through Egyptian cus-
they can pray on their Navaho blanket-turned-prayer-rug as
toms takes this to extremes. Each duty-laden item in her bag
night falls:
is respectfully forgiven by the customs official due to its reli-
gious import (e.g., the imported television she claimed she
me, driving the 1959 Lincoln ninety miles an hour
needed for the sermons of a well-known religious leader, the
“STOP, STOP this car.” . . . I stop . . . car lights
tape recorder to listen to QurDanic recitations) until the cus-
stream by more than I’ve ever seen in South Dakota
toms official finds the whiskey. “Whiskey, oh h:a¯jja (pil-
. . . they discuss which direction is East after a few
minutes it’s decided it must be that way they face what
grim)?” She explains that as an old lady the circumambula-
must surely be South they face their East . . . . Three
tion of the KaEbah was too much for her. Thus, she says, “I
old men chanting the QurDa¯n in the middle of a South
drink two glasses, and the KaEbah goes around me!” (Ibra-
Dakota night Allahu Ahkbar Allahu Ahkbar . . . more
him, p. 207). This joke critiques the use of the h:a¯jj as a shop-
cars flash by malik a youm a deen . . . . I’m embar-
ping trip (a kind of money changers in the Temple critique)
rassed to be with them en umta ailiy him . . . people
and religious hypocrisy, while appropriating the hajja’s de-
stream by, an old woman strains a gawk at them wil-
ployment of her old lady status to evade a younger male au-
lathouu leen . . . . I’m standing guard now. (Orfalea
thority figure.
and Elmusa, pp. 165–168)
Women. Passion within marriage is considered neces-
The refusal of the older men to acknowledge “mundane” dif-
sary, and it is not out of bounds for women to allude to it
ficulties to fulfilling prayer requirements puts the worldlier
humorously even in some religious settings. So, one after-
poet into a betwixt and between situation, striving to medi-
noon in the late 1970s in Tunisia women and children were
ate for himself and his readers religious and everyday, East-
sitting in the shrine of a wal¯ı (Sidi Ahmed) celebrating with
West perspectives.
feasting the recovery one woman’s husband from an acci-
H:ija¯bs (head scarfs), sometimes a focus of cultural ten-
dent. At this ziya¯ra (visit) to a local wal¯ı tomb, some women
sion in both east and west, can also be mediated through
in the cool, dusky shrine were getting semi-permanent small,
humor. In a comedy club in the United States, Tissa Hami,
lacy decorations of harcous, a black, smoky and clove-scented
an American stand-up comedian who is “covered,” lets her
cosmetic painted on their hands or feet. Admiring the intri-
scarf introduce part of who she is to her audience as she jokes
cate scented decoration on her little finger, a young wife
about the marginality of Muslims in the United States. “It
laughed, “I am putting this right next to [my husband’s] nose
was scary growing up Iranian in this country,” she tells her
tonight” (Webber 1991, p. 188)—yet another example of
audiences, “but when other kids teased me, I threatened to
bringing the cosmos home.
take them hostage” (Potier, p. 2). Another joke told by con-
The convergence of the sacred and sexual, especially as
temporary American Muslims not only collapses together re-
it relates to women’s desires, seems to be less problematic for
ligious and secular concerns, but also comments on U.S. reli-
the Muslim community than for Judaic or Christian com-
gious diversity, assumptions about Muslims, immigrant
munities. The QurDa¯n itself does not ignore God-given de-
name changes, and immigrant fears about generational divi-
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HUMOR AND RELIGION: HUMOR AND ISLAM
4213
sions and loss of identity. A Muslim immigrant named Mo-
takes note of divine justice for a woman seemingly without
hamed starts his first day of school in his new country. As
recourse.
the youngsters introduce themselves, the teacher tells him
Impetuous words that cannot legally be unsaid are the
that Mohamed is not an American name. They will call him
cause of laughter for all but the miscreant who is caught with
Mike. That night when his parents ask how his day went,
his or her self-control down. Conflation of the sacred, secu-
he doesn’t answer, until finally he announces that they must
lar, and sexual often results in humorous moments. Accord-
now address him as Mike. He is spanked for being insolent.
ing to shar¯ı Eah, once a man swears thrice that he divorces
The next day his teacher asks him how his first day in Ameri-
his wife, she is divorced, and they cannot be remarried unless
ca had gone. He grouses, “One day in America and I’m at-
she is first married to and divorced from another. Mirth and
tacked by two terrorists.”
good stories arise from cases in which a divorced wife is wed
POWERFUL WORDS AND IMPETUOUS ITERATIONS. In curses
supposedly temporarily to a friend of the former spouse, who
the sacred and profane are often collapsed together, and
she then decides she prefers. It is a cautionary tale that de-
Muslim profanities can be a locus of humor. Many, probably
pends for its effectiveness on humorous sexual humiliation.
most, curses are not meant seriously, and Muslims do not
SUBALTERN RESISTANCE, HUMOR, AND ISLAM. Muslim au-
feel that an impulsive curse is binding or effective but a mo-
thorities recognized the vulnerability of their religion to the
mentary loss of control that can bring laughter in the appro-
condescension of nineteenth-century colonizers of Asia and
priate context. In 1996 in Tunisia an extended family was
Africa. The Orientalist impulse to appropriate the East’s in-
socializing while a fragile old auntie was praying in the midst
tellectual heritage included an assumed mastery of and thus
of them, as women often do. Small children disrupted her
right to critically interrogate its religions. Foreign scholars
by their tumbling on and around her prayer mat—oblivious
found fault with Islamic and other religious practices of the
to her or a sacred space and moment. She stopped in the
colonized. For their part, the colonized, made marginal to
middle of her prayers, roundly cursed them and then contin-
their own religious traditions, could through religious-based
ued praying. Youths and other adults in the room then had
humor resist, mediate, and educate across religions and cul-
to step quietly outside, muffling their laughter. (Laughter in
tures. In his work on the Egyptians of the early 1800s, Ed-
prayer time, as opposed to, say, a smile, invalidates the
ward Lane strives to document Egyptian (usually Cairene)
prayer.) In literary collections as well, humorous accounts of
lifestyles with little regard for individual personalities or hu-
inappropriate behaviors during mosque prayers or attempts
manity. But in the few cases in which Egyptians are quoted,
to repress one’s laughter in the holy site abound. However,
readers glimpse witty, appealing Muslim individuals. In one
this particular example might also be likened to the
anecdote an Egyptian Muslim friend learns that another
singlemindedness of the old men praying on their Navaho
Egyptian has asked Lane for his watch (sa Dah). Because saDah
rug by the side of a superhighway in South Dakota. For
also means “hour” or “period of general judgment,” Lane’s
most, these incidences of less-than-perfect prayer perfor-
friend suggests that Lane return an “equivocal and evasive
mances offer occasions to celebrate the lives of the prayers
answer” taken from the QurDa¯n: “Verily the saDah shall come:
and the unexpected gift of a good story.
I will surely make it to appear” (Lane, pp. 280–281). Where-
In 1967 the author and another Peace Corps volunteer
as Lane uses this humorous riposte to illustrate what he sees
were team teaching with two teenage Muslim women in a
as an unfortunate Muslim tendency to confound the sacred
Tunisian kindergarten. One day the Muslims remembered
with the everyday, readers might rather glimpse an appealing
the curse “[When you die] may you be buried in the grave-
personality in the unnamed Egyptian friend, a man steeped
yard of the Christians” and “cursed” their Christian counter-
in the witty culture of Muslim literati (udaba D) that often de-
parts with giggling glee. During the colonial period, just
pends for effect on a shared knowledge of the QurDa¯n.
ended at the time, this was a bitter curse “othering” a fellow
In another story Lane challenges a Muslim friend con-
townsperson who might be a bit of an “Uncle Ahmed.”
cerning the propriety of a certain book that when closed has
Using it in a new context, among friends, conveyed a good
a page relating a scene of debauchery covering a page of
bit about the new leveling of hierarchies. Similarly parents
prayer. His friend jokes that Lane could simply turn the book
quite often rain curses down on the heads of their misbehav-
over so that the prayer page would cover the debauchery—
ing young children only to shift their ire to any other adult
the sin would then be covered by forgiveness. To Lane the
who would dare to intone, “amen” (Webber, 1991, p. 189,
incident proved Egyptians hypocrites. “The generality of the
n.18).
Arabs,” Lane concludes, are “a most inconsistent people”
Even when a curse works, it is sometimes cause for, if
(Lane, p. 280). Readers might find, however, that the Mus-
not unabashed laughter, a satisfied snort. In a Tunisian town
lim’s urbane witticism provides proof of a more subtle, mul-
a descendant of a well-known wal¯ı [holy person] had a phi-
tinuanced world than the one Lane perceived.
landering husband. After enduring years of his roaming, she
TRICKSTERS. Muslim tricksters, like the Mediterranean
finally cursed him with a deadly disease, and he caught it and
Juha, who is also sometimes Jewish or Christian, are humans
died. As time passes and the story is told and retold, the re-
whose humorous escapades only intermittently attend to reli-
gret for the death recedes and the local community wryly
gion. Juha’s religiously linked escapades are irreverent 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
4214
HUMOR AND RELIGION: HUMOR AND ISLAM
collapse hierarchies so that Juha in some narratives can even
taboo breaking. By definition these trickster-like religious
outsmart or bargain with God, much as he outsmarts the rich
figures, like the storied tricksters, violate social norms and
or the learned. Two other tricksters are Nasruddin Hodja or
embrace unconventional and liminal behavior including dis-
Mullah Nasruddin—poor, rural, low-level religious teachers
regard of Islamic ritual practices and contravention of reli-
or scholars, sometimes judges. They, like Juha, are at least
gious law (Karamustafa, pp. 17-18). Poverty, of course, ac-
quasi-legendary with times of birth and death and place of
centuates perceptions of deviance and sometimes
burial contradictorily noted in various sources. Sidi Khadir,
antinomians even gave up great wealth to embark on their
like some wal¯ıs and wal¯ıyyas, has supernatural powers and
antinomian way.
is trickster-like, causing confusion through his miracles
(Webber, 1991, pp. 143, 160, 189). Like Juha, Nasruddin
Ahmet Karamustafa’s (1994) intriguing work on the an-
Hodja or Mullah Nasruddin are found in various transfor-
tinomian dervishes, wandering S:u¯f¯ı groups that spread from
mations around the Mediterranean. Perhaps because the
Egypt to South Asia between 1200 and 1550 BCE, illustrates
rough and tumble antics of Juha are tempered in the latter
some of the behaviors of the religious groups known for
two tricksters by the quasi-respectability endowed by their
mirth and merrymaking and assessed as riffraff by the elite,
religiously evocative honorifics, the latter two tricksters take
who felt that “Islam was at the mercy of spiritual delin-
on somewhat more respectable personae. They are comic ge-
quents” (Karamustafa, p. 9). The boisterous commentary of
niuses, folk philosophers, and a bit less messy and more so-
these “men of good humour” actually puts the dervishes in
cially acceptable than Juha. Depending on the listener’s or
danger from the establishment, religious and otherwise, by
reader’s acceptance of the trickster protagonists’ credentials,
their trickster-like behaviors—combining mirth and merry-
the stories might be expected to offer a religious or ethical
making with dance and ecstasy, wine drinking, hashish
life lesson even if the narrative itself is not overtly religious.
smoking, homosexuality (or chastity), “dependence on love
In adab (Arabic corpus of belles lettres) tricksters are often
to the point of disregarding reason,” and so on (Karamustafa,
a humorous Sancho Panza–type sidekick or a master of dis-
p. 72). Evoking the image of a holy fool, the leader of one
guise, but again their escapades only incidentally involve reli-
group, the Abdals, brought merriment when he “danced like
gion.
a bear and sang like a monkey” (Karamustafa, p. 1). Thus,
like the tricksters, the antinomians tend toward a motley of
The following Nasruddin account, one of thousands,
dress, ignoring of boundaries—social, temporal, and spa-
could be used as the opener to a speech to raise charitable
tial—and amorality, exhibition of human-animal dualism,
donations or in a conversation with a family member who
and so on.
is borrowing or lending money. Like most of the hodja and
mullah stories, it addresses topics of communal tension, such
TRADITIONAL ADAB, RELIGION, AND HUMOR. What com-
as haves and have-nots, money, and judgmental individuals.
prises adab has varied over the centuries, but its core genres
The story’s seeming senselessness amuses and intrigues the
might be defined at any one time and place as those estab-
listener or reader long enough that some underlying recur-
lished udaba D (masters of adab) choose to include in their
rent cultural and communal quandaries can be confronted:
broad repertoires: knowledge of philosophy (Greek, Roman,
Persian, Arabic), history, manners, theology, sermons, travel
The Mullah went to see a rich man. “Give me some
narratives, biography and autobiography, sex manuals, prov-
money.” “Why?” “I want to buy . . . an elephant.” “If
erbs, riddles, tall tales, humorous narratives; a keen assess-
you have no money, you can’t afford to keep an ele-
ment of middle-class society; and the ability to write engag-
phant.” “I came here,” said Nasruddin, “to get money,
ingly about such topics according to or challenging aesthetic
not advice.” (Shah, p.13.)
norms. Although adab shares plots, themes, tales, motifs, and
Why the impulse in the Abrahamic traditions toward
genres with popular aesthetic culture, a central distinguish-
humorous human tricksters like Till Eulenspeigel, Pedro de
ing feature of adab is that it is written and transmitted by
Urdemalas, and Juha? A trickster in human form, it seems,
a renowned author living the lifestyle of an artist who was,
has a different cultural role than trickster as animal or as god
even in the fairly recent past, sometimes on the fringes, less
(or as animal-supernatural being). These legendary, lower-
frequently in the center, of a rarified court lifestyle (Allen,
class tricksters, rogues, and fools are not so other as magical
p. 170). Basic to all scholars was their thorough knowledge
or supernatural tricksters: their behaviors, however foolish,
of religious texts—beginning with QurDa¯n memorization.
quirky, or outrageous, can be identified by listeners or read-
In many cases this training continues in the twenty-first
ers with their own curtailed impulses or moments of whimsy
century.
but writ large and run out to their logical (illogical) conclu-
Being able to write humorously was an important talent
sions.
for the udaba D, especially during those times when they were
In many trickster escapades involving encounters with
dependent on wealthy patrons, so humorous incidents about
the religious establishment, tricksters violate the most basic
misreading or misuse of QurDanic verses are drawn on as ac-
rules of Islam. Thus, their reverently irreverent behavior is
cessible to most everyone. In early adab ridicule also surfaced
reminiscent of that of socially vulnerable antinomian S:u¯f¯ıs,
in debates over the relative merits of other religions, especial-
dervishes and holy fools and their real-life uses of humor and
ly Zoroastrianism and Christianity. Franz Rosenthal does
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUMOR AND RELIGION: HUMOR AND ISLAM
4215
not see this early humor as an attack “upon the established
obscenity after another. ‘How dare you talk like that on pil-
religion or expressions of a liberal and skeptical spirit” but
grimage! It’s not me on pilgrimage, stupid, it’s my camel!
comic relief on notice of unexpected deviation from well-
Can’t you see that I’m the one sitting and it’s doing the walk-
known “literary expressions and ritualistic practices” (Rosen-
ing?’” (Colville, p. 206).
thal, p. 28). Some adab humor, however, definitely seems to
Not surprisingly given the number required each day,
express the liberal or ironic outlook of a jaded, bohemian
speedy prayer is also a source of humor. Udaba D report their
community. In his satiric debate “The Pleasure of Girls and
protagonists—buffoons, tricksters, and effeminates—
Boys Compared,” for example, the Basran adib Jahiz (c.
drawing upon quotes from the QurDa¯n and h:ad¯ıth for proof
776–868 CE), who was also a religious scholar, has his fic-
that making long prayers is a sign of false piety or accusing
tional debaters cite verses from the QurDa¯n to bolster their
the slower prayer of having an inordinate number of sins to
sexual preferences for boys or girls. Such quotes from the
assuage.
QurDa¯n as those of Jahiz and the quote from Lane’s friend
cited previously are humorous because they are frivolous ap-
ISLAM AND HUMOR: CRITIQUES AND DIALOGUE. Humor in
plications from a sacred source. Mistakes in use of QurDanic
religion introduces a bit (or more) of the chaotic into what
references, which most people knew so well, could also cause
some feel should be a sober and controlled cultural do-
laughter: “Abu EAlgamah mentioned the name of the wolf
main—hence attempts to control the uncontrollable. Some
who ate the Biblical and QurDanic Joseph, and when he was
joking behavior might be acceptable only among insiders.
told that Joseph was not eaten by a wolf, he said that the
Some Islamic leaders in colonial Cairo felt that the kinds of
name he had mentioned, then, was the name of the wolf that
humor incorporated into the mawlid festivals, the levity and
did not eat Joseph” (Rosenthal, p. 10, n. 5).
buffoonery, made Islam appear ridiculous in Western eyes
and so attempted to manage them. Censorship of religious
Inability to recognize a common QurDanic quote can
humor, like that of certain mullah tales in Iran following the
also cause laughter. The adib Abu al-Faraj al-Isfahani
fall of the shah, results in risky humor retreating to oral and
(d. 967 CE) notes an occasion in the mosque when the ima¯m
private venues.
recited, “And why should I not serve Him Who created me?”
(QurDa¯n 36:22), a witty effeminate, al-Dalal, responded, “I
And yet there are apologists for some joking behavior
don’t know,” and caused most of the worshippers to laugh
even on the fault lines of religious sectarianism. “The joking
and invalidate their prayers (Rowson, p. 683).
is not a problem,” one middle-aged family man told the au-
thor in 1986 about the jokes Muslim and Coptic neighbors
A theme that runs though earlier adab is attribution of
in Cairo tell on each other, “It’s time to worry when the jok-
humorous, daring statements to the Prophet, seemingly
ing stops.” Laughter might be troubling but also allows space
again humanizing the cosmos. The early poet Hassan ibn
for insight or creativity. Altogether most Islamic leaders
Thabit observes “that the Prophet was not as puritanical as
viewed joking and laughter relatively positively, although
some people imagine” (cited in Mir, p. 162). Sexual banter
bringing in examples from the behavior of the Prophet and
is attributed to the Prophet in the form of h:ad¯ıth (Rosenthal,
his companions would be taboo for some. Only hurtful,
p. 29). And class-based humor also invokes the QurDa¯n as
mocking laughter is consistently criticized.
when Yusuf Shirbini, cited by Nelly Hanna, quotes the igno-
rant commoners’ Eulama¯D as claiming to have a copy of the
Still debates about the place of humor in Islam surface
QurDa¯n in the author’s handwriting, or as asking for a sum-
in times of change or crisis, and sometimes this results in
mary of the QurDa¯n since the original is too difficult for his
harsh treatment of the perceived irreverent. For example, an
students (Hanna, p. 77).
ima¯m of the early fifteenth century, Ibn Sudun al Busbugawi,
wrote in Egypt during a time of failing economy due to the
The practice of listing h:ad¯ıth transmitters is also made
costs of a large army, of recurrent plague, and of famine. Re-
light of. Rosenthal reports that the famous early adib AshDab,
ligion and humor were not his principal preoccupation (rath-
on being advised by religious critics that it would be more
er perhaps food and hashish), but in his work The Diversion
becoming for him to transmit traditions than tell his inap-
of the Souls: Bringing a Laugh to a Scowling Face, after pre-
propriate jokes, offered this h:ad¯ıth, “I was told by Nafi D . . .
senting his favorite rice recipes, he mildly joshes Muslim po-
on the authority of Ibn EUmar that the Messenger of God
tion sellers about the efficacy of their products as well as
said: ‘A man in whom there are found two qualities belongs
Muslims who claim exclusive access to heaven: “He who eats
to God’s chosen friends.’” When his critic then compliment-
two platefuls [of the rice] after lunch and two platefuls after
ed AshDab and asked what these two qualities were, he replied
dinner for forty years on end . . . will never fall sick, unless
that NafiD had forgotten one and he, AshDab, had forgotten
from some disease, and he will not die, except when his allot-
the other (Rosenthal, p. 117).
ted time is up; and if he should die a Muslim he will enter
The five pillars of Islam—profession, prayers, almsgiv-
Paradise” (cited in Vrolijk, p. 28). Indeed he also penned a
ing, fasting, and pilgrimage—also are resources for udaba D
loving, rather humorous poem about his mother upon her
wit. “A man on pilgrimage was glaring at a slave girl as
death—behavior that was (and still is) criticized later by
though she were a heathen in the pulpit. Her arms were bare,
more conservative Muslims but which is evocative of some
her skin was as white as palm-core and she was mouthing one
contemporary memorial services or of wake reminiscences.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4216
HUMOR AND RELIGION: HUMOR AND ISLAM
He remembers, “When I ran away from my teacher and my
Allen, Roger. An Introduction to Arabic Literature. New York,
dad was chasing after me to send me back, my mother always
2000.
found me a hiding place” (Vrolijk, p. 45). And he jokingly
Ammann, Ludwig. Vorbild und Vernunft: Die Regelung von Lachen
reproaches her for her choice of heaven over him: “You’ve
und Scherzen im mittelalterlichen Islam. Arabische Texte und
gone up to heaven to God who forgives all / How on earth
Studien Band 5. New York, 1993. A thorough look at the
could it please you to leave me / you were never like that be-
development of Islamic attitudes about humor deriving from
fore” (Vrolijk, p. 134). Again, a familiar approach collapses
scholarly and folk considerations of the QurDa¯n, the sunnah,
the distance between the cosmos and the quotidian and thus
and pre-Islamic Arab, Persian, Greek aesthetics. Ammann
between the son and his missed mother. Perhaps the hard
also considers differences between theories about joking be-
havior and its practice in everyday medieval life and in adab.
times account for that fact that Ibn Sudun’s humor and deca-
Contains a complete index and bibliography.
dent behavior displeased both his father and Cairene reli-
gious authorities to such a degree that he was exiled to Da-
Babcock-Abrahams, Barbara. “‘A Tolerated Margin of Mess’: The
Trickster and His Tales Reconsidered.” Journal of the Folk-
mascus near the end of his life.
lore Institute 11, no. 3 (1975): 147–184.
Another incident of attempted repression of humor oc-
Burke, Peter. Popular Culture in Early Modern Europe. New York,
curred in 1877, when the Ottoman parliament debated the
1978. See chap. 8 for a lengthy description of Christian-
issue of press humor during wartime. More conservative
dom’s attempts between 1500 and 1800 to repress local reli-
members—Muslims and non-Muslims alike—felt that
gious “irreverent” culture. The adib, with his capacity for the
humor was frivolous and dangerous, whereas others felt that
impudent and the heretical, seemed better able to avoid re-
it was religiously encouraged even though printing presses at
pression. Rabelais might be the closest in early modern Eu-
that time (like the Internet of the twenty-first century per-
rope to the irreverence and voracious interest in popular cul-
haps) had made a much broader dissemination of humor
ture of some udabaD (although lacking the equivalent of the
religious training of the adib).
possible. In fact the Egyptian Boulaq Press had already, al-
most fifty years earlier, published a collection of Ottoman
Chanfrault, Bernard. “Jeha (Djoha) en Tunisie: De la tradition au
Turkish Nasruddin Hodja tales. The great majority of depu-
modernisme; Approche socio-historique de l’anecdote orale.”
Revue du Monde Musulman et de la Méditerranée 77–78, nos.
ties defended humor as having a social utility.
3–4 (1996): 51–59.
Whatever is officially decided in any one time or place
Christen, Kimberly A. Clowns and Tricksters: An Encyclopedia of
about the relation between humor and Islam, humor will ac-
Tradition and Culture. Oxford, 1998. Short descriptions of
crete to Islam and to its texts and practices, and Muslims will
almost two hundred trickster figures, including Juha, Khadir,
be the first to find, through irreverence, a means to point out
Mullah Nasruddin, and Nasruddin Khodja. Includes refer-
the dissonances between Islamic ideals and the practices of
ences and further readings.
those claiming to adhere to them (Sultan-Qurraie, chap. 4).
Colville, Jim, comp. and trans. Sobriety and Mirth: A Selection of
In Casablanca in the last decade of the twentieth century, the
the Shorter Writings of Al-Jahiz. London, 2002. Jahiz was a
new Hasan II Mosque, a pet project of the king of Morocco,
specialist in adab who humorously considered the prejudices
had just been completed in a slum area by the Atlantic
and inequalities in Basra and in the comfortable cosmopoli-
Ocean. It is absolutely lovely and drew on the talents of Mo-
tan world of imperial Baghdad. He humorously and irrever-
roccan artisans for stonework, woodwork, and mosaics. It
ently considers misers, the pretentious, exploiters of homo-
sexuals and eunuchs. Quite often his setting for a humorous
has the tallest minaret in the world. The problem was that
account of inappropriate behavior is a mosque or during a
the middle classes especially felt that their financial contribu-
religiously prescribed event, such as pilgrimage, fasts, prayers.
tions (the mosque cost $800 million) were more extortions
than contributions and that, besides the sewage and flooding
Dundes, Alan, and Taoufik Bradai. “Tales of a Tunisian Trick-
ster.” Southern Folklore Quarterly 27, no. 4 (1963): 300–315.
problems the mosque has exacerbated in the slum, the con-
See p. 310 for a thorough discussion of the muezzin’s head
trast between the opulence of the mosque and the poverty
tale included in this entry and consult the article for an ex-
of its surroundings jars on some of the faithful. Thus jokes
tensive bibliography on the Middle East and North African
about the mosque abound in the realm of private, verbal art
trickster and connections of his stories with similar interna-
of the local Muslim community. Most popular seemed to be
tional motif and tale types.
an ironic caution about standing outside one’s local mosque
Georgeon, Francois. “Rire dans l’Empire ottoman? ” Revue du
during crowded Friday noon prayer time waiting to get in
Monde Musulman et de la Méditerranée 77–78, nos. 3–4
to pray. “Let’s go home,” goes the punch line, “‘he’ might
(1996): 89–109. A consideration of laughter and attitudes
decide to build another one.”
about laughter within the Ottoman Empire. The author
concludes that laughter, especially religious laughter like that
SEE ALSO Mawlid; Tricksters, overview article.
of the Karagoz puppet shows put on during religious “occa-
sions” such as circumcisions and Ramadan, was extinguished
B
with the demise of the empire.
IBLIOGRAPHY
Abbassi, Abdelaziz. “Theft in Broad Daylight.” In Remembering
Hanna, Nelly. In Praise of Books: A Cultural History of Cairo’s Mid-
Childhood in the Middle East, collected and edited by Eliza-
dle Class, Sixteenth to the Eighteenth Century. Syracuse, N.Y.,
beth Warnock Fernea, pp. 222–231. Austin, Tex., 2002.
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
HUMOR AND RELIGION: HUMOR AND ISLAM
4217
Huntington, Samuel P. The Clash of Civilizations: Remaking of
ing” (p. 180). Mir cites Sarah and Solomon laughing and
World Order. New York, 1996. Historical study indicates
several amusing scenes involving Moses. He points to carica-
that theories of the inevitability of civilizational clashes can
tures of a Meccan leader and of Medinan hypocrites. He con-
become self-fulfilling prophecies. Issues with borders would
cludes that the attempt to collapse distance between sacred
better be addressed by attention to how, when, why, and by
and profane may in itself be humorous.
whom certain borders were established rather than assuming
Orfalea, Gregory, and Sharif Elmusa, eds. Grape Leaves: A Century
the culpability of Islamdom.
of Arab-American Poetry. New York, 1988; reprint, 2000.
Hyers, M. Conrad, ed. Holy Laughter: Essays on Religion in the
Contains Arab American poetry of Christians, like Nasser,
Comic Perspective. New York, 1969.
and Muslims, like Hamod.
Ibrahim, Amr Helmy. “La nokta egyptienne ou l’absolu de la souv-
Potier, Beth. “The Big Picture: Tessa Hami, Comedian.” Harvard
erainete.” Revue du Monde Musulman et de la Méditerranée
University Gazette, January 8, 2004. Available from http://
77–78, no. 3–4 (1996): 199–212. This article on Egyptian
www.news.harvard.edu/gazette/.
jokes briefly considers the power of laughter as the power to
Redfield, Robert. Peasant Society and Culture. Chicago, 1956. The
stop revolutions.
little traditions–great traditions split was parsed by Redfield
Karamustafa, Ahmet T. God’s Unruly Friends: Dervish Groups in
in this work (see pp. 83–86, 99–100 for his discussion of
the Islamic Later Middle Period, 1200–1550. Salt Lake City,
Islam in particular) and modified by Burke and others. It is
Utah, 1994. A fascinating reappraisal of the social roles of an-
a problematic split because the process of negotiating “reali-
tinomian dervishes. Situates levity in the midst of other devi-
ty” is much the same for each. Also see Karamustafa’s discus-
ant behaviors, such as drug use and motley dress, and investi-
sion of the “methodological poverty of the two-tiered model
gates their religious, political, and class significances.
of religion” (Karamustafa, p. 10) and Burke’s discussion
Excellent bibliography, index, and notes.
(Burke, pp. 26–28).
Kilpatrick, Hilary. “Review of Vorbild und Vernunft by Ludwig
Rosenthal, Franz. Humor in Early Islam. Philadelphia, 1956. This
Ammann.” Der Islam 76 (1999): 177–180. A useful review
work provides an extensive bibliography especially good for
of Ammann’s book that covers in detail its contributions to
the Arabic sources.
the topic and notes that the complexities of adab literature’s
Rowson, Everett K. “The Effeminates of Early Medina.” Journal
treatment of humor need to be more thoroughly addressed.
of the American Oriental Society 111, no. 4 (1991): 671–693.
Lane, E. W. An Account of the Manners and Customs of the Modern
The “effeminates” (probably transvestites) were useful as mu-
Egyptians (1836). New York, 1978.
sicians and go-betweens. The article is concerned with what
can be learned about the effeminates’ roles in society during
Long, Burke O. Imagining the Holy Land: Maps, Models, and Fan-
the early Islamic centuries. Clearly they often played central
tasy Travels. Bloomington: Ind., 2003.
roles as artists, wits, and intellectuals and as confidants of
Marzolph, Ulrich. Arabia Ridens: Die humoristische Kurzprosa der
both men and women. Also clearly they were at times cen-
frühen adab-literatur im internationalen. Frankfürt, Germa-
sured, banished, and even put to death during less-permissive
ny, 1992. This is a consideration of early adab humor in the
times for their representations of self, or their sexual stances
context of world literature. Because Marzolph is a folklorist,
as well as their irreverence.
he extensively considers the material using both the Aarne-
Rowson, Everett K. “Review of Arabia Ridens by Ulrich Marzol-
Thompson tale type index and also Thompson’s motif index,
ph.” Journal of the American Oriental Society 115, no. 3
thus bringing in similar humorous material from other parts
(1995): 493–496. A thorough review that also points out
of the world, especially Europe. He considers the reshaping
some possible weaknesses in Marzolph’s work.
of anecdotes as they fit into different cultural times and con-
texts, both Muslim (Persian, Afghan, Berber, and so on) and
Rowson, Everett K. “Review of Vorbild und Vernunft by Ludwig
otherwise. His bibliography, citing references from early Per-
Ammann.” Journal of the American Oriental Society 115, no.
sian and Arabic to the twentieth century, is particularly
3 (1995): 491–493. Rowson concludes that Ammann’s “pic-
useful.
ture of both life and literature in medieval Islamic society is
. . . on the whole considerably grimmer than what the evi-
Marzolph, Ulrich. “Molla Nasr al-Din in Persia.” Iranian Studies
dence actually suggests” (p. 493).
28 (1995): 157–174. Discussion of the place of the mullah
and Juha in Persia, past and present, with attention to the
Scott, James C. Weapons of the Weak. New Haven, Conn., 1985.
issues of censorship of his stories by clergy, examples of the
Shah, Idries. The Pleasantries of the Incredible Mulla Nasrudin.
intermingling of Arabic, Persian, and Turkish stories, and ex-
London, 1968.
tensive bibliography on related figures like Juha, Bohlul, and
Sultan-Qurraie, Hadi. Modern Azeri Literature: Identity, Gender,
Nasruddin Hodja in the Ottoman tradition.
and Politics in the Poetry of Mo Djuz. Bloomington, Ind., 2003.
Masliyah, Sadok. “Curses and Insults in Iraqi Arabic.” Journal of
Chap. 4 is an important contribution to discussion of the
Semitic Studies 46, no. 2 (2001): 267–308.
Azeri Muslim tradition of humor and satire.
Mir, Mustansir. “Humor in the QurDan.” Muslim World 81, nos.
Vrolijk, Arnoud. Bringing a Laugh to a Scowling Face: A Study and
3–4 (1991): 179-193. Mir observes that humor in religion
Critical Edition of the “Nuzhat Aljj-nufus Wa-mudhik
can be an object of suspicion because humor collapses the
Al- Eabus” by EAli Ibn Sudun al-Basbugawi (Cairo 810/1407–
distance needed to evoke “reverence and awe” (p. 180). On
Damascus 868/1464). Leiden, Netherlands, 1998. The mid-
the other hand, QurDanic humor, especially ironic humor,
fifteenth-century “Cairene lowlife character” Ibn Sudun, a
can inspire religious insight or “elucidate a theological teach-
trained theologian known also as a buffoon and hashishi 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
4218
HUMOR AND RELIGION: HUMOR, IRONY, AND THE COMIC
exiled finally from Cairo to Damascus by judgmental
When . . . thou seest persons laughing, reflect that
Mamlu¯k authorities. His work is in the adab tradition, show-
those teeth, that grin now, will one day have to sustain
ing facility with diverse literary styles. The first part, “Serious
that most dreadful wailing and gnashing, and that they
Poetry,” is only half as long as the second part, “On Pleasant-
will remember this same laugh on That Day whilst they
ries,” which contains numerous examples of humor and
are grinding and gnashing! Then thou too shalt remem-
Islam. Chap. 3 of Vrolijk’s work contrasts the broader out-
ber this laugh! (Concerning the Statutes, Homily XX.
look of Ibn Sudun’s libertine attitude with that of contempo-
Cited in Gilhus, p. 63)
rary Egyptian and Western critics. A 178-page Arabic, criti-
But if laughter was contemptible, weeping—over Christ’s
cally edited synthesis of several redactions is included.
death, one’s own sin, and the threat of eternal damnation—
Webber, Sabra J. “The Social Significance of the Cairene Nukta.”
was to be praised and recommended (for more on this idea
American Research Center in Egypt Newsletter 138 (1987):
see Gilhus, chapter 4). This condemnation of laughter seems
1–9.
largely to do with its bodily nature, the idea being that laugh-
Webber, Sabra J. Romancing the Real: Folklore and Ethnographic
ter had to be conquered as part and parcel of controlling the
Representation in North Africa. Philadelphia, 1991.
body. As Gilhus puts it, “The more the body was closed
Wesselski, Albert. Der Hodscha NasruddinWeimar. Duncker, Ger-
against the world, the more the soul was opened up to God”
many, 1911. An early compilation of the Nassredin stories,
including Turkish, Berber, Arabic, Maltese, Sicilian, Calabri-
(p. 67).
an, Croatian, Serbian, and Greek jokes and stories.
THE FEAST OF FOOLS: A MORE POSITIVE VIEW. Though
S
there were exceptions to the disapproving view of humor in
ABRA J. WEBBER (2005)
early Christianity—chiefly among the Gnostics, several of
whose myths included laughter as a reaction to a clash be-
tween a material and spiritual interpretation of events—it
HUMOR AND RELIGION: HUMOR, IRONY,
was not until the medieval period that a far more positive
AND THE COMIC IN WESTERN THEOLOGY
view of laughter and the comic emerged. According to sever-
AND PHILOSOPHY
al scholars, this was largely the result of a changed view of
In the history of Western theology and philosophy, humor
the human body, related not least to the centrality of the Eu-
and religion have had a stormy relationship. Attitudes to
charist and an increased emphasis upon Christianity as a reli-
humor and joking—and especially to laughter—have ranged
gion of incarnation. It is from such factors that Mikhail
from wholesale condemnation, to qualified acceptance
Bakhtin generates his influential view of the Middle Ages’
and praise of certain forms of humor, to more enthusiastic
“laughter culture” in his seminal book Rabelais and His
acceptance.
World. The festivals of this period included the Feast of
THE SEPARATION OF HUMOR AND RELIGION. The separa-
Fools, nearly all the rituals of which were, according to Bakh-
tion of humor and religion cannot be understood without
tin, “a grotesque degradation of various church rituals and
understanding attitudes to laughter in the history of Western
symbols and their transfer to the material bodily level: glut-
philosophy and theology. For centuries, the condemnation
tony and drunken orgies on the altar table, indecent gestures,
of laughter was commonplace. Among the ancient Greeks,
disrobing” (pp. 74–75).
for instance, Plato associates indulgence in laughter with the
loss of self-control. In his Republic, the guardians who are to
Certainly, parody and revelry of various kinds were cen-
govern the ideal society must not be “too fond of laughter”
tral to such carnivals. The contrast between the likes of John
(388e), and no literature portraying the gods or other reputa-
Chrysostom and the writers of an apology for such activities
ble characters as overcome with laughter can be permitted
issued by the Paris School of Theology in 1444 could hardly
in the ideal polis. Aristotle is rather more charitable, and as
be starker. The apologists claim that “foolishness” is humani-
we shall shortly see, views wit (eutrapelia) as a virtue. Never-
ty’s “second nature,” and stress the importance of its being
theless, in the Poetics he still associates comedy with some-
given the opportunity to “freely spend itself at least once a
thing “lowly.” In comedy we laugh at the imitation of those
year.” Humans are compared to badly constructed wine bar-
inferior to us because of their “ridiculousness . . . a particu-
rels, “which would burst from the wine of wisdom, if this
lar form of the shameful” (1449a). A comic character is ludi-
wine remains in a state of constant fermentation of piousness
crous in respect of some “error or unseemliness that is not
and fear of God.” Just as such wine must be given air so that
painful or destructive” (1449a). Numerous Greek, Jewish,
it does not spoil, so the church must allow folly on certain
and Christian ascetics took as an ideal the perfect human
days “so that we may later return with greater zeal to the ser-
who never laughed. In the Christian tradition, Luke 6:25 re-
vice of God” (quoted by Bakhtin, p. 75). This can be seen
ports Jesus as saying “Woe to you who laugh now, for you
as an embryonic version of the so-called relief or release theo-
will mourn and weep.” Much was made of this verse by early
ry of humor or laughter, later developed in more detail by
Christian ascetics in judging laughter to be contemptible.
Herbert Spencer and Sigmund Freud.
John Chrysostom (347–407 CE) has been cited as the first
STRIKING THE MEAN: ST. THOMAS AQUINAS. But the Mid-
to point out that the gospels never portray Jesus as laughing,
dle Ages also provide a mean between the extremes described
and the former’s condemnation of laughter is typical of a
by Bakhtin and the ascetic despisers of laughter. St. Thomas
common attitude in early Christianity:
Aquinas, for instance, shows a markedly greater tolerance of
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HUMOR AND RELIGION: HUMOR, IRONY, AND THE COMIC
4219
laughter than does John Chrysostom. Drawing on Aristotle,
terfield’s mid-eighteenth-century letters to his son: “There is
according to whose Nicomachean Ethics wit (eutrapelia) is a
nothing so illiberal, and so ill-bred, as audible laughter. . . .
virtue, Aquinas argues that the lack of mirth is a vice. Follow-
I am sure that since I had full use of my reason, nobody has
ing Aristotle, he commends eutrapelia, an application of the
ever heard me laugh.”
doctrine of the golden mean to the sphere of play:
In this view, laughter per se is vulgar, which is in some
Those who go to excess in merry-making [Aristotle]
respects a return to Plato’s view. Several scholars have sug-
calls buffoons (bomolochoi) . . . these people are always
gested that this is rooted in a low evaluation of the body in
ready to seize anything which they can turn to ridicule.
relation to the soul: as Gilhus puts it, “laughter with its an-
Such men are a nuisance through their efforts at all
chorage in the body was . . . devalued against superior rea-
costs to raise a laugh. . . . But he says also that those
son” (p. 101). However, the tide turns again with the in-
who do not want themselves to make a joke and are an-
creasing association of laughter with humor, understood as
noyed by those who do, because they feel insulted, ap-
being rooted in incongruity. Since the ability to perceive in-
pear to be “agrii,” that is, “boorish,” and hard, because
they are not softened by the pleasure of play. . . .
congruity requires rational capacities, rational beings can
Thus Aristotle shows what is the mean in playing. He
view laughter more positively. There is a certain irony in the
says that those who exercise moderation in play are
association with incongruity being viewed as a point in
called eutrapeloi, “well-turning,” because they are able
humor’s favor, however, since others have taken quite a con-
to turn aptly into laughter what is said or done. (St.
trary view. George Santayana, for instance, in The Sense of
Thomas Aquinas, In decem libros Ethicorum Aristotelis
Beauty, insists that the pleasure of humor or the comic can-
ad Nichomachum, lib. iv, lect. 16. Cited in Hugo Rah-
not inhere in incongruity itself; since as rational animals, we
ner, “Eutrapelia: A Forgotten Virtue,” in Hyers, 1969,
are incapable of finding incongruity, absurdity, or nonsense
p. 193)
pleasurable.
The fact that Aristotle, so respected a source for medieval
Overall, then, what we note is a deeply ambivalent rela-
Christianity, praises wittiness and its concomitant laughter
tionship to humor, the comic, and laughter in the religious
appears to be a problem for laughter’s religious enemies. This
thought of the West. For long periods, humor and comedy
issue is given a memorable fictional portrayal in Umberto
were condemned, due largely to their association with such
Eco’s novel The Name of the Rose (1980), in which the laugh-
an inherently bodily phenomenon as laughter, but also be-
ter-hating monastery librarian Jorge is prepared to kill rather
cause of their association with derision or scorn. However,
than allow the discovery of his library’s secret treasure, the
there are more positive views of the connection between reli-
lost second book of Aristotle’s Poetics which praises comedy
gion and humor, irony, and the comic, such as Aquinas’s
and laughter. Though Aquinas’s view of laughter and the
commendation of eutrapelia and, in the Renaissance period,
comic is clearly more measured than that found among cer-
Erasmus’s Praise of Folly. In this respect, two thinkers in par-
tain celebrants of the Feast of Fools, it has often been noted
ticular deserve special mention: G. W. F. Hegel, for whom
that by the medieval period, the church had moved from an
the comic consciousness plays an important role in the histo-
almost entirely negative view of laughter to fostering it ac-
ry of religion; and So⁄ren Kierkegaard, for whom Christianity
tively through religious plays and feasts.
is “the most humorous view of life in world history.”
THE REFORMATION AND BEYOND. However, the Reforma-
HEGEL. G. W. F. Hegel (1770–1831) discusses tragedy and
tion’s more negative view of the body, exemplified by such
comedy in the section on religion in his influential Phenome-
moves as the spiritualization of the Eucharist, marked a turn
nology of Spirit. Central to Hegel’s philosophy is the belief
in the opposite direction: in England, for instance, one Par-
that the world is rational, and the purpose of human enquiry
ticular Baptist group agreed that future members must never
is to bring this rationality to consciousness. Hegel character-
make jokes, and certain Puritan pamphlets, putting the case
izes the Phenomenology as an introduction to his philosophi-
for the closure of theaters, seem to urge a return to John
cal system, and in it, he traces the story of Spirit (Geist) pro-
Chrysostom’s view. (For a somewhat contrary view that dis-
gressively coming to know itself. A vital part of Spirit’s
cusses the significance of Martin Luther in the history of
progress is through various manifestations of religion: from
laughter, see Zwart, chapter 4.)
“natural religion” (e.g. the idea of God as light, and of plant
and animal spirits); through various forms of “religion in the
It is from this general trend that Bakhtin derives his
form of art” (exemplified by the Greeks); to “revealed reli-
view that, in contrast to the Renaissance view of laughter that
gion” (Hegel’s version of Christianity).
he associates with Rabelais, Cervantes, and Shakespeare, for
whom laughter “has a deep philosophical meaning . . . Cer-
Hegel briefly discusses epic, tragedy, and comedy in a
tain aspects of the world are accessible only to laughter”
section entitled “The Spiritual Work of Art” (pp. 439–453).
(p. 66), from the seventeenth century onwards, what laugh-
In an epic, the actions and destiny of the heroes are con-
ter is left becomes diminished: its “cold humor, irony, sar-
trolled by the gods. In tragedy, by contrast, individuals seem
casm” (p. 38) and the like are “a laughter that does not
to have more control over their fate. However, this is largely
laugh” (p. 45). This attitude culminates in one of the best-
illusory, since the hero or heroine is often destroyed by trust-
known of all comments on laughter, from one of Lord Ches-
ing in the seemingly obvious meaning of an ambiguous ut-
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4220
HUMOR AND RELIGION: HUMOR, IRONY, AND THE COMIC
terance of the gods: “The double-tongued character of what
gives rise to the highest stage of religion, “revealed religion,”
they announced as a certainty deceive him” (p. 446). The
in which God achieves self-consciousness through humanity.
hero or heroine’s true powerlessness in relation to the gods
Christianity, for Hegel, constitutes the highest form of reli-
is revealed by the chorus, which “clings to the consciousness
gious consciousness, in its recognition that “the divine nature
of an alien fate” for him or her (p. 445).
is the same as the human” (p. 460): in its incarnation, the
“absolute Being” ascends “for the first time to its own highest
The divine forces in tragedy represent a split between
essence” (p. 460); the world is able “to behold what absolute
the “feminine” pole of family and the “masculine” pole of
Being is, and in it to find itself” (p. 461). In this way, the
state or government. Think, for instance, of Agamemnon,
comic consciousness has a vital role to play in the develop-
commanded by the gods to sacrifice his daughter Iphigenia
ment of what is, for Hegel, the highest form of religion:
in exchange for winds favorable to the fleet, so that it can
sail and sack Troy. Agamemnon is torn between his love for
Christianity as speculative knowledge.
his daughter Iphigenia (the family pole) and his duty as king
KIERKEGAARD. A rather different view of the relationship be-
(the state pole). However, the focus on the character of the
tween humor and religion is to be found in a philosopher
tragic hero or heroine brings about a change in the way the
who is influenced by, and yet in many respects opposes him-
religious consciousness thinks of the gods. Rather than see
self violently to, Hegel: the Danish thinker So⁄ren Kierke-
them as agents directing the lives of the heroes, the divine
gaard (1813–1855). It is ironic that the thinker who makes
becomes viewed as fate, and this “completes the depopula-
one of the most explicit connections between religion and
tion of Heaven. . . . The expulsion of such shadowy, insub-
the comic is typically caricatured as “the melancholy Dane.”
stantial picture-thoughts which was demanded of the philos-
As well as being capable of dazzlingly witty and amusing
ophers of antiquity thus already begins in [Greek] Tragedy”
prose, Kierkegaard makes some striking remarks about
(p. 449).
humor’s relation to Christianity in particular and also to a
This is where comedy enters the picture. In comedy,
more general religious worldview. In his Journals and Papers,
“actual self-consciousness exhibits itself as the fate of the
he makes the extraordinary claim that Christianity is “the
gods” (p. 450): that is, even the gods become selves that are
most humorous view of life in world history” (vol. 2, entry
in an important sense indistinguishable from the actor or
1681).
spectator. Everyone, including the gods, is reduced or lev-
Kierkegaard had a lifelong fascination with Socrates,
eled, as the religious consciousness no longer distinguishes
between the divine and itself. “It is the return of everything
“the greatest master of irony,” on whom he wrote a disserta-
universal into the certainty of itself . . . [a] complete loss of
tion, The Concept of Irony with Continual Reference to Socra-
fear and of essential being on the part of all that is alien”
tes, and he viewed the notoriously obscure writer J. G. Ha-
(pp. 452–453). Hegel thinks that this contains an element
mann as “the greatest humorist” (entry 1554). Kierkegaard’s
of truth: in the words of J. N. Findlay, “The truth of comedy
richest and most extended discussion of religion and the
is that all the great big essential fixtures that stand over
comic, however, is in the Concluding Unscientific Postscript
against self-consciousness are really products of, and at the
(1846), published under the pseudonym Johannes Climacus,
mercy of, self-consciousness” (in Phenomenology of Spirit,
a character who describes himself as a “humorist.” As well
1977, p. 584). Yet this leveling has a downside, as we shall
as containing some of Kierkegaard’s most famous satire at the
shortly see. In contrast to the lonely isolation of the tragic
expense of Hegelianism (for the philosophical significance of
hero or heroine, Hegel characterizes comedy in terms of the
this, see Lippitt, 2000, chapter 2), the Postscript develops im-
self-assertion of the common man in what Findlay calls “his
portant existential roles for irony and humor, subcategories
revolutionary disrespect for everything” (p. 584). Both the
of Kierkegaard’s more generic term “the comic.”
comic consciousness and religion in the form of art are the
Irony and humor serve as confinia, or “boundary zones,”
spirit of an age in which pure individualism is starting to get
between the aesthetic, ethical, and religious existence-spheres
out of control. For Hegel, this is a period, such as the early
or “stages on life’s way.” Climacus sees the ironist as being
Roman Empire, which stresses the rights of an abstract self.
on the boundary between the aesthetic and the ethical life.
But Hegel thinks that such a conception of a right is an
The ironist has seen the limitations of the aesthetic life—a
empty abstraction that needs to be filled by the Spirit of a
life which involves an endless evasive toying with existential
particular people: a particular community or epoch. Thus
possibilities—but has not made the movement to the ethical,
the ostensibly liberating universal disrespect in which the
in which serious choices and commitments for one’s own life
comic consciousness revels is not the liberation it appears to
are made. The contrast here is between a life of fragmented
be. And the “comic consciousness that is perfectly happy
episodes (the aesthetic) and a life of coherent narrative unity
within itself” (p. 455) is brought to completion by its coun-
(the ethical). The ironist possesses an insight, albeit limited,
terpart, the unhappy consciousness, which sees the abstract
into the stage “beyond.” He or she thus occupies a transition-
self for the chimera that it is.
al stage between the two spheres of existence: aware of the
Thus the secular outlook of the comic consciousness
limitations of the former, but unable or unwilling to make
will not do, but crucially, it is its inherent instability that
the move to the latter.
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HUMOR AND RELIGION: HUMOR, IRONY, AND THE COMIC
4221
One key difference between humor and irony, for Cli-
appropriate sort can have an important role to play in the
macus, is that whereas irony is proud, and tends to divide
development of moral and religious virtues, as part of the
one person from another—Climacus describes it in terms of
process of moral education as habituation espoused by Aris-
self-assertion and “teasing” (p. 551)—humor is rather more
totle. (For more on this, see Roberts, 1988, and Lippitt,
gentle, and is concerned with those tragicomic elements of
2005).
the human condition shared by all human beings. Humor
T
thus has a sympathy that irony lacks (p. 582). Moreover, the
HE TWENTIETH CENTURY TO DATE: THEORIES OF
H
humorist also has a more profound understanding of impor-
UMOR. By the latter portion of the twentieth century, it
had become common among philosophers and other schol-
tant elements of life than the ironist: in particular, the hu-
ars interested in humor to treat theories of humor as falling
morist understands that suffering is essential to human life.
into three broad types, based around incongruity, superiori-
(There is a complicated relationship, for Climacus, between
ty, and relief (or the release of energy). Humor had by now
humor and pain.) It is this insight into such aspects of the
become the standard umbrella term, with irony, satire, wit,
religious life as resignation, suffering, and guilt that places
and so on treated as subcategories thereof.
humor, but not irony, at the boundary of the ethical and the
religious.
The incongruity tradition is commonly treated as origi-
nating in the remarks of Immanuel Kant and, in particular,
Climacus equivocates as to whether humor is on the
Arthur Schopenhauer. In The World as Will and Idea Scho-
boundaries of the ethical and Religiousness A (his term for
penhauer claims that “the cause of laughter in every case is
a sort of generic religious consciousness that is aware of the
simply the sudden perception of the incongruity between a
centrality to human life of resignation, suffering, and guilt),
concept and the real objects thought through it in some rela-
or on the boundary of Religiousness A and Religiousness B
tion” (vol. 1, p. 76). Recent writers in this tradition have dis-
(Christianity). But the overall idea seems to be that, as one
agreed as to whether what really causes amusement is the per-
ascends the existence-spheres from the aesthetic to the ethical
ception of incongruity itself, or the resolution of that
to the religious, one develops an ever deeper and more pro-
incongruity: the fitting of an apparent anomaly into some
found sense of the comical in life. Hence Climacus’s claim
conceptual schema.
that a sense of and taste for the comic is intimately related
to one’s existential capabilities: “the more competently a per-
The term incongruity has been used to cover a wide
son exists, the more he will discover the comic” (p. 462).
range of phenomena, from logical impossibility via ambigu-
ity (such as double entendres) to mere inappropriateness
The religious person is described as one who has “dis-
(such as importing into one context what belongs to anoth-
covered the comic on the greatest scale” (p. 462). Such a per-
er). Indeed, so wide has the range of application of the term
son views life as a “jest,” in that she is able to see that all one’s
been that it becomes reasonable to wonder whether it has not
efforts are as nothing, because one is capable of nothing with-
been stretched so far, or used so vaguely, as to cease to be
out God. However, there are limits to Climacus’s praise for
a particularly informative term at all.
humor. First, he stresses that for the seriously religious per-
son, such jest is mixed with “earnestness,” in that one’s ulti-
Another difficulty is whether the incongruity tradition
mate dependence upon God does not detract from the need
puts all the emphasis on form or structure at the expense of
for existential striving. Second, he insists that there are limits
content or context. Even if it were possible to point to an
to what may legitimately be laughed at: there is nothing
element of incongruity in any instance of humor, to what ex-
comic, for instance, about religious suffering (p. 483). (For
tent is it the incongruity (as opposed to, say, the subject mat-
more on Climacus’s account of when the comic is legitimate,
ter, or the surrounding social context, or some combination
see Lippitt, 2000, chapter 7.)
of factors) that is the real cause of amusement? For example,
one joke may be rated as much funnier than another that is
Finally, as well as being “boundary zones,” irony and
entirely identical in structure simply because the former is
humor play a second important role as “incognitos” for ethi-
about sex and the latter about a more neutral topic. This
cal and religious individuals respectively. By acting as a kind
raises a serious question as to whether, in such cases, it can
of existential disguise, irony and humor allow such individu-
really be a purely formal notion such as incongruity that is
als to protect their “inwardness.” Yet also, somewhat para-
doing all the work. These problems notwithstanding, proba-
doxically, they act as means by which what it is to live ethi-
bly a majority of theorists now subscribe to some version of
cally or religiously can be communicated indirectly to those
the idea that incongruity is a central element in humor.
on the boundaries of ethical or religious life. That is, irony
and humor can function as forms of “indirect communica-
The second major theoretical tradition revolves around
tion,” drawing those with the relevant sensitivity towards an
superiority. This can be traced back to Aristotle’s association
ethical or religious life. In this way, Kierkegaard and his
of comedy with the “lowly,” and finds its most famous early
pseudonym Climacus effectively suggest that developing a
modern treatment in Thomas Hobbes’s claim, in his Human
sense for the comic can play a vital part in a radical shift in
Nature, that laughter is “sudden glory arising from some sud-
one’s view of life. More recently, this idea has been developed
den conception of some eminency in ourselves, by compari-
by others to suggest that prolonged exposure to humor of an
son with the infirmity of others, or with our own formerly”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4222
HUMOR AND RELIGION: HUMOR, IRONY, AND THE COMIC
(p. 46). If this is all there is to laughter, it becomes easier to
laughed at for such behaviour coerces us into acting as society
see why so many have held a negative view of it.
demands: laughter is a kind of policeman of the social order.
Again, Bergson’s account seems excessively reductionist, and
But the superiority view is haunted by some problems
he too seems to overlook the childlike playfulness that is so
equivalent to those that haunt the incongruity tradition.
far removed from this laughter of social correction.
First, why do some feelings of superiority (or instances of in-
congruity) manifest themselves in laughter, but not others?
The third major tradition revolves around relief, or the
Second, isn’t Hobbes’s view excessively narrow? It is hard to
release of tension or psychic energy. Herbert Spencer pro-
deny that the misfortune or alleged deficiencies of others is
pounded a relatively simple version of this theory, though the
a staple topic of comedy, from the hackneyed example of the
most important and elaborately worked-out version of it is
man slipping on the banana peel to various kinds of racist
that of Sigmund Freud in Jokes and Their Relation to the Un-
and sexist humor. But how plausible is it to claim that all
conscious. Freud divides jokes into “innocent” and “tenden-
humorous laughter involves Schadenfreude or one of its close
tious,” the latter category being further subdivided into “hos-
relatives?
tile” and “obscene.” Freud’s view of tendentious jokes is in
some ways the opposite of Bergson’s view of laughter as the
One twentieth-century follower of Hobbes, Anthony
policeman of the social order. For Freud, civilization forces
Ludovici, aims to tackle this problem by explaining all laugh-
us to repress our aggressive and sexual desires. Tendentious
ter—humorous and non-humorous—in terms of “superior
jokes allow us to enjoy these pleasures by circumventing the
adaptation.” Under this heading, he includes experiences as
obstacle that stands in the way of the satisfaction of the hos-
diverse as Schadenfreude and the pleasure taken, such as when
tile or lustful instinct. Though the general idea that laughter
enjoying nonsense and absurdity, in a temporary escape from
can provide a release of nervous energy seems plausible,
the need to obey the rules of logic and reason. Thus Ludovici
Freud’s key error, in trying to offer his theory as a scientific
is able to account for a greater variety of humor than is
one, is to take the notion of “psychic energy” too literally,
Hobbes. But he achieves this only by stretching his use of
and to aim to quantify it in a somewhat implausible manner.
terminology in a similar, but arguably more extreme, manner
than sometimes happens in the incongruity tradition.
Various connections can be drawn between these three
theoretical traditions and our earlier discussions. Kierke-
Both Hobbes and Ludovici seem to overlook the atti-
gaard, for instance, treats the essence of the comic as rooted
tude of childlike playfulness that is important to the enjoy-
in contradiction or incongruity, and the interplay of congru-
ment of so much humor. They also have difficulties ade-
ity and incongruity has even been seen as the central feature
quately explaining the phenomenon of laughing at oneself.
around which the whole discussion of humor and religion
For Hobbes, the self at whom I laugh is a former self to
can usefully be oriented. As suggested earlier, the idea that
whom I am now superior; for Ludovici, finding myself in a
humor and laughter are rooted in one’s own perceived supe-
position of inferior adaptation, I feign the sign of superior
riority probably accounts, at least in part, for why laughter
adaptation. Both explanations overlook the fact that one
has so commonly been condemned as irreligious. And, as also
could possibly find one’s own current self genuinely amus-
noted, the justification of “foolishness” given by the apolo-
ing, and that this capacity is central to the ability genuinely
gists for the Feast of Fools seems to trade on an embryonic
to laugh at oneself.
version of the release theory. However, the idea that these
Moreover, this point seems especially relevant to an im-
three traditions are exhaustive should be treated with cau-
portant “religious” use of humor. Many who have seen a pos-
tion, as the significance of many thinkers’ contributions to
itive ethical or religious function for humor (such as Kierke-
this debate will be missed if one attempts to shoehorn their
gaard) have done so because they recognize our capacity to
ideas into one or other of these three traditions.
transcend ourselves in humorous laughter. But as Kierke-
SEE ALSO Carnivals; Clowns; Hegel, G. W. F.; Humor and
gaard’s location of humor as a boundary zone on the verge
Religion, overview article, article on Humor and Islam, and
of the genuinely religious suggests, it is important to recog-
article on Humor and Religion in East Asian Contexts;
nize, pace Hobbes, that it can be one’s current, flawed, self
Kierkegaard, So⁄ren; Tricksters.
at which one is genuinely laughing, rather than some former
self that one has already transcended.
BIBLIOGRAPHY
Another twentieth-century thinker often treated as part
Aristotle. Poetics. Translated by James Hutton. New York, 1982.
of the superiority tradition is Henri Bergson. Central to
Bakhtin, Mikhail. Rabelais and His World. Translated by Helene
Bergson’s treatment of laughter is that it functions as a social
Iswolsky. Cambridge, Mass., 1968. Influential if controver-
corrective. For Bergson, mechanism and inelasticity are the
sial account of the “laughter culture” of the Middle Ages and
key elements of the comic, such that what is funny is “some-
its connection with the work of Rabelais.
thing mechanical encrusted on the living” (p. 84). Society
Berger, Peter. Redeeming Laughter: The Comic Dimension of
requires us to adapt our behaviour to its demands: those who
Human Experience. Berlin, 1997.
fail demonstrate unsociability, treated by Bergson as a kind
Bergson, Henri. Le Rire. Translated as Laughter by C. Brereton
of inelasticity, and are thereby comical. Seeing others
and F. Rothwell. London, 1911. Also included in Comedy,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUNAD
4223
edited by Wylie Sypher. Baltimore, Md., 1956. Page refer-
Morreall, John. Taking Laughter Seriously. Albany, N.Y., 1983.
ence is to this latter edition.
Includes an introduction to various philosophical theories of
Cox, Harvey. The Feast of Fools. Cambridge, Mass., 1969.
laughter, especially those based around superiority, incon-
gruity, and relief.
Eco, Umberto. The Name of the Rose. Translated by William Wea-
ver. London, 1984. Fascinating medieval murder mystery
Morreall, John. “The Rejection of Humor in Western Thought.”
novel, central to which is Christianity’s ambivalent attitude
Philosophy East and West 39 (1989): 243–265.
to comedy and laughter.
Morreall, John. Comedy, Tragedy, and Religion. Albany, N.Y.,
Erasmus. Praise of Folly. Translated by Betty Radice. Harmonds-
1999.
worth, U.K., 1971.
Morreall, John, ed. The Philosophy of Laughter and Humor. Alba-
Freud, Sigmund. Jokes and Their Relation to the Unconscious.
ny, N.Y., 1987. A useful anthology of writings on laughter
Translated by James Strachey. Harmondsworth, U.K., 1976.
and humor by philosophers from Plato to the late twentieth
The most elaborately worked out classic version of the relief
century.
or release theory.
Roberts, Robert C. “Humor and the Virtues.” Inquiry 31 (1988):
Gilhus, Ingvild Saelid. Laughing Gods, Weeping Virgins: Laughter
127–149. Argues that a sense of humor of a certain kind is
in the History of Religion. London, 1997. Very useful survey
a virtue, but only if it is allied with compassion and hope.
from ancient Greece and Judaism to the present day, focus-
Roche, Mark William. Tragedy and Comedy: A Systematic Study
ing especially on Christianity.
and a Critique of Hegel. Albany, N.Y., 1998.
Hegel, G. W. F. Phenomenology of Spirit (1807). Translated by
A. V. Miller, with analysis of the text and foreword by J. N.
Schopenhauer, Arthur. The World as Will and Idea. Translated by
Findlay. Oxford, 1977.
R. B. Haldane and J. Kemp. London, 1883. Schopenhauer’s
major philosophical work, which includes (as something of
Hobbes, Thomas. Human Nature. In The English Works of Thom-
an aside) a classic statement of the incongruity theory.
as Hobbes, vol. 4, edited by W. Molesworth. London, 1840.
Contains a classic statement of the superiority theory.
Screech, M. A. Laughter at the Foot of the Cross. London, 1997.
Hyers, M. Conrad, ed. Holy Laughter: Essays on Religion in the
On laughter, humor, and Christianity, focusing especially on
Comic Perspective. New York, 1969. See especially Reinhold
Erasmus and Rabelais.
Niebuhr, “Humor and Faith,” and Hugo Rahner, “Eutra-
Trueblood, Elton. The Humor of Christ. New York, 1964.
pelia: A Forgotten Virtue.”
Whedbee, J. William. The Bible and the Comic Vision. Cambridge,
Hyers, M. Conrad. The Comic Vision and the Christian Faith. New
U.K., 1998.
York, 1981.
Zwart, Hub. Ethical Consensus and the Truth of Laughter. Kam-
Hyers, M. Conrad. The Spirituality of Comedy: Comic Heroism in
pen, Netherlands, 1996. On the role of laughter in moral
a Tragic World. New Brunswick, N.J., 1996.
transformations; draws on Bakhtin, Nietzsche, Bataille, and
Kierkegaard, So⁄ren. The Concept of Irony with Continual Reference
Foucault, and discusses Socrates, Luther, and Ibsen.
to Socrates. Edited and translated by H. V. and E. H. Hong.
JOHN LIPPITT (2005)
Princeton, N.J., 1989.
Kierkegaard, So⁄ren. Concluding Unscientific Postscript to Philosoph-
ical Fragments. Edited and translated by H. V. and E. H.
Hong. Princeton, N.J., 1992.
HUNAD (c. 216–c. 297) was a leading second-generation
Kuschel, Karl-Josef. Laughter: A Theological Reflection. London,
Babylonian amora, based in the city of Sura. Along with his
1994.
colleague Yehudah bar Yeh:ezqeDl, HunaD expanded the work
Lippitt, John. “Humour and Incongruity.” Cogito 8, no. 2 (1994):
of the first amoraim who employed the Mishnah to spread
147–153. A critical discussion of Schopenhauer and others.
rabbinic Judaism. He focused directly on the Mishnah, clari-
Lippitt, John. “Humour and Superiority.” Cogito 9, no. 1 (1995):
fying it and citing alternative or disputing tannaitic sources.
54–61. A critical discussion of Hobbes and others.
He played a key role in presenting the traditions of Rav, his
Lippitt, John. “Humour and Release.” Cogito 9, no. 2 (1995):
main teacher (B.T., Shab. 128a), and, in explaining Rav’s
169–176. A critical discussion of (predominantly) Freud.
and, occasionally, ShemuDel’s dicta, he treated unclear legal
Lippitt, John. Humour and Irony in Kierkegaard’s Thought. Lon-
points and new cases and developed independent teachings
don, 2000. On the roles of irony, humor, and satire as forms
(Epstein, 1964). He instructed students and other rabbis in
of the comic in Kierkegaard, and their wider relevance for
such diverse areas as ritual laws, ethics, and practical behavior
ethical and religious thought.
(e.g., B.T., Ber. 6b, Shab. 23b, Pes. 105a). Stories, possibly
Lippitt, John. “Is a Sense of Humour a Virtue?” The Monist 88,
reflecting educational developments, attribute outstanding
no. 1 (2005). A response to Roberts’s “Humor and the Vir-
features to his study sessions (B.T., Ket. 106a) and promi-
tues.” Draws on Aristotle and Kierkegaard to argue that a
nently associate him with the kallah, a periodic academic
sense of humor, while not a distinct virtue, has an important
convention that lasted several days and was open to masters
role to play in moral education, given humor’s ability to
and disciples (Goodblatt, 1975, pp. 156–157, 168).
bring about a shift of vision that can be ethically trans-
forming.
In receiving exilarchic authorization to judge civil and
Ludovici, Anthony M. The Secret of Laughter. London, 1932. An
property matters, HunaD applied rabbinic principles in the
early twentieth-century version of the superiority theory.
marketplace and in such areas as divorce and inheritance
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4224
HUNGARIAN RELIGION
(e.g., B.T., San. 7b; Neusner, 1968). Stories describe his
a rather complicated social structure of tribes and auxiliary
pious acts for the poor and the sick (B.T., Ta Ean. 20b–21a),
tribes characteristic of nomads. By about 896 CE the seven
and a dictum claiming that “whoever only studies Torah re-
Hungarian tribes invaded the central regions of the Carpa-
sembles a person without God” (B.T., EA.Z. 17b) stresses the
thian Basin. Hungarian sources in medieval times were al-
importance of good deeds. The Talmudic tradition, on the
ready calling the event the Conquest or Land-Taking. It was
other hand, elevates his Torah study, in that its merit is what
the turning point in the history of religions among the Hun-
protected HunaD from natural calamities and enabled him ef-
garians.
fectively to hurl curses (B.T., Mo Eed Q. 27b, Ta Ean. 20b).
Only after that time do we find relevant historical, lin-
He also emphasized the human inability wholly to know
guistic, and archaeological data that reflect the religion of
God’s nature and ways (Gn. Rab. 12.1) and, like his contem-
early Hungarians. Since then Europeans have seen them as
poraries, saw both divine justice and mercy as well as reward
relatives of the Huns, and that false association became the
and punishment at work (e.g., B.T., Ber. 7b, R. ha-Sh. 17b;
origin of the term Hungarian in European languages. The
Neusner, 1968, pp. 149–158). The accounts of miraculous
ethnonym Magyar, a term that can be traced back to Ugrian
events attending his burial underscore the esteem Babylonian
time, is identical with the ethnonym of the Voguls, Mansi.
and Palestinian Jews held for HunaD even after his death
(B.T., Mo Eed Q. 25a; cf. Neusner, 1968, pp. 51–53). His ex-
Inseparable from the establishment of the feudal Hun-
ilarchic backing, however, laid the foundations on which he
garian kingdom, Christianity was declared the official reli-
was able to build his influential career of piety and teaching.
gion in 1000 CE by the Roman church. But we know from
historical and linguistic data that even before that time Hun-
BIBLIOGRAPHY
garians had already had contacts with Byzantine, Czech,
A comprehensive treatment and bibliography of HunaD and his
German, and Italian priests, and already among the “con-
teachings can be found in Jacob Neusner’s A History of the
quering” Hungarians were adherents of the Christian, Jew-
Jews in Babylonia, 5 vols. (Leiden, 1966–1970), esp. vol. 3.
ish, and Muslim faiths. Hungarian Muslims, called böször-
Jacob N. Epstein’s Mavo D le-nusah ha-Mishnah, 2 vols.
mény, originally meaning “Musulman,” lived in Hungary
(1948; reprint, Jerusalem, 1964), pp. 311–318, discusses the
until about the fourteenth century. Several times the Jews in
attitude of HunaD to tannaitic traditions and the Mishnah.
the Middle Ages were expelled from Hungary. Then Sephar-
See also David M. Goodblatt’s Rabbinic Instruction in Sasa-
dic Jews came together with the Ottomans in the sixteenth
nian Babylonia (Leiden, 1975) and my Samuel’s Commentary
century, but they left the country by the end of the seven-
on the Mishnah (Leiden, 1975), p. 217.
teenth century. Immediately thereafter the forefathers of
New Sources
today’s Hungarian Jews emigrated from Central Europe.
Shapiro, Nathan. “Rav Huna’s Views on Medicine and Public
The majority of the Yiddish-speaking Ashkenazi came from
Health.” Koroth 9 (1988): 262–269.
Galicia in the nineteenth century, when northeast Hungary
BARUCH M. BOKSER (1987)
was a haven for famous Hasidic “wonder-making rabbis.”
Revised Bibliography
HYPOTHETIC EARLY FORMS. Five thousand years of early
Hungarian religion remains thus a field for comparative
studies, based sometimes on speculation rather than research.
HUNGARIAN RELIGION. Hungarian belongs to
In Hungarian there are Uralic words reflecting the dualistic
the Uralic languages, which can be traced back by historical
concepts of the soul (lélek, “soul of the breath,” later also with
linguistic methods at least to 5000–4000 BCE. Its subdivi-
the meaning “spirit” or “ghost,” as opposed perhaps to the
sion, the Finno-Ugric languages, can be traced back similarly
later íz, a “spirit of disease”). A curious Hungarian word,
to 4000–3000 BCE. To reconstruct the earliest possible
reg-, “being intoxicated,” can be compared with the “heat”
phases of Uralic or Finno-Ugric religions, we could find their
component of the Siberian shaman’s séance. If it is a cognate
roots in etymologies in the northernmost parts of Central
word to Hungarian rejt, “to hide,” it might be connected
Eurasia. The Ugrians (i.e., today’s Voguls, Ostyaks, and
with the activity of early seers too. The names for two figures
Hungarians) might have lived to the east of the Ural Moun-
in modern Hungarian folk beliefs, tudós and táltos (both
tains from about 3000 BCE. They were hunters, fishermen,
“persons with supernatural power or knowledge”) also have
and gatherers around the taiga area. We do not know with
solid Uralic etymologies. On the other hand, the possible
any certainty when the Hungarians finally separated from
traces of Uralic totemism or shamanism in modern Hungari-
the Ob-Ugrians remaining in Siberia, but their long west-
an are not known. No origin myth or legend among the
ward migration lasted more than two thousand years. Thus,
Hungarians can be connected with such a distant time. Sev-
the forefathers of the Hungarians crossed the steppes and fi-
eral scholars such as Róheim, Diószegi, and Hoppál have ar-
nally learned animal husbandry and some agriculture. When
gued for such connections—for example, for the origin myth
Byzantine and other sources describe in the eighth- and
concerning the stars in the Milky Way (being “the path of
ninth-centuries CE the way of life of the Hungarians (whom
the souls of the dead”) or for the myth on chasing the mythi-
they called Turks), they mention their military ability, the
cal elk/deer—but their arguments are not convincing. The
“worship of the fire” and burials, their “sacred kings,” and
phratrial system of the Ob-Ugrians stresses a distinction 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
HUNGARIAN RELIGION
4225
tween “raw meat eating” and “cooked meat eating” kinship
horses. The Hungarian tribes were surely for a while a part
groups, but this distinction was unknown among the Hun-
of the Khazar Kaganate and accepted also the institution of
garians. In Hungarian there are no direct references even to
the Sacred King. Perhaps the father of Árpád, whose name
the archaic Siberian cosmology (tripartite word, cosmic tree,
was Álmos, “from a dream,” was such a sacred ruler.
the sky and stars as a tent with holes), and the Hungarian
RELIGION AFTER ACCEPTING THE CHRISTIAN FAITH. The
data (on upper and lower worlds, more precisely on the
conversion of the Hungarians was conducted through the
“other world,” másvilág) are too vague and too widely dis-
drastic force of the state. Soon “pagan uprisings” (1046 and
persed to date them back five millennia and exactly to the
1061) tried to restore old habits, including non-Christian
Uralic or Altaic area. Also, the oldest terms in Hungarian tra-
dress, hairstyles, horse-meat eating, and horse sacrifices, and
ditional healing, including the word beteg, “sick person,”
to destroy Christian churches and kill their priests. But be-
have Siberian parallels, which makes them hard to interpret.
hind these acts more political and less religious motivations
During the time of the migrations the early Hungarians
were prevalent. From the decrees made by the first synod in
had long, steady, or fortuitous contact with several Turkic
Hungary (1092, organized by King László I) we learn of the
and Iranian peoples, and judging by the loanwords in Hun-
strict prohibition of “pagan sacrifices beside springs, trees or
garian and some funeral customs, early attributes of the
stones,” but the question arose: do the decrees reflect the ac-
god(s) can be traced to that time. The South Siberian Altaic
tual religious situation in Hungary, or are the texts simply
word for “shaman” (bö) was known in early Hungarian too,
copies of Carolingian ecclesiastical law? As we know from the
perhaps with the meaning “head of the sib, chieftain.” At the
Regestrum Varadinense, ordeals (oaths upon red-hot iron)
time of the migration two interesting forms of totemism may
were imposed by the church; between 1208 and 1235 there
have been developed: tribes and their leaders associated
were 389 such cases. “Great sinners” from Hungary had to
themselves with predatory birds (such as falcons and eagles),
pay to take faraway pilgrimages; for example, Georgius Miles
and an “agricultural totemism” developed in personal names.
de Ungaria (1353) and Lo˝rinc Tar (1410) had to visit St.
(The name of the leader of the Hungarians at the time of the
Patrick’s Purgatory.
Conquest, Árpád, literally “barley” plus a personal diminu-
The church in Hungary (in spite of good contacts with
tive, is a good example.) In both cases the terminology comes
Byzantium) followed the Roman model. The imposing list
from Turkic languages, which might have been the tongue
of early dynastic saints in Hungary speaks to the strength of
of the tribal elite. The names for the “seven” tribes do not
the new religion in Hungary. From the House of the Árpáds
show direct religious indications.
King Stephen I, Prince Imre (both canonized in 1083), King
László I (canonized in 1192), Princess Elisabeth of Thuringia
A series of the most important words used even today
(canonized in 1235), and later Princess Margit (d.1270) were
in Hungarian religious terminology can be dated back prior
canonized. Among other countries in Europe, Hungary was
to the Conquest. Examples include isten, “god”; ördög,
proclaimed too as Regnum Marianum (“the Kingdom of the
“devil”; bu˝n, “sin”; üdv, “cheer,” later “salvation”; bocsá/j/t,
Holy Virgin Mary”). The veneration of King Stephan’s “holy
“to let free,” later “to forgive”; /v/imád, “to worship,” later
right hand” is known from 1083 on, and that of the “Holy
“to adore” or “to pray”; and even kereszt, “cross.” Since the
Crown of Hungary” dates back as early as the fourteenth cen-
words gyász, “mourning,” and tor, “burial feast,” belong to
tury (and is practiced today as well). The only religious order
the same time, in those cases a continuation of customs and
that emerged from Hungary (by about 1263) was the Pauli-
beliefs in later Hungarian folklore seems to be more
ans, named after the famous Hermit in Thebes. From the
plausible.
Angevin rulers from Naples Hungarian kings (since the four-
But even with such elaborate religious terminology, we
teenth century) inherited “royal healing power” (also inherit-
do not find any name of any god among the Hungarians. We
ed later by the Hapsburgs). Large numbers of troops for the
do not find any hints to a “mythology,” even in the restricted
First, Second, and Third Crusades marched through Hunga-
sense of the word in which we can speak of the Ob-Ugrian
ry, and King András II himself participated with Hungarian
“deities” or “mythology.” On the other hand, the oldest
soldiers (1217–1218) in the Fifth Crusade. Among the
known Hungarian word for “sacred” (igy) was already used
places for pilgrimage for Hungarians, the most important
at this time. An alleged opposition between Boldogasszony,
were Rome; from 1307 the cathedral in Aachen (where King
today the common name for “Holy Virgin Mary,” more pre-
Louis the Great erected soon afterwards the magnificent
cisely “happy lady/woman,” and szépasszony, “fair lady/
Hungarian Chapel); from the thirteenth century Mariazell
woman,” later a taboo name for “witch,” can be dated back
(where again King Louis built the Gothic Chapel in 1366);
to that time; the problem is that we do not know the “first”
and later the tomb of Friar John of Capistran, who died in
meaning of those words. The word hiedelem, “belief,” origi-
the famous 1453 Hungarian victory over the Turks. The var-
nally “a cool place, refrigerium,” might have originated from
ious copies of the register of pilgrims from such cities as Lon-
this time, but it is registered only in late medieval Hungarian
don, Paris, and Rome, Miracula Ioannis de Capistrano
texts. Archaeological excavations from the time after the
(1460), list from 180 to 621 (mostly healing) miracles there.
Conquest (in the territory of today’s Hungary) show very
We do not know of early heretics active in Hungary.
rich tombs of tribal and military leaders mounted on their
The bogomils in Bosnia from the twelfth century were perse-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4226
HUNGARIAN RELIGION
cuted by the Hungarian kings. We know of some flagellant
man rule in central Hungary, the conversion to Islam was
groups strolling through Hungary. A few (German) Walden-
in fact insignificant (which makes a difference to several Bal-
sians lived in west Hungary. The Hussites had some influ-
kan areas). The rest of the people there, without the church
ence in Hungary too. Even a peasant revolt in Transylvania,
hierarchy, established small religious communities. The Ref-
led by Antal Budai Nagy (1437), expressed the same tenden-
ormation stressed the individual’s or the community’s direct
cy of establishing a people’s religion. The first extensive Bible
responsibility for its spiritual welfare, including the constant
translations into Hungarian date back to the second half of
fight against sin and the devil’s tricks.
the fifteenth century. The religious terminology of the Hun-
garian translations of the Hussite Bible hints back to earlier
There are in Hungarian archives about five thousand
centuries. From its very beginning (twelfth–thirteenth centu-
documents of witch trials from about 1408 to about 1768.
ries) the vernacular literature in Hungary used elaborate reli-
They follow the general European pattern, and we find little
gious terminology, including expressions of Mariology and
“great” or “politically motivated” witch-hunting. The major-
mysticism. It was further developed by the Franciscans, who
ity of the witches were peasant women; thus, the trials had
preached in Hungarian, and especially during the time of the
a strong flavor of Hungarian folk belief. The Inquisition
Reformation.
proper was not active in Hungary then, but we know of a
shortened Hungarian version of the Malleus Maleficarum
Humanism in Hungary reached its highest point in the
from Mátyás Nógrádi’s Lelki próbako˝ (1651). Hungarian
court of King Matthias Corvinus. He invited Italian scholars,
Protestant theologians studied at German, Dutch, Swiss, and
who spread Neoplatonism, hermetism, and astrology among
other universities, bringing home the ideas of Cartesianism
the elite. Johannes Regiomontanus (from 1468 on) worked
and Puritanism. Visionary and chiliastic tendencies can be
in Buda in cataloging Greek astronomical manuscripts in the
observed from the seventeenth to the late eighteenth centu-
royal library, and in 1471 he made suggestions for a new uni-
ries. Johannes Amos Comenius was professor of education
versity in Pozsony. Late Humanism in Hungary easily adopt-
in Hungary from 1650 to 1654. The then generally accepted
ed the ideology of the Reformation. For example, Péter
actual and political prophecies of Miklós Drábik (Nicolaus
Bornemisza in his printed book Ördögi kísértetek (1578)
Drabitius) were also published by Comenius (Lux e tenebris,
added actual Hungarian narratives to Philipp Melanchthon’s
1655; Historia relevationibus, 1659).
Lutheran devil lore. But only members of high society knew
about magic, occultism, and alchemy. Paracelsus visited
Inchoative religious propaganda (following the Triden-
Hungary, John Dee wrote his Monas Hieroglyphica (1563)
tinum principles) was very active in Hungary: miracle stories
in Hungary, and even later he (and Edward Kelly) had Hun-
and private religious pictures were distributed through the
garian contacts. Count Boldizsár Batthyány collected a rich
eighteenth century. In the second half of the eighteenth cen-
library of occult and alchemical works between 1570 and
tury the Roman Catholic Church tried to regulate practically
1580. Later István Weszprémi, in his biography of medical
all folk customs. (See the activity of Bishop Márton Pedantic
doctors in Hungary (1774–1787), could list a dozen alche-
Biro from 1744 on.) At the same time Queen Maria Theresa
mists working in Hungary. The “golden age” of alchemy in
and King Joseph II modernized education and health care;
Hungary, however, took place in the decades before the
the later instructed a radical secularization of “nonteaching”
French Revolution after it was practiced generally in Europe.
religious orders. It was the age of the first anticlerical pam-
phlets in Hungary. Historians have tried to collect material
The fall of the independent Hungarian kingdom was
on early forms of Hungarian religion too. Freemasons, Rosi-
first marked by the great peasant revolt (1514) led by György
crucians, and alchemists were active in Hungary in the sec-
Dózsa with anticlerical and antifeudal violence, but it was
ond half of the eighteenth century. The founder of homeop-
not marked by the fanatism of a “new religion” (as in Germa-
athy, Samuel Hahnemann, was a medical doctor in his youth
ny). In 1516 the winner of the decisive battle at Mohács was
in Transylvania. But then Hungary was better known in Eu-
Sultan Suleiman the Magnificent. Some years later the Ref-
rope as a land of the vampires. Dom Augustin Calmet pub-
ormation won quickly the larger part of the country, but the
lished his Dissertations sur les Apparitions des Anges, des Dé-
Ottoman invasion of the central region of Hungary (lasting
mons et des Esprits et sur les Revenants et Vampires de Hongrie,
about 150 years) ended the ecclesiastic structure too. The
de Bohème, de Moravie et de Silésie (1746), which was one of
Counter-Reformation (from the early seventeenth century),
the most widely read books in Europe. The Hungarian cases
supported by the Hapsburg rulers, was successful: two-thirds
he refers to are not very authentic. (The same identification
of the population again became Roman Catholic.
of vampires with Transylvania, well known from Bram Stok-
er’s book Dracula [1897], represents another false allega-
The Reformation in Hungary (and in Transylvania)
tion.) Hungarian folk-belief narratives tell about werewolf-
went on in steps: first the moderate Lutherans, then the more
like figures in Transylvania, most probably a borrowing from
presbyteranian Calvinists gained the majority. Somewhat
Romanian folk beliefs.
later in Transylvania the Unitarians and Antitrinitarians or-
ganized their churches, making there a haven for refugees
FROM “HUNGARIAN MYTHOLOGY” TO THE STUDY OF FOLK
from Europe. The more radical movements (e.g., the Sabbat-
BELIEFS: THE IMPORTANCE OF RESEARCH ON RELIGION IN
ists) remained in fact small religious groups. In spite of Otto-
HUNGARY. Describing the origin and development of “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
HUNGARIAN RELIGION
4227
cient religion” among the Hungarians was for a long time
Thank to professor Sándor Bálint (1904–1980), the study
a preoccupation of Hungarian scholars. From the eighteenth
of (mostly Roman Catholic) popular religion is very produc-
century on there were various attempts, for example, by
tive. The “lay prayers” were collected and published by Zsuz-
Ferenc Otrokocsi Fóris (1648–1714), Daniel Cornides
sanna Erdélyi (1921–). József Török (1946–) has studied the
(1732–1787), and others. In 1847 the Hungarian Academy
early Christian liturgy in Hungary. Catholic pilgrimage and
announced a competition for describing “Ancient Hungari-
imagery were studied by Gábor Barna (1950–) and József
an Religion.” The winner, Ferenc Kállay (1790–1861), and
Liszka (1956–). Greek United folklore is a special topic of
even Bishop Arnold Ipolyi (1823–1886) and others, tried to
Elek Bartha (1956–) and others. The Antitrinitarian (and
show a hypothetical “historical” stratification of religious
similar) movements were the research topic of Antal Pirnát
practices among early Hungarians, called “Hungarian my-
(1930–1997), Róbert Dán (1936–1986), Mihály Balázs
thology,” which is the equivalent to Deutsche Mythology by
(1948–), and others. Adventists and Protestants in general
the brothers Grimm. There was much discussion about the
were studied by László Kardos (1918–1980), Ambrus Mol-
topic but little in the way of acceptable results from a scholar-
nár (1922–2000), and Professor Jeno˝ Szigeti (1936–). Jewish
ly standpoint. During the last hundred years positivism,
studies have a glorious past in Hungary. See the works of Im-
Freudianism, some forms of sociology, the neo-ritual school,
manuel Löw (1854–1944), Vilmos Bacher (1850–1913),
and Marxism served as innovative methods.
Bertalan Kohlbach (1866–1944), and—last but not least—
Among contemporaneous Hungarian folklorists, Vil-
the director of the Rabbinic Seminar in Budapest, Sándor
mos Diószegi (1923–1972) and Mihály Hoppál (1942–) fol-
(Alexander) Scheiber (1913–1985), who was one of the best-
low the historical-reconstructionalist school. Innovative
known Jewish folklorists. Hungarians are conducting impor-
ideas were expressed by Géza Róheim (1891–1953), founder
tant fieldwork studies in Romania, Serbia, Slovakia, and Car-
of psychoanalytic folklore research. Recently Vilmos Voigt
patho-Ukrainia, discovering archaic beliefs and at the same
(1940–), Gábor Klaniczay (1950–), Éva Pócs (1936–), Györ-
time interethnic contacts.
gy Endre Szo˝nyi (1952–), Gábor Tüskés (1955–), and others
The study of the sociology of religion in Hungary (espe-
want to show the European and comparative horizons of the
cially in recent works by Miklós Tomka (1941–), István Ka-
history of religion in a wider sense of the term. Their papers
marás (1941–), and others) is today again in progress. On
have been published in numerous languages. Hungarian reli-
the religious history of Hungary only the first sketches have
gion is a very important field for comparative studies because
been made. Still a new handbook on religions in Hungary
Hungarians are the only non-Indo-European people in Cen-
has not yet appeared.
tral Europe, with their own traditions, at the same time rep-
S
resenting fully the common European background of reli-
EE ALSO Alchemy; Anthroposophy; Astrology; Crusades;
Dömötör, Tekla; Finno-Ugric Religions; Judaism, articles
gions (at least during the last thousand years).
on Judaism in Northern and Eastern Europe to 1500, Juda-
From the beginning of the nineteenth century, popular
ism in Northern and Eastern Europe since 1500; Magic;
works against superstitions were published. New Protestant
Pilgrimage; Reguly, Antal; Shamanism; Witchcraft.
churches (Adventists, Baptists) developed in Hungary. Be-
fore the First World War new communities appeared, from
BIBLIOGRAPHY
Jehovah’s Witnesses to Nazarenes and Tolstoianists. Atheism
Bálint, Sándor, and Gábor Barna. Búcsújáró magyarok. A magya-
gained a free voice too. The Marxist state after World War
rországi búcsújárás története és néprajza. Budapest, 1994.
II struggled against religion, but to a lesser degree than other
Barna, Gábor, ed. Religious Movements and Communities in the
East European countries. Among the “new religions” since
19th–20th Centuries. Szeged, 1999.
the 1970s, first Hare Krishna and Bahaism arrived. Today
Benedek, Katalin, and Eszter Csonka-Takács, eds. Démonikus és
there are several small modern Hindu and modern Buddhist
szakrális világok határán. Mentalitástörténeti tanulmányok
churches. New Age or modern “heathen” religions are insig-
Pócs Éva 60. születésnapjára. Budapest, 1999.
nificant. The reconstruction of the “Old Pagan Hungarian
Csonka-Takács, Eszter, Judit Czövek, and András Takács, eds.
Religion” is a preoccupation of a few intellectuals. A handful
Mir-susn¯e-χum. Tanulmánykötet Hoppál Mihály tiszteletére,
vols. 1 and 2. Budapest, 2002.
of “urban shamans” learn from old sources the techniques
Dán, Róbert, and Antal Pirnát, eds. Antitrinitarianism in the Sec-
of ecstasy and combine it with rock-music-style perfor-
ond Half of the 16th Century. Budapest and Leiden, 1982.
mances. The Hit Gyülekezete (“Congregation of Faith”) is
Dienes, István. The Hungarians Cross the Carpathians. Budapest,
the only new Hungarian church. One should not forget that
1972.
Zionism was created by a Jew born in Hungary: Theodor
Diószegi, Vilmos. A sámánhit emlékei a magyar népi mu˝veltségben.
Herzl (1860–1904). Rudolf Steiner (1861–1925), founder
Budapest, 1958. Reprinted 1998.
of Anthroposophy, spent decisive years of his youth in Hun-
Dömötör, Tekla. Hungarian Folk Beliefs. Budapest and Blooming-
gary. At time of the Holocaust 90 percent of Hungary’s Jews
ton, Ind., 1981.
were killed, but today there is a Jewish revival in Hungary,
Dömötör, Tekla, ed. Népszokás néphit népi vallásosság. Budapest,
though it often lacks religious motivations.
1990.
Hungarian folklorists have made summary descriptions
Hoppál, Mihály. “Vilmos Diószegi: Life and Works.” Shaman 6,
of folk beliefs and customs during the last two centuries.
no. 2 (Autumn 1998): 117–149.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4228
HUN RELIGION
Hoppál, Mihály. Mythology and Uralic Shamanism. Budapest,
is particularly valuable. Archaeology contributes next to
2000.
nothing to the picture; so far it has not been possible to iso-
Ipolyi, Arnold. Magyar mythologia. Pest, 1854. Reprinted with a
late more than a few finds incontestably Hun. Among these,
volume of commentaries, Budapest, 1987.
some typical bronze caldrons have, on occasion, been consid-
Kardos, László, and Jeno˝ Szigeti. Boldog emberek közössége. A
ered sacral vessels, but there is no evidence in support of such
magyarországi nazarénusok. Budapest, 1988.
an opinion.
Klaniczay, Gábor. Holy Rulers and Blessed Princesses: Dynastic Cults
The statement by the fourth-century historian Ammi-
in Medieval Central Europe. Cambridge, U.K., 2002.
anus Marcellinus (31.2.11) that the Huns were not “bound
Knapp, Éva, and Gábor Tüskés. Volksfrömmigkeit is Ungarn.
by any reverence for religion or superstition” is contradicted
Wurzburg, 1996.
by other, contemporary sources. These do give some clues
about Hun religious beliefs, although, with one exception,
Pócs, Éva. Fairies and Witches at the Boundary of South-Eastern and
none attempts to give a systematic description thereof. This
Central Europe. Helsinki, 1989.
exception is to be found in the Armenian chronicle attribut-
Pócs, Éva. Between the Living and the Dead: A Perspective on
ed to Moses Daskhuranci, who does give some interesting,
Witches and Seers in the Early Modern Age. Budapest, 1999.
trustworthy data on the Caucasian Huns of the second half
Róheim, Géza. Hungarian and Vogul Mythology. New York, 1954.
of the seventh century. He speaks of their “satanically delud-
Scheiber, Alexander. Essays on Jewish Folklore and Comparative Lit-
ed tree-worshipping errors” and mentions that they use
erature. Budapest, 1985.
horses as burnt offerings in the worship of “some gigantic
Szo˝nyi, György Endre. “Exaltáció” és hatalom. Keresztény Mágia és
savage monster whom they invoke as the god TDangri Khan,
okkult szimbolizmus egy angol mágus mu˝veiben. Szeged, 1998.
called Aspandiat by the Persians.” In the first of these names
Torda, István, and György Szo˝nyi. Magyar aranycsinálók. Buda-
it is easy to recognize the Turco-Mongol deity Tengri (“sky”
pest, 1980.
or “heaven”), whose cult is first attested among the Hsiung-
nu in Mongolia in the centuries just before and after the be-
Török, József. A katolikus egyház és liturgia Magyarországon (A
ginning of the common era. The Huns also “made sacrifices
kezdetekto˝l a 19. századvégéig). Budapest, 2000.
to fire and water and to certain gods of the roads, and to the
Tüskés, Gábor. Búcsújárás a barokk kori Magyarországon a
moon and to all creatures considered in their eyes to be in
mirákulumirodalom tükrében. Budapest, 1993.
some way remarkable.”
Voigt, Vilmos. Glaube und Inhalt. Drei Studien zur Volksüberlie-
Moses pays special attention to the funeral rites of the
ferung. Budapest, 1976.
Huns who, “possessing completely anarchical minds,” so he
Voigt, Vilmos. “The Origin of New Religions in Hungarian
says, “stumble into every sort of error, beating drums and
Church History.” Acta Ethnographica Hungarica 43, nos.
whistling over corpses, inflicting bloody saber and dagger
1–2 (1998): 109–118.
cuts on the cheek and limbs, and engaging naked in sword
Voigt, Vilmos. A magyar o˝svallás Kérdései. Budapest, 2004.
fights—O hellish sight—at the graves, man against man and
“Witch Beliefs and Witch-Hunting in Central and Eastern Eu-
troop against troop. . . .” Although, to my knowledge,
rope.” Special issue of Acta Ethnographica Hungarica 37, nos.
sword fights between groups are not noted elsewhere in such
1–4 (1991–1992).
a context, the self-inflicted wounds and the laceration of the
V
mourners’ faces were a widespread custom among medieval
ILMOS VOIGT (2005)
Turkic peoples, described in classical as well as in Chinese
sources, and also represented on wall paintings preserved in
Chinese Turkistan. Fragment 23 of Priscus relates that at the
HUN RELIGION. Over the centuries, the name Hun
death of Attila, the Huns, “as is the custom of that race, cut
has been widely and indiscriminately applied to a multiplici-
off part of their hair and disfigured their faces horribly with
ty of Inner Asian nomad peoples. In this article only the
deep wounds so that the distinguished warrior might be be-
“genuine” Huns will be considered, those who in the second
wailed, not with feminine lamentations and tears, but with
half of the fourth century CE took possession of the North
manly blood.” Before burying their dead the Huns were
Pontic steppes (the steppes to the north of the Black Sea) and
wont to lay out the body and, at least in cases in which the
for about eighty years—particularly under the rule of Attila
deceased had been a man of importance, the mourners would
(433?–453)—played a major role in the history of Europe.
ride around the bier at full gallop “as in the circus games.”
I shall also take into account those Huns who, following the
The body was put in a coffin and a funeral feast preceded
disintegration of Attila’s empire, established and maintained
the burial. Priscus gives the Hun word for this repast, strava,
in the northern Caucasus a kingdom that lasted to the end
a term for which no acceptable etymology has been pro-
of the seventh century.
posed. If not due to a scribal error, the initial consonant clus-
By the standards of Inner Asian historiography, the his-
ter excludes the possibility that the word is Turkic or
tory of the Huns is reasonably well documented, mainly by
Mongol.
written sources, among which the (alas!) fragmentary text of
It was customary to place valuable objects in the tombs.
Priscus’s eyewitness account of daily life in Attila’s entourage
Attila was interred by night, in great secrecy, and 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
HURRIAN RELIGION
4229
buried him were slaughtered so that—in Priscus’s opinion—
la: Fifth-Century Byzantium and the Barbarians (Ann Arbor,
they should not be able to divulge the location of the tomb.
Mich., 1960); quotes from Jordanes are taken from The
It could be that a human sacrifice was performed. Analogies
Gothic History of Jordanes, 2d ed., translated by Charles
to this case can be found among the early (sixth-century)
Christopher Mierow (Princeton, N.J., 1915). Ammianus
Türk. Captives were said to have been sacrificed “to victory”
Marcellinus is quoted from the translation of his writings by
by the Huns upon their arrival on the Pontic steppes, but
John C. Rolfe in “Loeb Classical Library,” vol. 331 (Cam-
bridge, Mass., 1971). The quotation from Jerome’s letter is
Jordanes’ sixth-century account of this period contains many
taken from Select Letters, “Loeb Classical Library,” vol. 262
fictional elements.
(Cambridge, Mass., 1933), pp. 342–343.
There is evidence to show that the services of diviners
DENIS SINOR (1987)
were appreciated. According to Jordanes, Attila “sought
counsel of omens in all warfare.” He reports that the method
used by the soothsayers consisted in the examination of the
HURGRONJE, CHRISTIAAN SNOUCK
entrails of cattle and of “certain streaks in bones that had
SEE
been scraped.” The remark refers probably to scapulimancy,
SNOUCK HURGRONJE, CHRISTIAAN
widely practiced in Inner Asia. The sources provide no evi-
dence of the very likely use of shamans.
The practice of worshiping a sacred sword, often re-
HURRIAN RELIGION. A Near Eastern phenome-
ferred to in the secondary literature, cannot be established.
non dating mainly from the second millennium BCE, the
At best, such references can be traced to a remark by Attila
Hurrian religion is known more from contemporary and
who, so it would appear, once declared that a sword that had
later Hittite documents than from native Hurrian sources.
been accidentally unearthed by a shepherd and brought to
The Hurrians were an apparently Armenoid people who
him would ensure his supremacy over the whole world.
moved into northern Syria and northwestern Mesopotamia
by at least 2300
In the Caucasus, in the Asian or European provinces of
BCE. The cities of Nuzi, in the eastern Tigris
region, and Alalah, in northern Syria, were major centers of
Byzantium, in Italy, and in their campaigns through Ger-
Hurrian culture by circa 1500
manic lands, the Huns were in constant touch, friendly or
BCE. Wassukkanni was the
capital of the reign.
inimical, with Christians. It can be taken for granted that
many of the Huns were converted, a fact that allowed Jerome
The term Hurrian is an ethnic designation, and Subartu
to write to Laeta in 403 that “the Huns are learning the psal-
(roughly equivalent to the Hurrian Aranzah) is the Sumero-
ter, the frosts of Scythia are warmed by the fire of faith”
Akkadian name of the Hurrian-dominated area north and
(107.2). Perhaps Jerome’s, as it turned out unjustified, opti-
northeast of the Tigris. Mitanni was a Hurrian kingdom of
mism was motivated by the news of the missionary efforts
the mid-second millennium in northern Syria and Iraq that
of John Chrysostom and others. Success came only to the Al-
had an Indo-Aryan aristocracy, and Urartu (whence Ararat)
banian bishop Israel who in 681 and 682 stayed with the
was a successor kingdom that flourished in southern Arme-
Huns of the Caucasus, converted their leaders, destroyed
nia circa 800 BCE. The Hurrian language, written in Sumero-
their idols, and burned their sacred trees. The Hun prince
Akkadian cuneiform (and, later, in Ugaritic alphabetic cune-
Alp Ilteber promised, in the words of Moses Daskhuranci,
iform), is neither Semitic nor Indo-European in origin.
to “burn the sorcerers and wizards who will not adopt the
Some prominent European scholars would deny that
faith, and [to] put to the sword any person who acts like a
the Horites of the Old Testament are Hurrians (in Gn. 14
pagan.” Thus, Western civilization arrived among the Huns
the Horites are enemies of Abraham; in Dt. 2 they are dispos-
of the epigone kingdom, putting an end to the religious tol-
sessed by the Edomites; in 1 Chr. 1 they are the ancestors
erance so typical of Inner Asian states, including that of the
of Esau), but most American authors favor the identification.
Huns, those “unreasoning beasts” (to quote Ammianus Mar-
(Similar efforts to identify the Old Testament Hivites with
cellinus), “utterly ignorant of the difference between right
the Hurrians are less convincing.) While admitting the pres-
and wrong.”
ence of biblical anachronisms, the American scholars cite the
S
extensive evidence that the Hurrians had moved down into
EE ALSO Inner Asian Religions; Tengri.
the coastal areas and probably into Palestine at least by the
Amarna age (mid-first millennium BCE). By the final quarter
BIBLIOGRAPHY
of the second millennium BCE there was, for example, a large
Two good overviews are J. Otto Maenchen-Helfen’s The World
and flourishing Hurrian population farther north at Ugarit,
of the Huns, edited by Max Knight (Berkeley, Calif., 1973),
and E. A. Thompson’s A History of Attila and the Huns (Ox-
on the Syrian coast. Also notable are the remarkable parallel-
ford, 1948).
isms of legal and social customs between Nuzi documents of
the fifteenth century BCE and the Genesis patriarchal narra-
Moses Daskhuranci is quoted after The History of the Caucasian
tives.
Albanians by Movses Dasxuranci, translated by C. J. F. Dow-
sett (London, 1961). Passages taken from Priscus are given
HURRIAN RELIGIOUS ASSIMILATIONS. Because of the limited
in the translation of Colin Douglas Gordon, The Age of Atti-
natively Hurrian resources, it is difficult to distinguish specif-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4230
HURRIAN RELIGION
ically Hurrian religious and cultic elements from those of
iconography she is apparently identified with the sun god-
their neighbors. The Hurrians borrowed heavily from Meso-
dess of Arinna, whose name is not known. Hebat has a rather
potamian religion, either by assimilating Assyro-Babylonian
matronly appearance in Anatolian art, and she is frequently
divinities into their own pantheon outright or by identifying
depicted standing on the back of a lion.
these divinities with indigenous Hurrian gods. In turn, some
The son of Teshub and Hebat was Sharruma, whom the
of the Hurrian gods and religious practices were adopted by
Hittites associated with the weather gods of Nerik and Zip-
the Hittites. The Hittites also absorbed into their religion
palanda. Sharruma was originally an Anatolian mountain
pre-Hittite elements and elements from other Anatolian peo-
god of the Anatolian and Syrian borderland. At Yazilikaya
ples such as the Luwians. Since it is mostly from Hittite
the god who is represented by a pair of human legs immedi-
mythic and religious texts that scholars have access to the
ately behind Hebat is doubtless Sharruma. The iconography
Hurrians, the situation is complicated indeed; many authors
from Yazilikaya reflects the religious reforms of Hattushili
have resorted to referring simply to an “Anatolian religion”
III, who tries to assimilate the divine triad into the imperial
and have made no substantial effort to separate its strands.
family. Teshub is identified with the king, the Sun-goddess
The major Hittite sources for Hurrian religion are the ar-
with the queen, and Sharruma with the heir.
chives from Bog˘azköy (Hattushash), the ancient Hittite capi-
tal, and the stone carvings from the shrines at Yazilikaya,
Shaushka, who in Hittite myths about Kumarbi is called
about two miles east of Bog˘azköy.
Teshub’s sister, is prominent in the extant texts and in works
of art, where she is often shown as a winged goddess standing
Hurrian culture is equally notable as a vehicle of ex-
(like Hebat) on the back of a lion. Shaushka’s nature is very
change of religious concepts and practices, especially from
elusive. The Hittites identified her with the Mesopotamian
east to west, and as a source of original contributions. The
Inanna-Ishtar, herself a goddess of extraordinarily complex
flow of such ideas over almost three millennia was generally
origins and characteristics. In the Hurrian world she is the
from the Mesopotamians to the Hurrians, from the latter to
goddess of war and sex. Shaushka was said to have had two
the Hittites and northwestern Semites (Amorites, Canaan-
ladies-in-waiting, Ninatta and Kulitta, known also as musi-
ites, and Phoenicians), and thence ultimately to Greece and
cians.
Rome. Recent scholarship suggests that the Hurrians played
a far larger role in this process than had previously been de-
Kumarbi, already mentioned in a Hurrian tablet from
tected. Because of the Indic element among their aristocracy,
Mari, about 1700 BCE, had scarce importance in the worship
it is also likely that the Hurrians were purveyors of some
but was a major figure in the myths. He had the power in
Indo-Aryan religious motifs to the west.
primeval years and was dethroned by Teshub, but tries to re-
H
cover the throne again and again. The god is identified with
URRIAN PANTHEON At the head of the native Hurrian pan-
theon was the weather god Teshub, the “king of heaven,” the
the Mesopotamian god of grain, Dagan, with the Sumero-
later Urartean Teisheba. One of his ancient centers of wor-
Akkadian Enlil, and with the Ugaritic El.
ship was the yet unidentified town of Kumme (Kummiya).
Other Hurrian gods are Sheri (“day”) and Hurri
His genealogy varies somewhat, depending on the way in
(“night”), who pull Teshub’s wagon and are portrayed as
which the relevant Babylonian material was assimilated. In
bulls (the name of Hurri is replaced by Tilla in the eastern
Hittite texts stemming from the Hurrian myth cycle of Ku-
tradition); the moon god Kushuh (the same as the proto-
marbi (the father of the gods), and in some other texts, it is
Hattic Kashku), who is the protector of oaths, and his con-
told that Alalu (chthonic divinity, with Mesopotamian ori-
sort, Nikkal, corresponding to the Sumerian Ningal; a sun
gin) was the first king in heaven and was dethroned by Anu
god, Shimigi (the Urartean Shiwini), who is linked with
(heavenly god, also with a Mesopotamian name). Kumarbi,
omens because he sees everything on earth; Shuwaliyatti and
Alalu’s son, dethroned Anu and swallowed his genitals, to
his consort, Nabarbi; Teshub’s vizier, Tasmisu; and Ashtabi,
prevent him from having offspring. But Kumarbi became
the god of war. The later Urartean pantheon included Teshe-
pregnant and gave birth to Teshub, among other gods.
ba, Shiwini, and the national god, Haldi. An inscription
Early Anatolian iconography uses the symbol of a bull
found at Sargon II names the goddess Bagbarti as Haldi’s
or of lightning bolts in connection with Teshub and other
consort.
weather gods. Teshub, like other gods of this kind, have
The Hittite myths mention often a group of underworld
storm, wind, rain, and lightning as weapons. He provides
gods, called “ancient gods,” whose names come in rhyming
rain, and is therefore also protector of vegetation and agricul-
pairs such as Nara-Napsara, Minki-Ammunki, Muntara-
ture.
Mutmuntara. They were the earlier generations of gods, but
they were driven into the underworld by Teshub. The “an-
Teshub’s consort was Hebat, or Hepat, who was an an-
cient gods” are a sort of opposite of the upper gods, because
cient Syrian goddess who was known in Ebla and was assimi-
they are “impure” and represent the disorder.
lated by Hurrians and turned into the queen of heaven. Al-
though she is not prominent in the extant mythological texts,
In the treaty between the Hittite king Shuppiluliuma
worship of her was very widespread, and she was syncretized
and Mittanian Shattiwaza, Indo-Aryan gods such as Indra,
with other Near Eastern goddesses in later times. In Hittite
Mitra, Varun:a, and the Nasatya are mentioned as guarantors.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HURRIAN RELIGION
4231
This fact indicates that the Indo-Aryan aristocracy man-
Zeus, although Ge (Earth), who generates Ouranos and is
tained its ancestral gods as protectors of the kings of Mittani.
relegated at a given moment, corresponds quite well to Hur-
rian Alalu. It is her son Kronos who, like Kumarbi, will take
In addition to personal gods, Hurrians had impersonal
revenge on the celestial divinity that has her relegated when
divinities such as earth and heaven or mountains and rivers,
he castrates Ouranos with a sickle. At the end, Zeus defeats
the mountains being considered as companions of the storm
Kronos and seizes power. In the Orphic Theogony commen-
god or as independent deities.
tated in the Derveni Papyrus, Night begins the series of gen-
MYTH CYCLES. Hurrian mythic narratives are known almost
erations, followed by Ouranos, Kronos, and Zeus; Kronos
exclusively through their Hittite versions in which the mate-
castrates Ouranos, but Zeus swallows Ouranos’s phallus and
rial is considerably intermixed with other Anatolian ele-
he becomes pregnant, as a result of which he gives birth to
ments. Only scarce fragments remain from the Hurrian ver-
all the gods. However, in the Phoenician History by
sion of some myths, although it is almost impossible to
Sankuniaton, preserved in Philo Byblius’s Greek version, the
obtain some information about them. The most significant
divine kings are Elioun (called in Greek Hypsistos, “the
myth cycle is that of the god Kumarbi. This myth tells how
Highest”)—a god only mentioned by his Greek name,
Kumarbi was dethroned by Teshub and how the dethroned
Epigeios, corresponding to Greek Ouranos (who is also cas-
deity tries repeatedly to recover his power, fathering one son
trated); El—in Greek Kronos; and Zeus Demarus—
after another. The major texts, all in Hittite, are a myth
corresponding to Phoenician Baal Hadad.
whose title was probably Song of Kumarby (conventionally
But there are also significant differences between the
called Kingship in Heaven), a tale of the struggle for divine
quoted versions. The most remarkable one is that in Babylo-
kingship strikingly similar to Hesiod’s Theogony, the Song of
nian and Greek myths every god is son of the previous, while
Hedammu, and the Song of Ullikummi, the best-preserved
in the Hittite text, Kumarbi, the god that reigns in third
poem, although it is not complete either.
place, is “Alalu’s offspring,” or the son of the first king. On
The most remarkable fact is that the poems of Kumarbi
the other hand, Anu, the second god in heaven, does not
cycle, in contrast to other ancient myths, are not part of ritu-
seem to have any relationship with Alalu, in spite of what
als or cults. They are pure literature, didactic poems that in-
is read in some studies, such as those of Kirk or Wilhelm,
form people about the history of the world and explain the
who believe that there is one (genealogical) line of gods in
role that human beings have in the world order, especially
the Hittite myth. In the Hittite tale, then, according to the
in their relations with the gods.
text, there is a conflict between two lines of gods that com-
pete for supremacy: one of a netherworld god, Alalu, whose
In Kingship in Heaven, Alalu (a chthonic god) is king
descendant is Kumarbi, and the other of a celestial god, Anu.
of heaven for nine years, and Anu (the Sumerian sky god),
The conflict is solved because Teshub is a result of Anu’s
“first among the gods,” worships at his feet. Anu, however,
seed, but Kumarbi, with his pregnancy, plays the role of the
battles with Alalu and defeats him, reigning in turn for nine
mother of the god.
years, with Kumarbi, Alalu’s son, now worshiping him. Anu
and Kumarbi engage in combat and Anu flees up to the sky.
In the Song of Hedammu, Kumarbi tries to regain the
Kumarbi seizes him, drags him down, and bites off his geni-
throne and mates with Sertapsuruhi, the huge Sea’s daugh-
tals, laughing with glee. Anu cautions: “Do not laugh, for
ter, who gives birth to a snake whose voracious appetite leads
you have a heavy burden: I have impregnated you with the
him to devour all kinds of animals and vegetables. As a result
storm god [Teshub], the river Aranzah [the Tigris], and
of this, human beings are starving. Since human beings can-
Tasmisu.” Kumarbi spits and gets free of part of his burden.
not give sacrifices to the gods, the gods are hungry too. In
Later, a god called KA.ZAL came up out of Kumarbi’s skull
a meeting of the gods, Ea reproaches Kumarbi with having
and Teshub out of the “good place.” On the other hand,
harmed the gods. He fears that gods themselves must work.
Tasmisu is born from Mount Kanzura, fertilized by Anu’s
Then Ishtar seduces Hedammu with the sight of her naked
seed, which Kumarbi had spat. Then Kumarbi tries to swal-
body. The end is not preserved, but probably the monster
low his sons, but the god Ea gives him a stone wrapped in
is defeated and world order recovered.
diapers. What ensues is not clear, but apparently Teshub
In the Song of Ullikummi, Kumarbi plots against his up-
captures the kingship from Kumarbi.
start son, Teshub. Kumarbi mates with a stone and she bears
There are striking similarities between myths told in
him another son, Ullikummi, made of diorite. The name Ul-
Song of Kumarbi and some tales from other cultures. In the
likummi contains the name of Kumme, the city consecrated
Babylonian Enuma elish, Apsu and Tiamat are the primeval
to Teshub, and probably means “destroyer of Kummi(ya).”
couple. Apsu is deprived of his tiara (a euphemism, because
Various helper gods place Ullikummi on the shoulders of
the tiara symbolizes male vigor that goes together with royal-
Ubelluri, an Atlas figure that bears on his shoulders the earth
ty). Other generations of gods follow the primeval couple:
and the sky, and the young Ullikummi grows rapidly. The
Anu, Ea, and Marduk, who, like Teshub, finally seizes the
sun god notices the mighty figure of Ullikummi rising from
power among gods. On the other hand, Hesiod mentions
the sea and warns Teshub, who weeps bitterly. Teshub ap-
only three generations of gods: Ouranos (Sky), Kronos, and
peals to the god Ea, who eventually takes in hand the blade
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4232
HURRIAN RELIGION
that had originally severed the earth from the heaven and
the Hurrites. Frequently they resorted to the interpretation
cuts Ullikummi off at the ankles. Presumably (here the story
of birds’ flight or to analysis of bird entrails in order to ex-
breaks off), Kumarbi and his powerless monster-son are de-
plain such phenomena. The translation into Hurrian of Bab-
feated and Teshub’s rule is assured.
ylonian collections of omens shows Hurrian interest in these
practices. The Hittites in their turn translated their texts
There are striking similarities between Hedamu and Ul-
about this topic.
likummi’s myths and other Hesiodic themes. In the Theogo-
ny the Titans and Typhoeus challenge Zeus’s power and they
The cult included offers of food and drink. In addition
are defeated. But there are again differences between Hurri-
to this the gods’ images were anointed with scented oil. In-
ans and Greeks in their view of divinities. In Hesiod, Zeus
strumental or choral musical accompaniments were also fre-
remains as undisputed lord of gods and men. This has noth-
quent. Rites could be performed in temples, sacred groves,
ing to do with instability of Teshub’s power. His whining
or shrines in the rocky cliffs.
image when he sees Ullikummi and the description of his de-
As with the Hurrian pantheon, there was clearly much
feat and humiliation contrast with the Hesiodic image of
Babylonian influence on the Hurrian cult, and in turn, the
Zeus as a strong god with a total control of the situation.
Hurrian cult apparently was partially assimilated into that of
Scarce fragments of other poems belonging to Kumar-
the Hittites.
bi’s cycle are preserved. In one of these poems a god called
SEE ALSO Hittite Religion; Teshub.
KAL becomes king of heaven. During his reign, humans
enjoy excessive welfare, but they neglect worship. Because of
BIBLIOGRAPHY
that, Ea orders the mutilation of the king. This theme has
Primary Works
similarities with the Prometheus’s myth. According to the
García Trabazo, José Virgilio. Textos religiosos hititas. Madrid,
Hurrian conception, the proper relationship between gods
2002. Includes the texts of Kingship in Heaven and The Song
and human beings requires that the latter not be excessively
of the Ullkummi, with Spanish translation and notes.
pressed (as in Hedammu) nor enjoy excessive welfare (as in
Güterbock, Hans G. The Song of Ullikummi. New Haven, Conn.,
the poem of KAL). A balance between both extremes is the
1952.
ideal.
Hoffner, Harry A., Jr. Hittite Myths. Edited by Gary M. Beck-
Another poem of the cycle deals with Silver, a character
mann. 2d ed. Atlanta, 1998. English translations of Hittite
whose Hurrian name Ushu is mentioned in a very fragmen-
myths with introduction and notes.
tary Hurrian text: “Hail, Silver, the lord that has become
Laroche, Emmanuel. Textes mythologiques hittites en transcription.
king!” Although it is very difficult to reconstruct the plot of
Paris, 1969. Includes Hittite text of Kingship in Heaven and
the poem from its scarce remains, Silver is another of Kumar-
Hedammu, as well as fragments about KAL and SILVER.
bi’s sons, who overthows Teshub and is later defeated by the
Neu, Erich. Das Hurritische Epos der Freilassung. Weisbaden,
storm god.
1996. German translation of Song of Release, with commen-
tary.
The Myth of Kessi, only a few fragments of which are
Salvino, Mirjo. “Sui Testi Mitologici in Lingua Hurrica.” Studi
preserved, is the story of a stalwart hunter, and the Song of
Micenei ed Egeo Anatolici 18 (1977): 73–79. An edition of
Release is a poem composed of several parables and non-
the scarce fragments that remain from the Hurrian version
mythological narratives. The parables deal with mountains,
of some Hittite myths.
animals, cups, or other objects that behave in a bad manner
Siegelová, Jana. Appu-Märchen und Hedammu-Mythos. Wiesba-
and receive punishment, and later they are compared with
den, 1971. Hittite text, with translation into German, and
the actions of human beings. Many authors who have writ-
commentaries.
ten on Hurrian myths with religious motifs include the folk-
tale of Appu of Lulluwa and his wife, prosperous folk who
Secondary Sources
Bernabé, Alberto. Textos Literarios Hetitas. 2d ed. Madrid, 1987.
go to bed fully clothed and wonder why they cannot con-
ceive. The gods set them right and they bear two sons, Good
Bernabé, Alberto. “Hittites and Greeks. Mythical Influences and
and Evil. Later both sons fight for the inheritance. The plot
Methodological Considerations.” In Das Archaische Griec-
henland: Interne Entwicklungen—Externe Impulse, edited by
has similarities with the story of Hesiod and his brother
Robert Rollinger and Christoph Ulf, pp. 287–306. Berlin,
Perses in Works and Days. Others, however, believe that this
2003. Compares Kumarby cycle and Hesiod’s Theogony.
tale does not have a Hurrian origin.
Güterbock, Hans G. “Hittite Mythology.” In Mythologies of the
HURRIAN WORSHIP. Little is known of the actual cultic
Ancient World, edited by Samuel Noah Kramer,
practices and worship of the Hurrians. From syncretic Hit-
pp. 141–179. New York, 1961.
tite texts, mostly from Bog˘azköy, there is evidence for sympa-
Haas, Volkert. Geschichte der hethitischen Religion. Leiden and
thetic magic, bird sacrifices (also attested in texts from
New York, 1994. Exhaustive manual of Hittite (and Hurri-
Ugarit), and various forms of divination. The interpretation
an) religion.
as omens of abnormal natural phenomena, such as eclipses
Imparati, Fiorella. I Hurriti. Florence, 1964. Includes a chapter
or streaks of lightning, was also a common practice among
on religion, pp. 99–127.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUS, JAN
4233
Lebrun, René. “From Hittite Mythology: The Kumarbi Cycle.”
radical ideas for reform in his own sermons at Bethlehem
In Civilizations of the Ancient Near East, edited by Jack M.
Chapel. He also translated Wyclif’s Trialogus into Czech. In
Sasson. Vol. 3, pp. 1971–1980. New York, 1995.
1403, the conflict between the nominalism of the German
Littleton, Covington Scott. “The ‘Kingship in Heaven’ Theme.”
members of the faculty at the university and the philosophi-
In Myth and Law among the Indo-Europeans, edited by Jaan
cal realism of Wyclif and the Czech faculty members contrib-
Puhvel, pp. 83–121. Berkeley, 1970.
uted to an academic (not an ecclesiastical) condemnation of
Mondi, Robert. “Greek Mythic Thought in the Light of the Near
the heretical sense of forty-five articles drawn from Wyclif’s
East.” In Approaches to Greek Myth, edited by Lowell Ed-
writings.
munds, pp. 142–198. Baltimore and London, 1990.
The archbishop of Prague, Zbyneˇk Zajíc, who was pri-
Pecchioli Daddi, Franca, and Anna Maria Polvani. La mitologia
marily a soldier, not a theologian, at first supported both the
ittita. Brescia, 1990.
clerical reform party and Hus. In 1405, he appointed Hus
Popko, Maciej. Religions of Asia Minor. Translated by Iwona
preacher to the Prague synod. However, by attacking clerical
Zych. Warsaw, 1995. Concise and well-structured intro-
vices and abuses in his sermons, Hus aroused increasing cleri-
duction.
cal opposition to the reform party. Innocent VII and Grego-
Puhvel, Jaan. “Creation Myth in the Ancient Near East.” In his
ry XII both exhorted Zbyneˇk to check the growing interest
Comparative Mythology, pp. 21–32. Baltimore and London,
in Wyclif’s views. Hus’s friends Stanislav of Znojmo and Ste-
1987.
phen Pálecˇ later became his bitter enemies after they were
Walcot, P. Hesiod and the Near East. Cardiff, 1966.
forced to defend themselves against charges of heresy by re-
nouncing Wyclif’s views (particularly the doctrine of rema-
West, Martin L. Hesiod, Theogony. Oxford, U.K., 1966. A com-
nence, i.e., that bread and wine remain unchanged after the
mentary with many references to Oriental parallels.
words of consecration in the sacrament).
Wilhelm, Gernot. “Gods, Myths, Cults, and Magic.” In The Hur-
rians, translated by Jennifer Barnes, pp. 49–76. Warminster,
Hus lost the archbishop’s support when he and other
U.K., 1989. German ed., Darmstadt, Germany, 1982. Con-
Czech faculty members sided with Wenceslas, king of Bohe-
cise and complete presentation.
mia, in his recognition of Alexander V, who in 1409 had
been elected pope by the Council of Pisa in an attempt to
WILLIAM J. FULCO (1987)
A
end the schism that was dividing Western Christendom into
LBERTO BERNABÉ (2005)
three factions. The council had deposed and excommunicat-
ed Gregory XII and Benedict XIII, who both, however, re-
fused to abdicate in Alexander’s favor. When Zbyneˇk and the
HUS, JAN (1372/3–1415), also known as John Huss, was
German members of the faculty supported Gregory XII,
a Czech reformer of the Christian church. Hus was called
Wenceslas changed the constitution of the university in a
John of Husinec after the village in southern Bohemia in
manner that the Germans could not accept, with the result
which he was born of peasant parents. During his university
that they left Prague. (Some of them founded the University
years, he shortened his name to Hus. After earning a master’s
of Leipzig.) Zbyneˇk then obtained support from the antire-
degree, in 1398 Hus became a member of the faculty of liber-
formist clergy and acknowledged Alexander V as legitimate
al arts at the University of Prague. He was ordained a priest
pope in order to secure papal approval of his proposed ac-
in 1400, served as dean of the faculty from 1401 to 1402,
tions. To silence Hus, the archbishop forbade preaching in
and matriculated in the faculty of theology to work toward
private chapels, but Hus continued to preach. Zbyneˇk retali-
the degree of doctor of theology. Because of his subsequent
ated by ordering the burning of Wyclif’s books and sending
activities and the controversies that developed around him,
charges of heresy against Hus to the Curia Romana.
Hus never completed the degree.
When John XXIII, successor of Alexander V, issued in-
In 1402 Hus was appointed preacher at Bethlehem
dulgences for sale to raise funds for his crusade against Greg-
Chapel in Prague, where sermons were delivered in Czech
ory XII and Gregory’s supporter Ladislas of Naples, Hus op-
rather than Latin. He became a leader in the national Czech
posed the methods used to sell the indulgences, but not the
reform movement, which emphasized moral reform and
doctrine of indulgence itself. He thus lost the support of
preaching in the vernacular. Through his teachers Hus had
King Wenceslas, who was profiting from the sale of the in-
been introduced to the thought of Milíc of Kromeríz (c.
dulgences. Hus was placed under a stricter ecclesiastical ban,
1325–1374) and Matthew of Janov (c. 1355–1393), early
and because his presence threatened Prague with an interdict,
leaders of the reform movement.
he left the city in 1412. He sought refuge in the castles of
friends in southern Bohemia, where he completed important
Hus, along with other reformers, also became interested
works in Czech and Latin, including his famous De ecclesia
in the thought of John Wyclif. Prior to 1402, Hus appears
(1413).
to have known only Wyclif’s philosophical writings. But
after Hus’s friend Jerome of Prague brought a number of
Wenceslas’s brother Sigismund, king of Hungary and
Wyclif’s theological and reformist works to Prague in 1401,
king of the Romans, seeking to crush heresy and to end the
and again in 1406, Hus began to use some of Wyclif’s less
papal schism, brought pressure to convoke in 1414 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
4234
H:USAYN IBN EAL¯I, AL-
Council of Constance. Threatened by an interdict for toler-
BIBLIOGRAPHY
ating heresy in Bohemia, Wenceslas was forced to agree to
Works by Hus
Sigismund’s plan to send Hus to the council. Hus arrived in
De Ecclesia: The Church, by John Huss (1915; reprint, Westport,
Constance in 1414 with Sigismund’s assurance of safe-
Conn., 1974) is an edited translation by David S. Schaff of
Hus’s most famous work. S. Harrison Thomson prepared a
conduct, but there he was questioned, imprisoned, and tried
critical edition of the Latin text as Magistri Joannis Hus trac-
for heresy. He was found guilty and was burned at the stake
tatus de ecclesia (Boulder, Colo., 1956). Matthew Spinka ed-
at Constance on July 6, 1415.
ited and translated the important work “Hus on Simony,”
in Advocates of Reform from Wyclif to Erasmus, “Library of
Hus’s religious views have been interpreted as being de-
Christian Classics,” vol. 14 (Philadelphia, 1953). Spinka also
rived from the writings of Wyclif, and thus as both heretical
translated The Letters of John Hus (Manchester, 1972).
and devoid of originality. They have also been interpreted
Works about Hus
as the culmination of the national Czech reform movement,
Johann Loserth influenced many by his thesis of Hus’s extreme
modified by some of Wyclif’s less radical ideas. In this inter-
dependence on Wyclif in Wiclif and Hus, translated by Mau-
pretation, Hus is seen as essentially orthodox in his scholastic
rice John Evans from the first German edition (London,
1884). Loserth’s Hus und Wiclif: Zur Genesis der hussitischen
views, unlike his colleagues, some of whom advocated radical
Lehre (Munich, 1925) is a second, revised edition. Czech
Wyclifite heresies. Some recent Czech writers have seen Hus
scholars and others have criticized this thesis, for example,
and his followers as representatives of the lower classes in
Paul de Vooght in his L’hérésie de Jean Huss (Louvain, 1960).
their revolt against a feudal society.
Matthew Spinka’s criticism of it had appeared in John Hus
and the Czech Reform (1941; reprint, Hamden, Conn.,
Hus had what is now called an ecumenical view of the
1966). Spinka extended his argument, showing the impor-
church. He thought of the Roman church as but one among
tance of the national Czech reform tradition, in John Hus’
several branches of the church militant and defined the true
Concept of the Church (Princeton, 1966). The appendix to
church as the totality of the predestinated. Thus his judges
this work contains the forty-five articles attributed to Wyclif
that were condemned in 1403 and 1412 and the thirty arti-
at the Council of Constance interpreted his views correctly
cles for which Hus was executed together with Hus’s re-
when they accused Hus of denying that the Roman church
sponses. Spinka translated and edited John Hus at the Council
is the only true church but were wrong in their interpretation
of Constance (New York, 1965), which contains an instruc-
that he refuted the valid existence of the church militant. De-
tive introduction and a translation of “An Account of the
nying the supreme authority of popes and councils, Hus ac-
Trial and Condemnation of Master John Hus in Con-
corded supreme authority for faith and practice to Christ’s
stance,” by Peter of Mladonovice. Spinka’s John Hus: A Biog-
teachings and life, as chronicled in scripture; however, he
raphy (Princeton, 1968) is a thorough study with useful
maps. Each of these last three works contains an excellent
granted a subordinate authority to the traditions of the
bibliography of primary sources and specialized studies,
church, and as a scholastic theologian did not exclude ap-
many of which are by Czech scholars.
peals to these traditions. Hus was not, strictly speaking, a
JOHN C. GODBEY (1987)
pre-Lutheran advocate of sola scriptura. Neither was he an
advocate of sola fide, justification by faith alone. He empha-
sized (with rare exceptions) the necessity of good works for
H:USAYN IBN EAL¯I, AL-
salvation in the sense of fide caritate formata, faith formed
(AH 4–61/626–680 CE) was
the son of Fa¯t:imah, the daughter of the prophet
by love. He believed in transubstantiation rather than in the
Muh:ammad, and the Prophet’s cousin EAl¯ı ibn Ab¯ı T:a¯lib.
doctrine of remanence. Toward the end of his life, in a letter
Al-H:usayn was born in Medina on 3 ShaEba¯n 4 (January
from the Council of Constance to his substitute at Bethle-
626). He and his elder brother, al-H:asan, were the only
hem Chapel, Hus approved the distribution of both bread
grandsons of the Prophet, and many accounts survive in
and wine, not bread alone, to the laity, a practice that his fol-
Muslim tradition of the Prophet’s affection for them. The
lowers continued.
Prophet is reported to have said: “al-H:asan and al-H:usayn
are the lords of the youth of Paradise,” interpreted by the
Hus’s influence was especially pronounced among the
Sh¯ıEah as proof for their ima¯mah. The Prophet is also report-
moderate Hussites who were known as Utraquists (from
ed to have said “al-H:usayn is from me and I am from
utraque, “each of two,” referring to the two Communion ele-
al-H:usayn,” which signals the intimate relationship between
ments), and also as Calixtines (from calix, “goblet, drinking
grandson and grandfather, or in the Sh¯ıE¯ı conception, be-
vessel”). His teachings strongly influenced the members of
tween the Prophet and his third successor as ima¯m.
the Unitas Fratrum (Unity of Czech Brethren), who separat-
Al-H:usayn is best known as the archetypal martyr of the
ed from the other Hussites in 1467. The Czechoslovak Huss-
Sh¯ıE¯ı cause and a pristine, moral Islam. His tragic death with
ite Church (or Czechoslovak National Church), founded in
a small band of followers at Karbala in Iraq on 10 Muh:arram
1920, continues the Hussite tradition.
61 (October 680), an event that according to Sh¯ıE¯ı tradition
was foretold and lamented by the Prophet himself, became
SEE ALSO Wyclif, John.
the pivotal event in Sh¯ıE¯ı salvation history.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
H:USAYN IBN EAL¯I, AL-
4235
HISTORY. Al-H:usayn grew up as a member of the Muslim
in Ku¯fah spread, al-H:usayn’s following dwindled. The re-
elite in Medina. He was a child when the Prophet died, and
mainder was intercepted by Ibn Ziya¯d’s forces, led by
he suffered the death of his mother soon after. He also saw
al-H:urr ibn Yaz¯ıd, and the group was forced to stop on the
how his father—according to the Sh¯ıEah—was continuously
banks of the Euphrates at Karbala. Ibn Ziya¯d then sent a fur-
denied his right as the legitimate religious and political suc-
ther force, under the command of EUmar ibn SaEd ibn Ab¯ı
cessor to the Prophet until the chaos of 656, when, following
Waqqa¯s:, to urge al-H:usayn to submit or to suffer the fate
the murder of the third caliph, EUthma¯n ibn EAffa¯n, by disaf-
of a rebel. Al-H:usayn’s party was surrounded and denied
fected Egyptian rebels, EAl¯ı was chosen as caliph by the com-
water. The Battle of Karbala took place on 10 Muh:arram 61
munity in Medina. Some, however, were not willing to ac-
(October 680), the day known as EA¯shu¯ra¯D.
cept his leadership and EAl¯ı had to fight fellow Muslims to
assert his authority. EUthma¯n’s kinsman, MuEa¯wiyah ibn Ab¯ı
Al-H:urr, appalled by the possibility of being responsible
Sufya¯n, governor of Syria, disputed EAl¯ı’s authority, claiming
for the death of the Prophet’s grandson, switched sides. But
that the blood of the dead caliph had not been revenged, ush-
the forces of the governor, which included many who had
ering in what is known in Muslim tradition as the first civil
initially called al-H:usayn to Ku¯fah to support them against
war. After the famous and inconclusive battle at S:iff¯ın on the
Yaz¯ıd, persisted, demonstrating the success of Ibn Ziya¯d in
northern borders of Syria and Iraq, EAl¯ı was coerced by a
transforming the rebellion. All of al-H:usayn’s followers were
group of his forces, who were unable to countenance further
killed, including his infant child and other children of his
internecine blood, to accept arbitration. This led to the dis-
family. Al-H:usayn was executed, decapitated, and his body
content of some of his supporters, who declared him to be
trampled under the hooves of horses. Possessions were plun-
an unbeliever for accepting arbitration over what they re-
dered and the women and children were taken as captives,
garded as the rule of God. These Kha¯rij¯ıs rebelled and were
first to Ku¯fah and then to Damascus, where they were parad-
crushed at Nahrawa¯n. But the movement survived and in
ed as defeated rebels. Only one son of al-H:usayn, EAl¯ı, who
661 one of its members assassinated EAl¯ı in the mosque at
had been sick throughout, survived. In Sh¯ıE¯ı accounts, the
Ku¯fah, the caliphal capital.
humiliation is amplified by the fact that few in Syria even
recognized them as the family of the Prophet.
Al-H:asan succeeded his father. But the intrigue against
him and his lack of support led him to agree to terms where-
HISTORICAL LEGACY, MARTRYOLOGY, AND COMMEMORA-
by he abdicated the caliphate in favor of MuEa¯wiyah. Accord-
TION. The martyrdom came as a great shock to the Muslim
ing to the agreement, MuEa¯wiyah would safeguard the life
community and inspired many Sh¯ıE¯ı revolts aimed at reveng-
and property of the supporters of EAl¯ı, cease the public curs-
ing the blood of al-H:usayn. The earliest, known as the Peni-
ing of EAl¯ı from pulpits in Syria, and ensure that his successor
tents (al-Tawwa¯bu¯n), were Ku¯fans who regretted their fail-
would be decided by consultation, probably in favor of
ure to support al-H:usayn. When the EAbba¯sids came to
al-H:asan or al-H:usayn. Al-H:asan died in 671, poisoned by
power in 750 through a revolution, the call for avenging
MuEa¯wiyah according to Sh¯ıE¯ı tradition, which also affirms
al-H:usayn was a key aspect of their kerygma. Nevertheless,
that MuEa¯wiyah never kept his side of the bargain.
once the rights of the family of the Prophet and the Sh¯ıEah
remained unfulfilled, Sh¯ıE¯ı rebellions continued. Vengeance
MARTYRDOM. The hope of the Sh¯ıEah turned to al-H:usayn.
for al-H:usayn still lies unfulfilled in Twelver Sh¯ıE¯ı theology
He stood by the agreement with MuEa¯wiyah and refused to
until the coming of the messianic mahd¯ı, the descendent of
revolt in his lifetime. But when MuEa¯wiyah died in 680, en-
the Prophet and al-H:usayn, who at the end of time will erad-
suring the succession of his son Yaz¯ıd, universally regarded
icate injustice, thus avenging the blood of al-H:usayn, and
in Muslim tradition as an immoral and unjust tyrant,
usher in a final era of peace and justice.
al-H:usayn became the leader of those who refused to ac-
knowledge the succession. Yaz¯ıd ordered the governor of
The emotional affect of al-H:usayn’s martyrdom in-
Medina to seek the allegiance of the notables in the city, es-
spired elegies and accounts of what happened. These ac-
pecially al-H:usayn, who was the surviving grandson of the
counts, the earliest being the Ku¯fan Sh¯ıE¯ı Abu¯ Mikhnaf
Prophet. Al-H:usayn evaded this demand and left for Mecca
al-Azd¯ı’s maqtal, were central to mobilization for the Sh¯ıE¯ı
and its sanctuary. The Sh¯ıEah in Ku¯fah, upon hearing of
cause. The maqa¯til (accounts of the martyrdom) literature
al-H:usayn’s action, urged him to come to Iraq to lead a revo-
proliferated in a variety of vernaculars from Arabic to Swahili
lution against Yaz¯ıd. Responding to their call, al-H:usayn
(and continues to be written—the contemporary Arabic
sent his cousin, Muslim ibn EAq¯ıl ibn Ab¯ı T:a¯lib, to Ku¯fah
maqtal of the Iraqi scholar Sayyid Muqarram is very popu-
to assess his support. Yaz¯ıd, however, appointed EUbayd
lar). As powerful rhetorical devices that represent and express
Alla¯h ibn Ziya¯d, the son of a close confidant of MuEa¯wiyah,
Sh¯ıE¯ı theology, the maqa¯til signal the devotion, aspirations,
as the governor, with the mandate to crush any resistance.
thought, and collective memory of the Sh¯ıEah. Over time,
Ibn Ziya¯d quelled the discontent in Ku¯fah through coercion
more miraculous stories and details were layered into the ac-
and bribery, and he executed Muslim and his protectors, es-
count. These accounts, along with the rituals of commemo-
pecially Ha¯niD ibn EUrwah. Ibn Ziya¯d then sent out forces
ration, developed elaborate forms, including sermons re-
to intercept al-H:usayn, who had set out from Mecca towards
counting the martyrdom (known in the Persianate East as
Ku¯fah with a band of family and followers. As news of events
rawzeh after a key text of the fifteenth-century, the Rawd: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
4236
HUSSERL, EDMUND
al-shuhada¯Dof H:usayn Va¯Eiz: Ka¯shif¯ı). Concurrently, pilgrim-
Papers of the Ima¯m H:usayn Conference 1984. Al-Serat: Special
ages to the shrine of al-H:usayn in Karbala developed, and
issue, vol. 12. London, 1986. A collection of reflections by
rulers expressed their piety and devotions through the con-
Sh¯ıE¯ı scholars and academics on the significance of
struction of works at the shrine and charitable endowments.
al-H:usayn and the commemorations of his martyrdom.
Prayer and pilgrimage manuals set out the excellences and
Shams al-D¯ın, Muh:ammad Mahd¯ı. The Rising of al-H:usayn: Its
rites of visitation (ziya¯rah) and salutations upon the martyred
Impact on the Consciousness of Muslim Society. Translated by
ima¯m, through which the Sh¯ıEah would renew their covenant
I. K. A. Howard. London, 1985. An interesting study by a
of allegiance to the ima¯ms of the family of the Prophet. The
modern Lebanese Sh¯ıE¯ı scholar of the development of com-
memorative rituals, practices, and elegies concerned with the
visitation also recognizes the spiritual vitality of the ima¯m as
martyrdom of al-H:usayn.
an enshrined saint.
T:abar¯ı, Ibn Jar¯ır, al-. The History of al-T:abar¯ı: The Caliphate of
The commemoration rituals during the month of
Yaz¯ıd b. MuEa¯wiyah. Translated by I. K. A. Howard. Albany,
Muh:arram, known as taEziyah, take on various cultural forms
N.Y., 1990. A classic account of the martyrdom of
and illustrate the translations of Sh¯ıE¯ı aspirations and grief
al-H:usayn by the famous historian based on the earliest
for the death of al-H:usayn. The earliest public sponsorship
Ku¯fan history of Abu¯ Mikhnaf al-Azd¯ı.
of the EA¯shu¯ra¯D commemoration occurred during the Bu¯yid
SAJJAD H. RIZVI (2005)
period in fourth-century Iraq. In the Fa¯t:imid period and in
subsequent Sh¯ıE¯ı states, such as the early modern Safavids in
Iran, patronage of the commemorations was central to the
affirmation of Sh¯ıE¯ı identity and dynastic legitimacy. On the
HUSSERL, EDMUND (1859–1938), German phi-
Indian subcontinent, processions from the late Mughal peri-
losopher, founder and central figure in the twentieth-century
od have been the main expression, with mourners, flagel-
philosophical movement or approach known as phenome-
lants, and devotees carrying replicas of the shrine of
nology. Born in Prossnitz (Prostejov), Moravia, Husserl
al-H:usayn and war banners streaming through the streets. In
studied at the universities of Leipzig and Berlin and received
Iran and Bahrain, passion plays recounting the events are en-
his Ph.D. from the University of Vienna in 1882. After be-
acted. They are socially and even politically significant, as
coming an assistant to the mathematician Karl Weierstrass
every political tyrant is equated with Yaz¯ıd and every seeker
in Berlin, he moved to Vienna where, largely under the influ-
of justice with al-H:usayn. It is not insignificant that the Ira-
ence of the philosopher Franz Brentano, he changed his field
nian revolution in 1979 was sparked during the Muh:arram
from mathematics to philosophy.
commemorations. More recently in Iraq, the fall of S:adda¯m
Husserl’s three teaching positions roughly correlate with
H:usayn in 2003 was celebrated with free Sh¯ıE¯ı commemora-
three periods in the development of his phenomenological
tions for the fortieth day after EA¯shu¯ra¯D for the first time in
philosophy. His stay at the University of Halle (1887–1901)
more than twenty years. According to some accounts, up to
coincided with a prephenomenological period, during which
four million pilgrims were in Karbala for the occasion. The
he attempted to provide a psychological basis for mathemat-
vitality of the symbol of Karbala and the martyred al-H:usayn
ics and logic; it culminated in the influential Logical Investi-
remains a strong strand in the life of the world’s Sh¯ıE¯ı com-
gations (2 vols., 1900–1901), which laid the foundation for
munities.
his descriptive phenomenology. During his tenure at the
University of Göttingen (1901–1916), Husserl established
BIBLIOGRAPHY
his role as founder of the “phenomenological movement.”
Ayoub, Mahmoud. Redemptive Suffering in Islam: A Study of the
He developed the phenomenological project that he had in-
Devotional Aspects of EA¯shu¯ra¯D in Twelver Sh¯ıEism. The Hague,
troduced in the second volume of his Logical Investigations
1978. An instructive analysis of the Sh¯ıE¯ı theological re-
and, in his Ideas (1913), he turned to a “pure” or “transcen-
sponse to the martyrdom of al-H:usayn.
dental” phenomenology—a philosophical turn that was re-
Chelkowski, Peter, ed. TaEziyeh. New York, 1979. A collection of
jected by many of his followers. His work at the University
articles describing and analyzing the commemorations for
of Freiburg (from 1916 to 1929) brought a radicalization of
the martyrdom of al-H:usayn around the world.
this phenomenological idealism, in which phenomenology
Madelung, Wilferd. The Succession to Muh:ammad: A Study of the
was conceived as a renewal of life, a realization of one’s ethi-
Early Caliphate. Cambridge, UK, 1997. A historical account
cal autonomy, and an overcoming of the crisis of European
of the early caliphate in the light of the Sh¯ıE¯ı claim of the
science. The years from 1929 to 1939, during which Husserl
rightful succession of EAl¯ı; it contains a detailed account of
the civil war and the S:iff¯ın arbitration.
lived in Freiburg after his retirement from the university,
may be designated as a fourth period. This period comprises
Muf¯ıd, al-Shaykh al-. Kita¯b al-irsha¯d: The Book of Guidance into
the works of the “late Husserl.” Though isolated by social
the Lives of the Twelve Ima¯ms. Translated by I. K. A. Howard.
London, 1981. Part 2, chapter 2, on al-H:usayn provides a
and political pressures as a man with Jewish parentage in
traditional Twelver Sh¯ıE¯ı view of the life and significance of
Nazi Germany and, finally, by illness, Husserl developed,
al-H:usayn by a tenth-century Sh¯ıE¯ı theologian. It contains
during this period, his existential notion of “life-world” (Le-
an account of his martyrdom, which is also found in
benswelt) with which he explored the intersubjective and his-
al-T:abar¯ı.
torical dimensions of experience.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HUSSERL, EDMUND
4237
Since Husserl was continually rethinking his phenome-
enological constitution” (Cairns, Conversations, 1976,
nological project, his works never formed a closed philosoph-
p. 47).
ical system. There are, however, several themes that can be
Husserl’s major contribution to the study of religion is
found throughout his writings. Phenomenology, for exam-
found in later attempts by scholars to apply a modified
ple, was to be a descriptive, “rigorous science,” free from un-
Husserlian analysis to religion. Husserl’s influence can be
examined presuppositions, and each step was to have a sense
seen in the phenomenological works of Max Scheler, Ge-
of self-evident necessity. Husserl continually searched for
rardus van der Leeuw, Paul Ricoeur, and many others. Phe-
radical “new beginnings,” that is, for an absolute foundation
nomenology of religion has characterized itself as radically
on which to ground his phenomenology and to grasp the
descriptive and antireductionistic. It has often adopted
constitution of meaning.
Husserlian terms, such as epoche and “eidetic vision,” and has
Husserl conceived phenomenology to be a radically de-
sometimes utilized aspects of Husserl’s phenomenological
scriptive approach, free from our normal, unexamined pre-
method.
conceptions; it was to utilize a phenomenological method
To a lesser extent, Husserl’s phenomenology has influ-
that would allow it to describe the phenomena that appear
enced philosophy of religion and theology. In the appendix
in immediate experience and to gain direct intuition into
to his Ecclesial Man (1975), Edward Farley surveys the im-
their essential structures and meanings.
pact of phenomenology on numerous Catholic and Protes-
Husserl’s attitude toward religion is open to several in-
tant philosophers and theologians, submitting that Max
terpretations. Though the majority of Husserl scholars have
Scheler was the dominant figure in the field during the peri-
assumed that he had little or no interest in religion, several
od between 1921 and 1934, and that the philosopher and
scholars, largely on the basis of unpublished manuscripts,
theologian Henri Duméry, who applies a Husserlian method
correspondence, and conversations, have submitted that reli-
to the study of religion, has dominated the period from the
gion and “the problem of God” were serious concerns for
1950s. Many scholars maintain that French phenomenolo-
Husserl.
gy, deeply influenced by Husserl, took a religious and even
a theological turn in the 1980s and 1990s.
Born to Jewish parents, Husserl became an Evangelical
Lutheran in 1887. A few individuals have claimed that he
Starting in the 1990s, there has been a revival in philo-
had a religious conversion on his deathbed, but this report
sophical phenomenology of religion. This has involved both
has been widely challenged. In general, Husserl’s phenome-
renewed interest in older phenomenologists and the emer-
nological suspension of all judgments about what is real pro-
gence of younger phenomenologists of religion. In this re-
duced a tolerance toward all “genuine” religious phenomena.
newal of phenomenology of religion, most of these scholars
In addition, many scholars have commented that Husserl
either trace their phenomenology back to Husserl or at least
often conceived his phenomenological approach in terms of
interact with Husserl’s foundational formulations. Among
a “conversion,” and that he regarded his philosophical mis-
philosophers considered by other scholars as contributing to
sion with a kind of religious fervor. It does seem, however,
the renewal of phenomenology of religion are Martin Hei-
that Husserl had little interest in a personal God or in any
degger, Paul Ricoeur, Emmanuel Levinas, Jacques Derrida,
other aspect of traditional religion; he rejected the externals
Michel Henry, and Jean-Luc Marion.
of religion and all theological dogma. On the other hand,
scattered references to God appear in Logical Investigations
BIBLIOGRAPHY
and Ideas; passages with religious reference or implication are
François Lapointe includes a bibliography of Husserl’s writings,
found also in later works such as The Crisis of European Sci-
beginning with 1882, in his Edmund Husserl and His Critics:
ences and Transcendental Phenomenology (1936) and in Do-
An International Bibliography, 1894–1974 (Bowling Green,
Ohio, 1980). The definitive edition of Husserl’s collected
rion Cairns’s Conversations with Husserl and Fink (1976);
works is Husserliana: Edmund Husserl, Gesammelte Werke
and a greater number of religious references appear in
(The Hague, 1950–). Among translations of Husserl’s writ-
Husserl’s diaries and in later unpublished manuscripts and
ings into English, one may cite Logical Investigations (1900–
correspondence.
1901), 2 vols. translated by John N. Findaly (New York,
Although these passages tend to be vague, underdevel-
1970); Ideas Pertaining to a Pure Phenomenology and to a Phe-
oped, and open to conflicting interpretations, it is apparent
nomenological Philosophy. First Book: General Introduction to
Pure Phenomenology (1913), translated by Fred Kersten (The
that, according to Husserl, God is neither a personal deity
Hague, 1982); The Crisis of European Sciences and Transcen-
nor a cause of the world, but an “idea” within the context
dental Phenomenology: An Introduction to Phenomenological
of universal teleology. God as idea is the telos, that is, the uni-
Philosophy (1936), translated with introduction by David
versal and ideal end and the transcendent motivating force
Carr (Evanston, Ill., 1970). A good collection of Husserl’s
and final principle in the evolution of reason. Furthermore,
translated writings is The Essential Husserl: Basic Writings in
Husserl cryptically comments that only with an understand-
Transcendental Phenomenology, edited by Donn Welton
ing of the “transcendental consciousness” of phenomenology
(Bloomington, Ind., 1999).
can one “understand the transcendence of God,” and that
Although there have been thousands of titles devoted to Husserl
“ethical-religious questions are the last questions of phenom-
(Lapointe lists 3,879 publications), relatively few are con-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4238
HUTCHINSON, ANNE
cerned with religion. Perhaps the best source on this subject
became enthusiastic disciples. When, at last, she accused all
is The Teleologies in Husserlian Phenomenology, edited by
the Massachusetts clergy except Cotton of preaching a cove-
Anna-Teresa Tymieniecka, volume 9 of “Analecta Husserli-
nant of works, she precipitated a factional division that
ana” (Dordrecht, Netherlands, 1979). This volume includes
aroused the colony. Soon the religious breach assumed politi-
several articles on Husserl, religious experience, and theolo-
cal dimensions and threatened the public safety.
gy, of which Stephan Strasser’s “History, Teleology, and
God in the Philosophy of Husserl” is especially noteworthy.
The orthodox leaders, seeing the future of the colony
Edward Farley’s Ecclesial Man (Philadelphia, 1975) utilizes
at stake, regained political ascendancy by enlisting the sup-
Husserl’s phenomenology in formulating a phenomenologi-
port of outlying agricultural communities. A clerical synod
cal theology and surveys the impact of Husserl’s phenome-
declared Hutchinson guilty of holding numerous erroneous
nology on Catholic and Protestant philosophy of religion
opinions, most of them inferential extensions of her central
and theology. Among the works of “the new phenomenolo-
doctrine. Arraigned before the General Court in November
gy,” primarily written by French phenomenologists of reli-
1637, Hutchinson unguardedly boasted that she had re-
gions, one may cite Jean-Luc Marion, Reduction and Given-
ness: Investigations of Husserl, Heidegger, and Phenomenology,
ceived revelations from the Holy Spirit, a heretical claim that
translated by Thomas A. Carlson (Evanston, Ill., 1998). See
horrified all orthodox Puritans. Repudiated by Cotton, ex-
also Phenomenology and the “Theological Turn”: The French
communicated from the Boston church, and banished from
Debate by Dominique Janicaud and others (originally pub-
the colony, she fled with family and friends to neighboring
lished in French, 1991; New York, 2000).
Rhode Island. Further dissension prompted her removal to
D
New Netherland where, in 1643, she and her younger chil-
OUGLAS ALLEN (1987 AND 2005)
dren were massacred by Indians.
Hutchinson left behind neither a religious organization
nor a fixed system of belief. Although a remarkably intelli-
HUTCHINSON, ANNE (1591–1643), was the cen-
gent and courageous woman, she seems to have been intoler-
tral figure in the antinomian controversy in the Massachu-
ant of religious doctrines other than her own. But the strug-
setts Bay Colony in 1636–1637. A native of Alford, Lincoln-
gle of such sectarians who sought freedom of conscience for
shire, Anne Marbury married William Hutchinson, an
themselves prompted a diversity of beliefs that paved the way
affluent merchant of that town, and mothered a large family.
to a general freedom of religion for later generations.
Around 1630 she came under the religious influence of John
Cotton, vicar of Saint Botolph’s in nearby Boston, and four
years later she and her family followed him to the newly set-
BIBLIOGRAPHY
tled town of Boston in New England.
Basic documentation can be found in Antinomianism in the Colony
of Massachusetts Bay, 1636–1638 (1894; reprint, New York,
The Puritans of the English Congregational churches
1967), edited by Charles Francis Adams, and in Winthrop’s
had sought to leaven John Calvin’s harsh predestination de-
Journal, “History of New England,” 1630–1649, 2 vols.
cree by incorporating a concrete assurance of election that
(1908; reprint, New York, 1966), edited by James K.
would be contingent on the moral responsibility of the elect.
Hosmer. The most satisfactory brief account, although skep-
They asserted that the hopeful believer could prepare his or
tical of the religious issues, is in Charles Francis Adams’s
her soul for the reception of God’s saving grace through a
Three Episodes of Massachusetts History, rev. ed., 2 vols. (1896;
reprint, New York, 1965). My own book Saints and Sectaries:
life of purity that might offer evidence of salvation. John
Anne Hutchinson and the Antinomian Controversy in the Mas-
Cotton, however, warned that this innovation imperiled the
sachusetts Bay Colony (Chapel Hill, N.C., 1962) is a more de-
basic Protestant doctrine of justification by faith alone. The
tailed study. Criticism of the modern tendency to see Hutch-
believer must receive “witnesse of the Spirit itselfe,” he wrote,
inson as a “prophet of liberalism” is made by Edmund S.
before being able to advance his or her moral condition as
Morgan in “The Case against Anne Hutchinson,” New En-
evidence of a state of grace.
gland Quarterly 10 (December 1937): 635–649. Essential to
an understanding of the issues of the antinomian controversy
Anne Hutchinson incautiously distorted Cotton’s doc-
are two works by Perry Miller: The New England Mind: The
trine by asserting that the gift of grace implied the actual in-
Seventeenth Century (New York, 1939) and Orthodoxy in
dwelling of the spirit of the Lord, mystically uniting the elect
Massachusetts, 1630–1650 (1933; reprint, Gloucester, Mass.,
to himself, thus rendering superfluous all other evidence of
1965).
salvation. This conclusion verged perilously on the antino-
mian heresy, which held that Christians are freed from the
EMERY J. BATTIS (1987)
moral law of the Old Testament by the new dispensation of
grace proffered in the gospel.
Hutchinson communicated her beliefs in the guise of
HUTTERIAN BRETHREN. The Hutterian
an informal exegesis of Cotton’s weekly sermons. Large
Brethren are a branch of Anabaptist Christians originally or-
numbers of people attended these doctrinal discussions at her
ganized by Jacob Hutter (d. 1536). Hutter’s followers,
home in Boston, and a majority of the local congregation,
known still as Hutterites, accept the year 1528 as the date
including most of the town’s political and mercantile leaders,
of their founding because it was then that the founders decid-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
HYPOSTASIS
4239
ed to pool their resources and—unlike their Anabaptist
Bruderhof is administered by five or six men elected for a
counterparts the Amish and the Mennonites—to hold “all
lifetime; women do not serve on the council, nor are they
things common.” Although they have no objection to the
permitted to vote. The minister of each Bruderhof is both
name Hutterites, they prefer to be known as Hutterian
the spiritual and the secular head.
Brethren or simply Brethren.
By the beginning of the twenty-first century, the Hut-
Jacob Hutter, a hat maker whose surname means hatter,
terites had grown to over 400 colonies with a population of
was a Swiss Anabaptist minister who promulgated the prac-
more than thirty thousand members throughout the mid-
tice of adult baptism, rejection of oaths, pacifism, and nonas-
western United States and Canada. Three groups of Hutter-
similation. He apparently had some education, since he
ites exist (though their differences are more traditional and
spoke well and had knowledge of geography and basic math-
geographical than doctrinal): the Schmiedeleut, the Darius-
ematics. He was also a firm disciplinarian and a brilliant or-
leut, and the Lehrerleut. In 1992, the Schmiedeleut branch
ganizer. Journeying in 1529 from the Tyrol to Moravia, he
of the Hutterian Brethren split when a large group of Sch-
found disarray and dissension among various congregations
miedeleut Hutterites (also known as Committee Hutterites
of Anabaptists. With an unwavering hand, he was able to
or Group 2) became dissatisfied with some community poli-
overcome the schisms and impart a sense of mission.
cies. Thus, the committee Hutterites created a new church
constitution and installed a committee of elders to look after
Hutter was a man of indomitable will and exceptional
their own affairs.
courage. During a trip to the Tyrol in 1536, he was abducted
and imprisoned by his enemies. Despite torture, he refused
SEE ALSO Anabaptism; Mennonites.
to give up his beliefs in the separation of church and state,
and he refused to take oaths, to bear arms, or to abandon his
BIBLIOGRAPHY
economic communalism. In February of that year he was
There are a number of accounts dealing with various aspects of
burned at the stake. After only three years as leader, he had
Hutterian life, but the best single book is John A. Hostetler’s
become a martyr.
Hutterite Society (Baltimore, 1974). Another sound book for
Following the death of Jacob Hutter, Hans Amon be-
the general reader is John W. Bennett’s Hutterian Brethren:
The Agricultural Economy and Social Organization of a Com-
came head of the church. After Amon’s death in 1542, Peter
munal People (Stanford, Calif., 1967). A more theoretical ap-
Riedeman, one of Hutter’s former assistants, assumed leader-
proach is the same author’s “Social Theory and the Social
ship. Like Hutter, Riedeman was a man of total conviction.
Order of the Hutterian Community,” Mennonite Quarterly
His beliefs, heretical to prevailing ones, prompted his impris-
Review 51 (1977): 292–307. Victor Peters’s All Things Com-
onment for nine years. Following his death in 1556, the
mon: The Hutterian Way of Life (Minneapolis, 1965) pro-
Brethren continued to grow. By 1600 they numbered some
vides a comprehensive overview for the nonspecialist. For
25,000 members.
readers interested in the earlier history of the Hutterites, an
illuminating book is Leonard Gross’s The Golden Years of the
The so-called golden years ended abruptly, however,
Hutterites (Scottsdale, Pa., 1980).
and during the 1600s and 1700s persecution became relent-
less. Hutterite numbers dwindled, and those who remained
New Sources
Esau, A. “Communal Property and Freedom of Religion: Lakeside
faithful were forced eastward, to Moravia, Transylvania, Slo-
Colony of Hutterian Brethren.” In Religious Conscience, the
vakia, and the Ukraine. Under a promise of religious free-
State, and the Law, edited by John McLaren and Harold
dom, the Brethren were able to survive in Russia from 1770
Coward, pp. 97–116. Albany, N.Y., 1999.
to 1870, at which time the promise was withdrawn. Between
Erb, Peter C. An Annotated Hutterite Bibliography. Kitchener, On-
1874 and 1877 the entire Hutterite population, more than
tario, 1998.
one thousand members, emigrated to the United States. The
communal members, approximately four hundred, settled in
Holzach, Michael. The Forgotten People: A Year among the Hutter-
ites. Translated by Stephan Lhotzky. Sioux Falls, S.D., 1993.
South Dakota in three separate colonies known as
Bruderhofs. These proved to be successful and growth was
Hutterian Brethren homepage, available from http://
rapid. By the time of World War I, some seventeen hundred
www.hutterites.org.
Brethren lived in seventeen Bruderhofs.
Packull, Werner O. Hutterite Beginnings: Communitarian Experi-
ments during the Reformation. Baltimore, Md., 1995.
Because of their refusal to bear arms, the war brought
great difficulties to the Hutterites. Hostility caused all but
Stephenson, Peter H. The Hutterian People: Ritual and Rebirth in
the Evolution of Communal Life. Lanham, Md., 1991.
one Bruderhof to relocate to Canada, but after the war many
returned to the United States. During World War II, the
WILLIAM M. KEPHART (1987)
Brethren were granted conscientious-objector status.
Revised Bibliography
Each Bruderhof is a self-supporting agricultural com-
munity employing modern farm machinery. All property is
owned communally by approximately 150 members. If a
HYPOSTASIS is a Greek noun that became an impor-
group grows beyond this number, branches are set up. The
tant term in philosophical and theological speculation. The
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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HYPOSTASIS
use of the term in Greek philosophy, especially in Platonism,
which Porphyry gave the title Concerning the Three Primal
contributed directly to its use as a technical term in Christian
Hypostases.
theology and in Gnosticism. The term is also used in modern
scholarship in the history of religions. This article will stress
Plotinus’s hierarchy of being, involving the doctrine of
the use of the term hypostasis in early Christianity and
the hypostases, can be summarized as follows. (1) Being
Gnosticism.
flows from being. (2) The realization of the lower hypostasis
occurs as a result of the next higher one’s “activity” (energeia).
GENERAL USAGE. As a verbal substantive the Greek word
(3) Yet the higher level is not thereby diminished. (4) Each
hupostasis depends for its meaning on the verb huphist¯emi
perfect hypostasis is dependent upon the preceding one, as
(lit., “stand under”); it can mean the act of “standing under”
multiplicity is to unity. (5) The One is ground of all being.
or the result of that action. A wide range of meanings flow
(See Dörrie, 1955, p. 72.) Plotinus also says of the “first hy-
from these possibilities, including such abstract meanings as
postasis,” that is, the One, that it is “prior to hupostasis” and
“origin,” “substance,” “real nature,” and so on.
“beyond being.” (See Witt, 1933, pp. 337–342.) That the
GREEK PHILOSOPHY. The fifth-century Christian historian
One transcends hypostasis is the standard view of the later
Socrates, in the context of his discussion of the Synod of Al-
Neoplatonists. The usage of Proclus (fifth century), for ex-
exandria (362), relates that the founders of Greek philosophy
ample, involves the tendency, generally observable in Neo-
never used the term hupostasis, though they often used anoth-
platonism from Iamblichus (fourth century) on, to multiply
er term, ousia (“being,” “substance,” etc.). While the ancient
hypostases and levels within them. Proclus sees in each hy-
philosophers ignored the term hupostasis, the more recent
postasis a triadic movement of remaining, procession, and re-
ones (in Socrates’ terms) have used the term as an equivalent
version. One can then define the term hypostasis as distinct
of ousia. This statement and its context imply (correctly) that
from two other important ontological terms, huparxis
the use of the term hypostasis in Christian theology is largely
(“existence”) and ousia (“being”). While ousia is sometimes
dependent upon its usage by the Greek philosophers.
used as a synonym of hupostasis and sometimes as a synonym
Stoicism. It is among the Stoics that hupostasis was first
of huparxis, the latter connotes unity, whereas hupostasis con-
used as a philosophical (ontological) term. In Stoicism
notes triplicity. Ousia is thus a more flexible term in Neopla-
hupostasis comes to be used to refer to being that has “at-
tonism. (See Gersh, 1973, pp. 31–37.)
tained reality,” that is, objective or concrete reality. It is Posi-
THE SEPTUAGINT AND PHILO. Christian usage of the term
donius (first century BCE) who gives the noun hypostasis this
hupostasis presupposes not only some of the philosophical
particular sense. Posidonius also uses the term in an antithe-
background already discussed but also the use of the term in
sis: Objects in nature such as rain and hail “have hypostasis”
the Greek Bible (the Septuagint) and in Hellenistic (Greek-
(i.e., reality), in contrast to the rainbow, which exists “ac-
speaking) Judaism, such as is represented by Philo of
cording to semblance” (kat D emphasin). Another Stoic,
Alexandria.
Cornutus (first century CE) applies the term to theology:
Zeus is “father of gods and men” in that he is the cause of
The Septuagint. Hupostasis occurs in the Septuagint
their hypostasis, that is, their objective reality. The Roman
some twenty times, corresponding to twelve different words
Stoic Seneca (first century CE) uses the Latin term substantia
in the Hebrew scriptures (in some cases hupostasis is hardly
in an analogous sense, referring to centaurs, giants, and so
a correct translation). The meaning of the word in the Septu-
on, which are fanciful beings not having substantia
agint is very fluid, corresponding to general usage, though
(“reality”).
the notion of “reality” is present in a number of cases. For
Platonism. Plato did not use the term hupostasis. Later
example, Ruth 1:12, where hupostasis means “reality” as a
Platonists adopted the term from the Stoics, probably by way
guarantee, renders the Hebrew word for “hope.” The most
of Posidonius. Middle Platonists of the second century deny
important meaning of the word in the Septuagint is “under-
that sense-perceptible objects have their own hypostasis.
lying reality behind something” (Koester, 1972,
That is, the term hupostasis cannot be used to refer to matter,
pp. 581–582).
for the truly real is immaterial. In the Platonic context one
Philo. Philo’s use of hupostasis reflects both Stoic and
can regard hupostasis (“reality”) as virtually identical with
Middle Platonic influences. Philo says, for example, that a
ousia (“being, substance”). When they are distinguished in
ray of light “does not have its own hupostasis,” that is, it does
Neoplatonic usage, hupostasis has the sense of a more particu-
not have its own “substantial existence” (On the Eternity of
lar reality that has been brought into actuality by a higher
the World 88), reflecting a Stoic use of hupostasis. The Middle
cause.
Platonic example is found in a passage where Philo refers to
Plotinus (third century) is the originator of the Neopla-
the immaterial “intelligible world” (kosmos no¯et¯es) as “the
tonic doctrine of the hypostases, or “first principles,” though
world of intelligible hupostasis,” that is, of reality, to which
in fact his use of the term hupostasis is still rather fluid. He
is contrasted the material world of sense perception (On
developed the doctrine of three “first principles” (archai): the
Dreams 1.188). But Philo would finally attribute ultimate re-
One (to hen), Intellect or Mind (nous), and Soul (psuch¯e).
ality only to God, the ground of all being. Using a form of
The locus classicus of this doctrine is Enneads 5.1, to
the verb huphist¯emi, Philo says, “God alone subsists in
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HYPOSTASIS
4241
being,” basing his statement on Exodus 3:14 (The Worse At-
seen, however, that the terms come to achieve greater speci-
tacks the Better 160).
ficity in later Neoplatonism. The same thing happens in
Christian theology. Origen (third century), while sometimes
EARLY CHRISTIANITY. A wide variety of meanings of the
using the terms as virtual equivalents, does speak of the one
word hypostasis can be found in early Christian literature, but
God as monad, but also as a trias (“trinity”) containing three
from the fourth century on the term comes to be used in spe-
hupostaseis, Father, Son, and Holy Spirit. Origen is also prob-
cial senses in dogmatic formulations on the Trinity and the
ably the first to speak of Christ as homoousios (“of the same
doctrine of Christ (Christology). Greek philosophical influ-
substance”) with the Father. (The Gnostics had already used
ence becomes more and more evident in these contexts.
this word, but in another context; see Stead, 1977,
The New Testament and early patristic literature.
pp. 190–202.) Thus Origen posits for the Deity a unity of
Hupostasis occurs five times in the New Testament, twice in
ousia, or “substance,” as genus, but a triad of hupostaseis, in
Paul and thrice in Hebrews. The two Pauline instances are
the sense of three distinct species (Wolfson, 1970, p. 322).
2 Corinthians 9:4 and 11:17, where in both verses the term
It is this language that becomes standard in Greek trinitarian
means something like “situation” (not “confidence”). In He-
theology.
brews 1:3 Christ, as Son of God, is called the “reflection of
It is possible that the second-century Gnostic Valen-
[God’s] glory and the stamp [charakt¯er] of his hupostasis,”
tinus “was the first to think of three hypostaseis and three per-
that is, of God’s transcendent reality. Hebrews 11:1 contains
sons [pro¯sopa; lit., “faces”], Father, Son and Holy Spirit”
a famous definition of faith (pistis) as “the hupostasis of things
(fragment 9), but this statement may reflect a later terminol-
hoped for, the evidence of things not seen,” wherein the
ogy. (The fragment is found in Pseudo-Anthimus, who is
word hupostasis means “realization” (rather than “assurance,”
perhaps identifiable as Marcellus of Ancyra, of the fourth
as in the usual psychologizing interpretation; see Mathis,
century.)
1922, p. 87). Hebrews 3:14 should be interpreted according-
ly: In this verse hupostasis refers to the “realization” (by faith)
Tertullian (second to third century) used the Latin term
of Christ, already commenced in the life of the Christian
substantia as equivalent to the Greek ousia (though its exact
community. (See Koester, 1972, p. 587.)
Greek etymological counterpart is hupostasis), and expressed
the unity of Father, Son, and Holy Spirit as una substantia.
Beginning with Tatian in the second century, the term
He used the term persona (probably derived from juridical
hupostasis comes to be used more often and takes on a dis-
language) to refer to each of the three members of the Trini-
tinct philosophical and theological cast. Tatian refers to God
ty. This is the language that became standard in Latin trini-
as the hupostasis, or “absolute reality,” of the universe, inas-
tarian theology.
much as he has brought all things into being. Tatian can also
It was not until the fifth century that orthodox trinitari-
refer to the hypostasis, or “real nature,” of the demons as “re-
an terminology became standardized. The Council of Nicaea
flections of evil.” The author of the Epistle to Diognetus (2.1)
(325), in rejecting the Arian heresy and adopting the ho-
challenges the heathen to reflect on what sort of hupostasis
moousios formula to express the relationship between Father
(“real nature”) or form their so-called gods have. In one of
and Son, nevertheless used the words ousia and hupostasis as
the recently discovered Coptic texts from Nag Hammadi,
synonyms. At the Synod of Alexandria in 362, under the in-
The Teachings of Silvanus, a Christian document whose
fluence of Athanasius, the designation treis hupostaseis (“three
Greek original probably dates from the second century, it is
hypostases”) was officially adopted, though even there mia
said that “Christ has a single hupostasis” (99.13) and that he
hypostasis was conceded to express the unity of the divine
is “incomprehensible with respect to his hupostasis” (102.3).
being as well as mia ousia. The Cappadocian Fathers of the
Here the term means “real nature.” This text represents a
fourth century, especially Basil of Caesarea, were influential
transitional stage in the development of a trinitarian and
in the eventual differentiation of ousia, as the more common
Christological use of the term hupostasis.
term, from hupostasis, the more particular. Hence the Coun-
Trinitarian theology. The main issue confronting early
cil of Chalcedon (451) could define the unity of God as a
Christian theologians was how to reconcile a belief in the
unity of ousia and characterize the individual members of the
deity of Christ (and the Holy Spirit) with the belief in only
Trinity as three perfect hupostaseis or three perfect proso¯pa
one God, a fundamental inheritance from Judaism. In the
(Lat., personae).
development of Christian trinitarian dogma such basic
It should be noted that Christian theological develop-
philosophical terms as ousia and hupostasis come to play a de-
ment of the term hypostasis runs parallel to that of the Neo-
cisive role. But it was not immediately evident how these
platonist philosophers. But, in the final analysis, in orthodox
terms should be defined in relation to each other. The same
Christian trinitarian language the three hypostases are coor-
fluidity of usage can be seen among Christian theologians as
dinated, whereas in Neoplatonism lower hypostases are sub-
has already been observed in the discussion of Greek
ordinated to the higher in a chain of being, and all hypostases
philosophy.
are ultimately subordinated to the One.
Socrates stated that the terms hupostasis and ousia were
Christology. As the distinction between hupostasis and
being used as equivalents by Greek philosophers. It has been
ousia was gradually being defined a new problem was arising:
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HYPOSTASIS
the relation between hupostasis and phusis (“nature”) in the
Son of man from the unknown Perfect Man (Refutation of
context of Christology, that is, in descriptions of Christ as
All Heresies 8.13).
both God and humankind. Apollinarius of Laodicea (fourth
Plotinus accuses the Gnostics known to him of intro-
century) virtually equated the two terms, maintaining that
ducing “other hupostaseis,” such as “exiles” (paroik¯eseis), “im-
Christ, even after the incarnation, is “one nature, one
pressions” (antitupoi) and “repentances” (metanoiai) (Enne-
hupostasis.” Apollinarius was widely denounced as a heretic.
ads 2.9.6), referring doubtless to a Gnostic mythological-
In the early fifth century a very different Christology was
metaphysical system in which those entities occur,
propounded by Nestorius: Christ has two natures (phuseis),
presumably as “levels of reality.” (These terms actually occur
divinity and humanity, and each phusis has its own hupostasis
in some of the Coptic texts known to us—Zostrianos, for ex-
(“substantial reality”). Cyril of Alexandria, the archenemy of
ample—though the term hupostasis is not found in that con-
Nestorius, developed the notion of a “hypostatic union”:
nection.)
Christ has two natures, but they are united kath D hupostasin
(lit.,“according to hypostasis,” i.e., in reality). Pope Leo I, in
Coptic texts. The fourth tractate in Nag Hammadi
his famous Tome, defined the relationship between Christ’s
Codex II is given the title The Hypostasis of the Archons and
divinity and humanity as a duality in nature but a unity in
has as its main subject matter the “reality” of the cosmic “rul-
person or hupostasis, and it is this formula that became stan-
ers.” The meaning of the term in that text, which opens with
dardized at the Council of Chalcedon in 451 (“two natures
a quotation from Ephesians 6:12, is akin to that of the Valen-
. . . one proso¯pon and one hupostasis”). However, the dis-
tinian usage noted above (“hupostasis of evil”), but it also
tinction between hupostasis and phusis thus achieved was
bears the connotation of “origin,” as the content of the text
never accepted by the so-called monophysite churches,
attests (hupostasis is so used at 93.35).
which continue to reject the Chalcedonian formulation.
In the Apocryphon of John, the term hupostasis is used of
GNOSTICISM. The word hupostasis was used by certain sec-
the “being” created by the Demiurge according to the image
ond-century Gnostics, as attested both in Greek patristic tes-
of God (15.9); of the seven psychic “substances” out of
timonies and in the recently available Coptic texts from Nag
which Adam’s psychic body is created (15.25); and of the
Hammadi.
“reality” of the flesh borne by the Gnostic before his final re-
demption (25.34).
Greek testimonies. It has already been noted that
Valentinus may have been the first to think of Father, Son,
In the Gospel of the Egyptians, it is said that the Demi-
and Holy Spirit as three hupostaseis. Other Valentinian
urge “trusted in his hupostasis,” that is, his “nature” (59.1).
Gnostic uses of the term are more reliably attested. In the
In the Sophia of Jesus Christ, the term hupostasis is used twice
system of Ptolemy, as reported by Irenaeus, a primal divine
of the “real nature” of the universe (91.3, 92.4).
Ogdoad is posited as the “root and hupostasis of all things”
In A Valentinian Exposition, the Son is said to be the
(Against Heresies 1.1.1). Here the term has the connotation
“hupostasis of the Father,” that is, the Father’s “real nature”
of “origin” as well as “underlying reality.” Later in the same
(24.23). Later he is called “the hupostasis of the All” (25.33),
system three “underlying” (hupokeimenoi) entities are posit-
that is, the “underlying reality,” or perhaps “origin,” of the
ed: “matter” (hul¯e), “the psychic” (to psuchikon), and “the
All.
spiritual” (to pneumatikon). These entities are subsequently
referred to with the terms ousia and hupostasis, used inter-
The term hupostasis is also used in two non-Christian
changeably. These entities exist also in humans, and the
gnostic texts of the late second or early third century, both
pneumatike hupostasis is the “spiritual reality” of the Gnostic,
of them heavily influenced by Platonic philosophy: Allogenes,
incapable of being sullied by anything in the world (1.6.2.).
a text known to Plotinus and his school, and Marsanes. In
The Valentinians can even refer to the “spiritual hypostasis”
Allogenes a divine being called the Triple Power or Autogenes
of evil, quoting Ephesians 6:12 in this connection (1.5.4).
is said to be a “hupostasis of the primacy of the One who truly
Here the term means “reality” or “real nature,” as in other
exists.” Here the term means “real nature” but also has the
second-century Christian literature (e.g., Tatian).
connotation of “first principle” or “hypostasis” in the Neo-
platonist sense. In Marsanes the term also means “real na-
Marcus, a Valentinian Gnostic teacher, developed a
ture”: of the Three-Powered One (9.17); of the Dyad
speculative system based on the letters of the alphabet.
(32.18); and of the redeemed Gnostic (40.1).
Irenaeus, in describing this system, says that Marcus con-
structs the ousia and hupostasis (i.e., “real nature”) of the in-
In Gnosticism the term hupostasis was used in a variety
corporeal and insubstantial Father out of many letters of the
of ways under the influence of popular (mainly Platonist)
alphabet, but the technical terminology here may be that of
philosophy, but it never achieved a consistent philosophical
Irenaeus himself. Monoemus the Arab, a Gnostic known to
or theological definition, even if Gnostic usage contributed,
us only from the testimony of Hippolytus, applied numerol-
positively or negatively, to the formulations of Neoplatonist
ogy in his interpretation of the Bible. The composition of
philosophy and Christian theology.
numbers as “corporeal hupostaseis” (i.e., “realities”) out of the
HISTORY OF RELIGIONS SCHOLARSHIP. The English term
primal monad is for him an analogy to the generation of the
hypostasis is used in modern scholarship in the study of reli-
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HYPOSTASIS
4243
gion to refer to various “hypostatizations” (or “hypostasiza-
An extensive article devoted to Christian theological usage is Adol-
tions”), that is, mythic objectifications or personifications of
phe Michel’s “Hypostase,” in Dictionnaire de théologie
divine qualities, gifts, or attributes or of abstract concepts or
catholique, vol. 7 (Paris, 1922). An important monograph on
aspects of human existence, whereby such entities assume an
the term, with special reference to Hebrews 11:1, is that of
identity of their own. Such “hypostases” are very widespread
M. A. Mathis, The Pauline Pistis-Hypostasis according to Hb
11:1 (Washington, D.C., 1920), summarized in an article,
in ancient religions. Examples are Dike (“justice”) in ancient
“Does ‘Substantia’ Mean ‘Realization’ or ‘Foundation’ in
Greece, Maat (“truth”) in ancient Egypt, and Hokhmah
Hebr. 11,1?,” Biblica 3 (1922): 79–89, wherein he also re-
(“wisdom”) in ancient Israel. Such hypostases proliferate in
sponds to criticisms of his book. Important discussions of the
the religious syncretism of the Greco-Roman world, and
philosophical usage are found in G. C. Stead’s Divine Sub-
some of them (e.g., Tyche, “fortune”) even acquire their own
stance (Oxford, 1977) and S. E. Gersh’s Kinésis akinétos: A
cultus. Wisdom is an especially important hypostasis in bibli-
Study of Spiritual Motion in the Philosophy of Proclus (Leiden,
cal religion (Prov. 8:22–31; Ben Sira 24:1–22), and her man-
1973). Very useful discussions of the early Christian theolog-
ifestation as Sophia in Greek-speaking Judaism (Wisdom of
ical usage are found in G. L. Prestige’s God in Patristic
Solomon; the works of Philo Judaeus) is of great importance
Thought (1936; London, 1952), J. N. D. Kelly’s Early Chris-
for the development of early Christian Christology as well
tian Doctrines, 5th ed. (London, 1977), and Harry A. Wolf-
son’s The Philosophy of the Church Fathers, vol. 1, 3d ed.
as early Gnostic mythology.
(Cambridge, Mass., 1970). Rather little has been done with
It should be stressed that the use of the term hypostasis
the gnostic material, much of which is new. The most impor-
for such entities is a modern development of the Greek term,
tant work on hypostases in the history of religions is that of
though ultimately derived from the ancient philosophical
Helmer Ringgren, Word and Wisdom: Studies in the Hyposta-
usage. (See Ringgren, 1947, 1959.) An ancient intimation
tization of Divine Qualities and Functions in the Ancient Near
of such usage can be found in Plotinus (Enneads 3.5.2): The
East (Lund, 1947). Also important is his article “Hypos-
heavenly Aphrodite, as child of Kronos (“mind”) is “the most
tasen,” in Die Religion in Geschichte und Gegenwart, 3d ed.,
divine kind of Soul” and “a separate hupostasis.” (See Koester,
vol. 3 (Tübingen, 1959).
1972, p. 577.)
New Sources
S
Hammerstaedt, Jürgen. “Hypostasis.” In Reallexikon für Antike
EE ALSO Jesus.
und Christentum, vol. 16. Stuttgart, 1994, pp. 986–1035. A
fundamental synthesis, including an extensive bibliography.
BIBLIOGRAPHY
The standard lexicon articles on the Greek word hupostasis are in
Meyer-Schwelling, Stefan. “Hypostase.” In Der Neue Pauly. En-
Henry G. Liddell, Robert Scott, and Henry S. Jones’s A
zyklopädie der Antike. Stuttgart and Weimar, Germany,
Greek-English Lexicon, 9th ed. (Oxford, 1940), p. 1895, and
1998.
G. W. H. Lampe’s A Patristic Greek Lexicon (Oxford, 1961),
pp. 1454–1461. The standard systematic articles on the
Pérez Paoli, Ubaldo Ramón. Der platonische Begriff der Hypostasis
term, with full documentation, are R. E. Witt’s “Hyposta-
und die augustinische Bestimmung Gottes als Subiectum. Würz-
sis,” in Amicitiae Corolla: A Volume of Essays Presented to
burg, Germany, 1990.
James Rendel Harris, edited by H. G. Wood (London, 1933),
pp. 319–343; Heinrich Dörrie’s “Hupostasis: Wortund
Romano, Francesco, and Daniela Patrizia Taormina, eds. Hyparxis
Bedeutungsgeschichte,” Nachrichten der Akademie der
e Hypostasis nel neoplatonismo. Florence, 1994.
Wissenschaften in Göttingen 1 (1955): 35–92, reprinted in his
Stead, G. Ch. Substance and Illusion in the Christian Fathers. Lon-
Platonica Minora (Munich, 1976); and Helmut Koester’s
don, 1985.
“Hypostasis,” in the Theological Dictionary of the New Testa-
ment, vol. 8 (Grand Rapids, Mich., 1972). Witt and Dörrie
BIRGER A. PEARSON (1987)
stress the philosophical usage, and Koester the biblical.
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


I
I SEE REN AND YI
I AM. The “I AM” Religious Activity emerged in the 1930s as a major new representa-
tive of the Western Esoteric tradition, drawing most of its theology and imagery directly
from the Theosophical Society. It subsequently gave birth to a number of groups that
have, with minor variations, generally adopted the unique ideas and practices of the “I
AM” while organizationally separating from the parent body.
HISTORY. “I AM” founders Guy Ballard (1878–1939) and Edna W. Ballard (1886–1971)
were already steeped in esoteric thought when the seminal events in the movement’s for-
mation occurred. Guy Ballard had been employed as a mining engineer when in the early
1930s he visited Mount Shasta in northern California. In several esoteric books, Mount
Shasta previously had been identified as a location of spiritual significance, most recently
in 1931, in a book published by the Ancient and Mystical Order Rosae Crucis, Lemuria,
the Lost Continent of the Pacific.
On the slope of the volcanic mountain, Ballard claimed he encountered a man who
identified himself as Saint Germain, an important personage in the eighteenth-century
European esoteric community, who since his earthly existence had become an ascended
master. In Theosophical lore, ascended masters are spiritually evolved individuals who
formerly had incarnated in earthly bodies but who no longer participate in the cycles of
reincarnation. From their exalted state, they now collectively guide humanity’s spiritual
destiny.
Saint Germain described his current purpose as initiating a new spiritual activity, the
Seventh Golden Age. He had found Ballard as an embodied human fit to receive and
pass on to humanity the Laws of Life. He eventually designated Ballard, his wife Edna,
and their son Donald as the only accredited messengers of the ascended masters. Operat-
ing as a messenger entailed allowing different masters to speak through oneself (in a man-
ner analogous to Spiritualist mediums or channels). During his lifetime, Guy Ballard was
C LOCKWISE FROM TOP LEFT CORNER. Relief of the ancient Egyptian deities Horus and Isis with
Euergetes II at Kom Ombo in Aswan, Egypt. [©Roger Wood/Corbis]; Twelfth-century
Byzantine mosaic of Christ with the Virgin Mary in Hagia Sophia, Istanbul, Turkey.
[©Charles & Josette Lenars/Corbis]; Colossal stone Buddha (destroyed in 2001) in Bamiyan,
Afghanistan. [The Art Archive]; Fifteenth-century Inca ruins at Machu Picchu in Peru.
[©Alison Wright/Corbis]; The Dome of the Rock in Jerusalem. [©Scala/Art Resource, N.Y.] .
4245
4246
I AM
the only one of the three to operate as a messenger. Edna op-
The “I AM” Presence individualizes as the essence of
erated as a messenger only briefly in the last years of her life,
each embodied soul. Activated, it is the means of cleansing
and Donald, though active in the movement, never func-
the person of karmic conditions and assisting the process of
tioned as messenger.
spiritual evolution. The best means of activating the “I AM”
Ballard initially described his experiences with Saint
is the use of decrees, affirmative commands calling upon the
Germain in a set of letters to his wife, sent from Mount Shas-
“I AM” Presence to initiate actions, a practice that appears
ta to the family residence in Chicago. It is of some interest
to have originated early in the twentieth century within the
that at the time he wrote these letters, he was also reading
New Thought movement. Decrees are spoken aloud in a
a set of books by Baird Spaulding, The Life and Teachings
chant–like fashion. Decrees, like prayers in other move-
of the Masters of the Far East, whose description of the masters
ments, may be of a general nature or directed to specific and
and their work coincided with what Ballard was learning
immediate concerns. The words I am that begin the decrees
from Saint Germain. Ballard described his own experiences
serve to identify the individual with the divine action being
in more detail in the manuscripts of two books, Unveiled
affirmed.
Mysteries (1934) and The Magic Presence (1935), both writ-
Whereas most decrees are very positive, emphasizing the
ten under the pseudonym Godfré Ray King. Upon his return
spread of positive virtues, decrees may also be directed specif-
to Chicago, Ballard founded the “I AM” Religious Activity
ically to the dissipation of evil forces. The “I AM” movement
in stages. After deciding in 1932 to release the two books,
has become its most controversial when it has identified spe-
the Ballards founded the Saint Germain Foundation and its
cific evils that were subsequently targeted and against which
publishing arm, the Saint Germain Press. In 1934 they held
decrees have been directed.
a ten-day class at which Guy Ballard for the first time operat-
ed as a messenger in a public setting. The first book, Unveiled
Color forms an important element of “I AM” belief.
Mysteries, appeared in 1934, and a periodical, The Voice of
Those masters who oversee humanity most closely are the
the I Am, which carried the text of newly received messages,
Lords of the Seven Rays (of the light spectrum), each color
was first issued in 1936.
being associated with a particular virtue or character trait.
Saint Germain is associated with violet, and the most impor-
“I AM” BELIEFS. The “I AM” Religious Activity centered
tant activity in the “I AM” Religious Activity is calling upon
its attention on the “I AM” Presence, God in Action, which
the Violet Flame pictured around each individual to burn
emanates from the Great Central Sun, the impersonal source
away undesirable personal conditions. Most colors are posi-
of the universe. The Great Central Sun is a knowable aspect
tive, but two—red and black—are to be avoided. Thus, all
of the supremely unknowable and transcendent God. The
“I AM” literature is printed with colored (usually purple) ink
universe has come into being as a series of emanations from
rather than black ink.
God, the material world being the lowest level of those ema-
nations. Each emanated level of the universe is inhabited by
Through the 1930s, the movement had its creative cen-
evolved beings that together constitute a spiritual hierarchy,
ter in the public classes at which Ballard brought forth mes-
frequently referred to as the Great White Brotherhood. At
sages from the masters. Beginning with the initial class, held
the lowest level of the spiritual hierarchy are the Lords of the
in the Civic Opera House in Chicago, subsequent classes
Seven Rays (of light), spiritual beings who most easily and
were held in New York, Philadelphia, Boston, and Miami.
often communicate with humans. Saint Germain is seen as
A class in Los Angeles a short time before Ballard’s death at-
one of those Lords, as is Jesus and El Morya (one of the mas-
tracted some 7,000 attendees. From these came a book of de-
ters believed to have initiated the Theosophical Society).
crees and a hymnal that were used to provide a format for
Individuals are seen as sparks of the divine “I AM” Pres-
local groups to emerge, and the movement spread across
ence now embodied in the physical word. However, individ-
North America. It claimed more than a million students by
uals have through history misused the powers available to
1939, though the number who had had more than a single
them, resulting in the individual and social discord that is
superficial encounter with the movement was far less.
the current lot of humanity. The problems created by hu-
LATER HISTORY. The forward progress of the “I AM” Reli-
mans are carried over from one incarnation to another. Most
gious Activity was brought to an abrupt halt in 1939 when
individuals remain trapped in a limited situation character-
Guy Ballard, only in his early 60s, suddenly died. Many in
ized by evil and discord, but a few people have risen above
the movement were distressed, as they expected him to bodi-
and learned to attune themselves to their divine nature, the
ly ascend rather than face a normal human death. A group
“I AM” Presence. Those who have completely aligned them-
of vocal critics arose, led by Gerald B. Bryan, who wrote a
selves with the “I AM” become ascended masters. The pres-
series of booklets challenging the integrity of the teachings.
ent Lords of the Seven Rays had previously incarnated as out-
Legal authorities moved against Edna and Donald Ballard
standing spiritual leaders. Saint Germain, for example, was
and the foundation staff. Given First Amendment guarantees
at different times on Earth as the Jewish prophet Samuel, the
of religious freedom, prosecutors found an opening in the
British Christian leader Saint Alban, and Francis Bacon. Bal-
movement’s use of the mail to send out “I AM” material.
lard, who is now seen as having ascended in 1939, was previ-
They brought the Ballards to trial for mail fraud and argued
ously on Earth as George Washington.
that because no rational person could believe what the 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
IBA¯D:IYYA
4247
lards were teaching, they had to be knowingly perpetuating
however, picked up the messenger’s mantle and expanded
a fraud. It was a false religion, and they knew it to be false.
the organization’s work as the Church Universal and Trium-
phant. The church grew significantly in the 1970s and, un-
Convicted at the trial level, the Ballards’ appeal took
like the “I AM” Religious Activity, assumed a high profile
them to the U.S. Supreme Court twice and resulted in one
and identified strongly with the New Age Movement. It also
of the most important rulings in American jurisprudence
became quite controversial after being labeled a “cult” and
concerning religion. In his opinion in U.S. v. Ballard (1944),
being subjected to several lawsuits. During the 1990s, fol-
Justice Douglass suggested that the courts get out of the busi-
lowing the rise of a period of apocalyptic fervor, the church
ness of examining “other people’s faiths.” Individuals, he
underwent a thorough reorganization, culminating in the re-
suggested, “may not be put to the proof of their religious
tirement of Mrs. Prophet, who had become increasingly in-
doctrines or beliefs.” The ruling did not completely end the
capacitated by Alzheimer’s disease. The church differs from
“I AM” problems, however, as the initial trial verdict had led
the “I AM” Movement on several points, most noticeably in
the U.S. Postal Service to reject the movement’s right to dis-
the manner in which decrees are repeated in a very fast mode
tribute material through the mail, a privilege only returned
and Prophet’s emphasis on world religions (especially Bud-
in the 1950s.
dhism) alongside esoteric Christianity.
Because of its experience in the courts, the “I AM” Reli-
gious Activity adopted a low profile, partially accounting for
SEE ALSO Church Universal and Triumphant; New Age
a paucity of scholarly comment on the movement. While
Movement; Prophet, Mark and Elizabeth Clare; Theosophi-
continuing to exist, it became largely invisible on the reli-
cal Society.
gious landscape, many believing it had been dissolved. In
1978 the foundation moved into new facilities in Schaum-
BIBLIOGRAPHY
burg, Illinois (a Chicago suburb), joined there four years later
Bryan, Gerald B. Psychic Dictatorship in America. Burbank, Calif.,
by the Saint Germain Press. The press continued to publish
1940.
the messages originally received from Guy Ballard, becoming
King, Godfré Ray [pseudonym of Guy W. Ballard]. Unveiled Mys-
available in some fifteen volumes of “I AM” Discourses.
teries. Chicago, 1934.
Land purchased in the 1950s on the slope of Mount Shasta
King, Godfré Ray [pseudonym of Guy W. Ballard]. The Magic
became the site for a range of summer retreats and an annual
Presence. Chicago, 1935.
passion play depicting the life of Jesus (adapted to an “I AM”
Melton, J. Gordon. “The Church Universal and Triumphant: Its
interpretation concentrating upon his final ascension). Over
Heritage and Thoughtworld.” In Church Universal and Tri-
300 “I AM” sanctuaries (local centers) exist across the United
umphant: In Scholarly Perspective, edited by James R. Lewis
States.
and J. Gordon Melton, pp. 1–20. Stanford, Calif., 1994.
BREAKAWAY GROUPS. Conditions internal to the “I AM”
Prophet, Elizabeth Clare. The Great White Brotherhood. Malibu,
Religious Activity led to several schisms. Beginning in the
Calif., 1983.
1930s, people emerged claiming also to be in contact with
Saint Germain [through Guy W. Ballard]. The “I AM” Discourses.
the masters, but the decades following Guy Ballard’s death
Chicago, 1935.
when no new messages were being received made many yearn
Spaulding, Baird. The Life and Teachings of the Masters of the Far
for continued contact with the ascended masters. The move-
East. 5 vols. Los Angeles, 1924–1948.
ment also had strictures against translating messages into
Stupple, David W. “A Functional Approach to Social Movements
other languages, thus inhibiting its growth into Spanish-
with an Analysis of the I AM Religious Sect and the Congress
speaking communities. As early as 1944, Geraldine Inno-
of Racial Equality.” M.A. thesis, University of Missouri,
cente began to receive messages from Ascended Master El
Kansas City, 1965.
Morya and to publish them under the pseudonym Thomas
Whitsel, Bradley C. The Church Universal and Triumphant: Eliza-
Printz. Following Innocente’s refusal to stop publishing the
beth Clare Prophet’s Apocalyptic Movement. Syracuse, N.Y.,
messages and her break with Edna Ballard, her work, which
2003.
was also translated into Spanish for distribution in Puerto
Rico and Cuba, became the basis of an organization called
J. GORDON MELTON (2005)
the Bridge to Spiritual Freedom.
Also in the 1950s, other groups formed which claimed
they were receiving messages from the masters independently
IBA¯D:IYYA. The Iba¯d:iyya sect (also known as the Iba¯d:¯ı
of the “I AM.” One such group was the Lighthouse to Free-
sect, or simply as the Iba¯d:¯ıs) constitutes one of the main
dom in Philadelphia. Originally a member of the Lighthouse
branches of Islam. The Iba¯d:¯ıs are relatively few in number
to Freedom, Mark L. Prophet (1918–1973) founded the
in comparison to the Sunn¯ıs and the Sh¯ıEah, and for many
Summit Lighthouse in 1958 and began publishing the mes-
centuries they have lived largely in isolated areas, principally
sages he was receiving primarily from El Morya. The Summit
Oman and Zanzibar, Tripolitania in Libya, the island of
gained a large following prior to Prophet’s sudden death in
Jerba in Tunisia, and the Mzab area of Algeria. This isolation
1973. Prophet’s widow, Elizabeth Clare Prophet (b. 1939),
has meant that until the late twentieth century almost all 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
4248
IBA¯D:IYYA
what is known about the Iba¯d:¯ıs has come through preju-
When EAl¯ı was killed by a Kha¯rijite activist in 661 CE,
diced and hostile Sunn¯ı sources. However, since the acces-
the Umayyad dynasty came to power, and for a time some
sion of Qaboos b. Said to the sultanate of Oman in 1970,
stability was imposed. It appears that this was the period
there has been a sustained program for the publication of
when there was a growth in the number of those Kha¯rijites
major Iba¯d:¯ı works, so that it is at last becoming possible to
who, while holding that the majority of the Muslim commu-
view the Iba¯d:¯ıs through their own tradition. Among the
nity had lapsed into unbelief, came to the conclusion that
works that have come to light are a number that date back
those who had lapsed should be merely spurned rather than
to before 800 CE and are crucial for an understanding of the
given the choice of submission or the sword.
development of Islamic thought in general. Unfortunately,
By the time of the Second Civil War (688–692
very little has so far trickled through into English.
CE), the
principal quietist group, living mainly in Basra, had become
The origins of the Iba¯d:¯ıs go back to not much more
known as the Iba¯d:iyya. This name derives from EAbdalla¯h b.
than twenty years after Muh:ammad’s death. They have their
Iba¯d:, who appears to have been the political mentor of the
roots in the groups, collectively known as Kha¯rijites, that
group, though its spiritual leader was Ja¯bir b. Zayd, a man
came into existence during the First Islamic Civil War (656–
universally recognized for his learning and piety, who be-
661 CE). The basic doctrinal beliefs of the Kha¯rijites were the
came the first ima¯m of the group.
same as those of all Muslims: the five pillars of Islam. It was
While Ja¯bir was alive, the Iba¯d:iyya were tolerated by the
in the further tier of doctrine that did not fully emerge until
central authorities (unlike the violent Kha¯rijite groups, who
after Muh:ammad’s death that they had differences with the
fought and were fought to the death). The community de-
rest of the nascent Muslim community. Even in these further
vised rules, which still hold, to enable them to survive among
doctrines there were, in this early period, more similarities
a non-Iba¯d:¯ı Muslim majority (the qawm). Thus it is permit-
than differences with the other parts of that community.
ted to marry non-Iba¯d:¯ıs and to enjoy mutual inheritance
Like those who were the precursors of the Sunn¯ıs, the early
with them. Religious dissimulation (taqiyya) is also permit-
Kha¯rijites held the views that infidels had no legal existence
ted, though not to the point of serving non-Iba¯d:¯ı rulers.
or protection unless they were Jews or Christians, that Mus-
lims should not live among infidels, and that unprotected in-
After the death of Ja¯bir in 711 CE, the Iba¯d:¯ıs found it
fidels should be fought until they were converted or killed.
more and more difficult to live in Basra, and their next two
ima¯ms encouraged them to migrate to places where they
What split the early Islamic community in the first in-
could follow their own faith without harassment. Most
stance were views about the actions of the third caliph,
E
moved to the remote parts of the Arab world—Oman, the
Uthma¯n, and the fourth caliph, EAl¯ı. There was much oppo-
Hadramawt, Yemen, and North Africa—although some also
sition both to EUthma¯n, who was murdered by some of his
went to Khurasan. It was only in Oman and the Mzab that
opponents, and to EAl¯ı. With the Kha¯rijite groups that oppo-
they survived in numbers, with a religious, legal, and political
sition acquired a doctrinal underpinning. Already outraged
tradition going back unbroken to their earliest days in Basra.
by the wrongdoings of EUthma¯n in his later years as caliph,
In North Africa, in particular, the Iba¯d:¯ıs suffered from some
they were further appalled when EAl¯ı, during fighting against
schisms. None of the breakaway groups was particularly im-
those who sought vengeance for the death of EUthma¯n,
portant, and only one, the Wahbiyya, survived to the twenty-
agreed to arbitration about the rights and wrongs of the kill-
first century.
ing. Summing up their feelings in the slogan “Judgment be-
longs to God alone,” they broke away from the majority of
The early Iba¯d:¯ıs were an earnest lot, much concerned
the believers. They took a stern view of those believers who
with the coherence and rectitude of their beliefs and with
did not share their opinions, holding that their actions and
their relationships with the qawm, whom they now increas-
beliefs had caused them to return to unbelief. At first they
ingly called ahl-al-qibla (people who use the qibla D), or ahl
designated their opponents by the simple term al-qawm,
al-jumla (people who utter the shaha¯daD), both phrases ironi-
“those people,” a phrase that, somewhat confusingly, their
cally indicating the superficial nature of any belief that such
opponents also used of them. For the Kha¯rijites, al-qawm
persons might have. These included not only those now
had fallen into a state of bara¯ Da (dissociation), having lost the
called Sunn¯ıs and Sh¯ıEah but also the violent, activist
wala¯ya (loyalty both to God and fellow-Muslims) that was
Kha¯rijite groups, such as the Aza¯riqa and the Najdiyya, and
central to the community of true believers. This applied to
other movements that have failed to survive, such as the
those members of the community who accepted the legitima-
MurjiDa. The Iba¯d:¯ıs designated such “lapsed” Muslims as in-
cy of EUthma¯n or EAl¯ı. However, the Kha¯rijites could not
fidels of a special category, classing them as hypocrites who
agree among themselves about how to deal with the qawm.
claimed to be Muslims but whose deeds showed them to be
The majority of early Kha¯rijite groups favored armed con-
ungrateful for the blessings of God (ka¯fir kufr ni Ema). As
frontation with those whom they considered to have lapsed
such, they were to be shunned and not killed unless they had
into infidelity, but a minority favored a live-and-let-live
committed a capital offence or become mischief makers
stance. Whenever an opportunity arose, the activist majority
(muh:dithu¯n). Iba¯d:¯ıs who are corrupt or do serious wrong
pursued its views to the death.
also lose their wala¯ya.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
IBERIAN RELIGION
4249
Because of their doctrines about wala¯ya and bara¯ Da, the
Lewicki, T. “Al-Iba¯d:iyya.” In The Enyclopaedia of Islam, 2d ed.,
Iba¯d:¯ıs have also retained the original Kha¯rijite view about
vol. 3, pp. 648–660. Leiden, Netherlands, 1960.
who may be the leader of the community, the ima¯m. They
Wilkinson, J. C. “The Early Development of the Iba¯d:¯ı Movement
believe that any believer who is morally and religiously irre-
in Basra.” In Studies on the First Century of Islamic Society, ed-
proachable may be elected ima¯m, regardless of his race or
ited by G. H. A. Juynboll, pp. 125–249. Carbondale, Ill.,
tribe, “even if he is an Ethiopian slave,” as the texts graphical-
1982. An excellent article that is still useful.
ly put it. Equally, the community has the right to vote to de-
ALAN JONES (2005)
pose an ima¯m from office if he goes astray and becomes cor-
rupt, and it must take every step to remove him if it possibly
can do so. This is the most democratic stance toward leader-
ship in traditional Islamic thinking and is one of those points
IBERIAN RELIGION. The term Iberian religion is
that sharply differentiates the Iba¯d:¯ıs from the Sunn¯ıs, who
used here geographically. It refers to the religious systems of
basically believe that the ima¯m must be from Quraysh, the
Iberia, the name the Greeks gave in antiquity to the Iberian
tribe of Muh:ammad, and from the Sh¯ıEah, who believe that
Peninsula, from the arrival of the Phoenicians (documented
he must be from the family of EAl¯ı.
by the ninth century BCE) to the time these places were incor-
porated into the Roman Empire in the first centuries CE.
In legal matters the Iba¯d:¯ıs put more weight on the
QurDa¯n and less on the h:ad¯ıth than other branches of Islam.
Tartessos is the name that identifies the peninsula in the
Thus, they do not impose the (non-QurDanic) punishment
first historical records dating to ancient Greek literature.
of stoning for adultery. The nature of their community has
That is the time of the expansion of Eastern cultural influ-
also led to more thinking through of problems (ijtiha¯d) than
ence on other parts of the Mediterranean (from the eighth
is found in the other branches, and unlike the Sunn¯ıs but
to sixth centuries BCE). Tartessian culture had its core in
like the Sh¯ıE¯ıs, they have never “closed the gates of ijtiha¯d.”
lower Andalusia and seems to have developed from the cul-
Iba¯d:¯ı scholars have never shut their eyes to the value of major
tural contact between the indigenous late Bronze Age popu-
works by writers from other sects, particularly Sunn¯ıs and
lation and Semitic colonizers who arrived from the eastern
MuEtazil¯ıs, though such writings are always viewed from the
Mediterranean. Later, a secondary Greek presence contribut-
standpoint of Iba¯d:¯ı intellectual tradition, which has always
ed to the culture.
managed to flourish despite its isolation.
TARTESSOS AND RELIGIOUS CONTACT WITH THE PHOENI-
The fact that the Iba¯d:¯ıs differed so radically from the
CIAN WORLD. Phoenician materials appear in several shrines,
Aza¯riqa and the Najdiyya in their views about infidels led
most importantly in Gadir (Cádiz), the site of the famous
some Iba¯d:¯ı thinkers to deny their Kha¯rijite origins. This
temple of Melqart, patron god of Tyre, assimilated to Hera-
view appears to have emerged in the ninth century, and it
kles and described by such authors of the Roman Empire as
has become stronger ever since. Modern Iba¯d:¯ıs, therefore,
Strabo (Geographica 3.5), Silius Italicus (Punica 3.1–44), and
tend to minimize these Kha¯rijite origins, and even those
Philostratus (Vita Apollonii 5.5). Other examples are El Car-
whose accept that there is a historical link are outraged to be
ambolo, near Seville, and the Cerro de San Juan, in Coria
classed as latter-day Kha¯rijites. This has recently become a
del Río, probably dedicated to Baal Saphon, protector of
matter of some importance, as modern Islamist groups have
navigation. Phoenician religious pieces, such as altars, betyls,
sometimes been likened to the activist Kha¯rijites of the early
and liturgical bone spoons, are documented also in the interi-
Islamic era. It is a matter of pride for the Iba¯d:¯ıs that they
or, near Carmona (in the province of Seville), and in Cancho
have consistently opposed terrorist activity for over thirteen
Roano in the municipality of Zalamea la Real, province of
hundred years.
Badajoz. The latter complex was destroyed in the late fifth
century BCE and seems to have been an Easternized indige-
BIBLIOGRAPHY
nous sanctuary that served as a dwelling—the residence of
Cook, Michael A. Early Muslim Dogma. Cambridge, U.K., 1981.
the ruler and his family. It also fulfilled economic, political,
A general book on the development of Islamic doctrine; good
and religious functions. It was a space to display power and
on the Kha¯rijites and Iba¯d:¯ıs.
a site to worship ancestors, and it also allowed control of ac-
Crone, Patricia, and Fritz Zimmermann, eds. The Epistle of Sa¯lim
cess to the region. The Poggio Civitate complex in Murlo,
ibn Dhakwa¯n. Oxford, U.K., 2001. Though the main part
Etruria, with its multiple functions, was comparable to
of the work is a specialist edition and translation, it also con-
Cancho Roano.
tains much invaluable background material on the Kha¯rijites
and on the Iba¯d:¯ıs, mainly in chaps. 4 and 5.
The problem presented by these sites is that of their
Ennami, Amr Khalifa. Studies in Ibadhism. Benghazi, Libya, 1972.
identity. Are they indigenous sanctuaries influenced by the
Originally the English part of a 1971Cambridge Ph.D. dis-
Phoenician religious system? Or are they Eastern enclaves
sertation, this work is poorly printed but contains much in-
placed in indigenous locations that would have also operated
formation not available elsewhere.
as centers of commerce? The sanctuaries of Muela de Cástulo
Levi della Vida, Giorgio. “Kharidjites.” In The Enyclopaedia of
in the province of Jaén; El Acebuchal in Carmona, Seville;
Islam, 2d ed., vol. 4, pp. 1074–1077. Leiden, Netherlands,
and Montemolín in Marchena, Seville, are special cases.
1960. Rather dated, but still useful.
They show evidence of sacrifices performed on platforms 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
4250
IBERIAN RELIGION
altars and dating to the seventh century BCE. The cooking
these are expressions of an indigenous culture or simply an
and consumption of sacrificial animals (cows, goats, sheep,
invention of the Hellenic scholars in which some previous
and pigs) recorded in these sites are well-known practices
historical elements, perhaps of Tartessian origin, subsist.
documented in the biblical texts of Exodus (29:15–18) and
The ancient poem about the seacoast by a Punic or
Leviticus (7:32–33).
Greek author from the sixth century BCE, Ora Maritima,
The few existing Phoenician inscriptions, generally
which inspired Rufus Festus Avienus in the fourth century
property marks preserved on ceramic vases or other objects,
CE, mentions a series of sacred places located in Tartessos.
document names associated to Melqart, Baal, Eshmun, and
As happened later with Punic and Iberian deities, the poem
Astarte. An inscription associated with Astarte found on an
translates, through the process the Romans called interpreta-
image in El Carambolo (Seville) suggests that indigenous
tio, the name of the Tartessian or Phoenician gods into those
elites would have been attracted to the cult by assimilating
of their Roman or Greek counterparts, or into Greek and
Astarte to an indigenous fecundity goddess. The same could
Roman deities that fulfilled similar functions to them, such
have happened with Melqart, who like Reshef is always de-
as Herakles, Venus, or Saturn.
picted in the statuettes.
RELIGION OF THE IBERIAN PEOPLES. After the late sixth cen-
The necropolises document characteristic elements of
tury BCE,the Iberian culture was influenced by the contacts
Phoenician funeral rites, such as the use of plates, libation
between the peoples of the south and east of the peninsula
jars, and perfume burners. The “treasure” of La Aliseda, like
(living between the Huelva estuary and the Rodanus in
the necropolis of Medellín in the province of Bodajoz, is
France) and the Greek and Punic colonizers. After the late
proof that Eastern objects spread out by land all the way to
third century BCE those contacts included the Romans. The
the northeast of the peninsula, the source of mineral wealth.
study of Iberian cultural spaces and necropolises has in-
The graveyards (La Joya in Huelva and Los Alcores in Car-
creased among modern scholars.
mona) display evidence of both cremation and inhumation;
stelae and markers are common features. Especially interest-
Following the decline of the Tartessian world, monu-
ing is the necropolis of Las Cumbres in Castillo de Doña
mental funerary complexes confirm the existence of an aris-
Blanca, province of Cádiz. There the oldest cremation sites,
tocratic power. The complex of Pozo Moro (Albacete),
dating to the first half of the eighth century BCE, were local
shaped like a tower and dated to around 500 BCE, is reminis-
and presented little evidence of social differences. A later
cent of Eastern monuments, such as Amrit or the tomb of
group of burials, dating from the seventh century BCE, evi-
Cyrus the Great, and neo-Hittite models in its art. The mon-
denced funeral rites that included libations, incense, and oil-
ument displays extraordinary iconography—the scene of a
based perfumes, all Phoenician traits that indicate a clear so-
sacrificial banquet with a human victim and an animal one
cial hierarchy.
and a hero carrying the tree of fertility and uniting in hiero-
gamy with a goddess. Perhaps it is a depiction of a mythical
Besides the archaeological data, there is extensive literary
tale of origin or an exaltation of the heroic deeds of the
data from Greek and Latin authors who speak of two “mythi-
dynasty’s ancestors or the ruling elite. By the first half of the
cal” dynasties in the region. The first is that of Geryon, about
fifth century BCE another imposing funeral complex was
whom Stesichorus of Himera wrote a poem (Geryoneia) in
built in Cerrillo Blanco within the municipality Porcuna
the sixth century BCE. The poem narrates how Herakles stole
(Jaén) that depicts as a central element a hero’s struggle with
Geryon’s bulls and carried them off to Mycenae. Geryon is
a lion or gryph (which has such well-known parallels as the
depicted in archaic Greek pottery as a three-headed being,
stories of Dumuzi, Sargon the First, and Melqart or Hera-
and it is possible that the tricephalous image evidences an in-
kles). It also shows combat between armed warriors.
fluence of Celtic culture in the Tartessian world.
Besides the towerlike burials of the kind found at Pozo
The second dynasty is that of Gargoris and Habis, re-
Moro, Iberian necropolises present two types of arrangement
corded in Justin’s third century CE summary of the work of
of monumental sculptures in “princely” graves. One is
the historian Pompeius Trogus (Epitoma Historiarum Philip-
known as “stelae pillars,” which depict, atop columns, sculp-
picarum Pompei Trogi). Gargoris, the ancient god of the Cu-
tures of bulls, sphinxes, lions, does, or wolves of an apotro-
retes, forest-dwelling hunters, discovered the value of honey
paic nature (typical of Contestania, a region between Valen-
and taught his people to use it. Gargoris’s incestuous rela-
cia and Murcia that seems to have been the true center of
tionship with his daughter begot Habis, who was abandoned
Iberian culture). The second kind consists of the arrange-
to be devoured by wild beasts but miraculously survived (a
ment of sculptures directly on the funeral mounds, as found
frequent theme in the story of a hero’s infancy, as in those
in Los Villares (La Hoya Gozalo, Albacete).
of Sargon, Moses, Cyrus the Great, and Romulus and
Remus). As king, Habis “tied the people to the law and the
Toward 375 BCE there must have been a social crisis that
oxen to the plow” (Justin, Epìtoma 44.4, 11). He is thus the
translated into the destruction of several complexes and re-
prototype of the civilizing and legislating king. This myth il-
sulted in important changes to the society of the “princely
lustrates the transition from a barbarian state (Gargoris) to
graves.” There is a documented transition to the world of
one of urban culture (Habis). The debate centers on whether
sanctuaries, where the collective image of society is expressed
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
IBERIAN RELIGION
4251
through deities and where new sources of expression emerge,
mous are of worshiping females, which probably depict de-
such as silver trays and especially pottery, that developed
vout aristocrats or priestesses. Most of these sanctuaries were
their richest iconography after the third century BCE. Of the
active into the advanced Roman imperial age.
two distinguishable periods in pottery iconography, the first
The last category of sanctuaries includes those located
(300–150 BCE) shows, through its depictions of warriors,
in urban settlements. Martín Almagro-Gorbea and Teresa
hunters, and ladies, the values of the urban ruling classes,
Moneo (2000) developed a typology that includes three pa-
whereas the second (200–50 BCE) centers more on the depic-
rameters of differentiation. The three descriptions of domes-
tion of deities, myths, and religious rituals (Aranegui Gascó,
tic/dynastic family, properly urban, and entrance sanctuaries
1998).
correspond to the three parameters within the category of
Sanctuaries and rituals. Punic materials are character-
urban sanctuaries. First are domestic or dynastic family sanc-
istic of such sanctuaries as La Algaida in the mouth of the
tuaries, which were integrated into a noble family’s dwelling
Guadalquivir River, where thousands of votive offerings have
inside the oppidum or fortified village. La Serreta de Alcoy
been found, some from Etruria and the eastern Mediterra-
in Alicante; Sant Miquel de Lliria in Valencia, and Ullastret
nean. They are also characteristic of the Gorham Cave (Gi-
in Girona are good examples.
braltar), Carteia (Algeciras), the Peñón de Salobreña and the
Second are urban temples (Templos urbanos propiamente
Cerro de la Tortuga near Málaga, Baria (Villaricos, Almería),
dichos), isolated structures with an autonomous relationship
and the Cova d’Es Cuyram (Ibiza) devoted to the Carthagin-
to the oppidum. These include two kinds. First are the “open-
ian goddess Tanit. The last contained splendid terra-cotta
air” areas (La Alcudia de Elche and Campillo Island in Ali-
figurines, now exhibited in the island’s archaeological muse-
cante), which consist of square enclosures (temenos) and the
um. In these sanctuaries Astarte did not replace Tanit, but
remains of columns or structures that have been interpreted
rather the two were assimilated beginning in the middle of
as altars or offering tables typical of the Phoenician world.
the fourth century BCE.
The other type consists of buildings set on stone bases and
Greek and Latin authors related the existence of sanctu-
located on the highest point of a settlement. Typical exam-
aries on the coast of the peninsula that were devoted to cer-
ples include Azaila (Teruel) and Ullastret (Girona). They
tain deities “translated” into their Greek and Roman coun-
present influences from Emporion (Ampurias) in the expan-
terparts, Herakles, Kronos, Hera, Asklepios, Phosphorus,
sion of this kind of Roman-Hellenic temple.
Hephaistos, and Aletes—the mythic discoverer of the silver
Third are “entrance sanctuaries” located next to a settle-
mines of Carthago Nova, according to Polybius (Historiae
ment’s entrance, in some instances inside the walls (especially
10.10.1). Technical progress in archaeology and the in-
in the east and northeast of the peninsula) and in some out-
creased number of excavations have broadened the evidence
side the walls. Sanctuaries located outside the city walls are
considerably, and it is possible to classify the different sacred
often located near caves or springs, associated to offerings
spaces.
that suggest fertility rites and rites of passage or social incor-
There is a distinction between urban and nonurban
poration. Some of these sanctuaries are associated with river
sanctuaries. Among the latter there are three kinds: suburban
ports, such as that in La Muela de Cástulo, or seaports, like
or periurban sanctuaries in close proximity to inhabited cen-
that of Artemis, in Sagunto.
ters; great supraterritorial sanctuaries; and rural sanctuaries,
The third century
including caves, which are characteristic of the Valencian
BCE is the time of the emergence of
great periurban sanctuaries at the territorial level, while terri-
region.
tory-wide periurban sanctuaries associated with the construc-
Sierra Morena in Jaén is the center of the most charac-
tion of ethnic or political projects, coincide with the decline
teristic territorial and mountain sanctuaries in the Iberian
of ritual caves, which were especially common in the fifth
world. These played an important role in the territorial de-
and fourth centuries BCE. Some of the complexes (El Cerro
velopment of the Oretanian peoples. The Collado de los Jar-
de Los Santos, La Luz, and La Encarnación in Caravaca Mur-
dines (Santa Elena) in Despeñaperros and El Castellar de
cia) experimented with a process of monumentalization in
Santisteban were probably centers of salutiferous cults. The
the second and first centuries BCE, when they adopted Italo-
most characteristic elements of these sanctuaries are bronze
Hellenistic concepts. Human terra-cotta masks found in
figurines depicting males and females offering gifts (or pray-
some sanctuaries may have been used by the faithful when
ing), warriors, riders, and even priests.
performing ritual dances like those known to have taken
place in the Artemis Orthia sanctuary in Sparta and other lo-
The complex rituals typical of the southeast have differ-
cations.
ent characteristics. El Cerro de Los Santos and El Llano de
La Consolación in Montealegre del Castillo, Albacete, were
Necropolises show a wide diversity of funerary practices
characterized by stone statuary. Other good examples in-
related to cremation. The exceptions are child burials, per-
clude El Cigarralejo (Mula) and Nuiestra Señora de La Luz
formed inside homes. Bodies range in age from fetuses to six
(Verdolay, Murcia). Of the more than two hundred statues
months old and have been documented in eastern Spain
that have been found in Cerro de Los Santos, the most fa-
(from Alicante to the French Languedoc) and in the mid–
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4252
IBERIAN RELIGION
Ebro River valley. When the remains are found within struc-
tions such as pillars, are the statue of the Lady of Baza, the
tures, such as walls or benches, they have been interpreted
sitting Ladies of El Cigarralejo, La Alcudia of Elche, El Cabe-
as sacrificial in nature, having a functional or propitiatory
cico del Tesoro in Verdolay, and probably the Lady of Elche.
character, and are accompanied by or substitute for animal
That goddess, sometimes winged and linked to the Punic
sacrifices. They have some parallels with those from Etruscan
Tanit, appears “emerging” from the earth and associated
Tarquinia, Latium, and the Greek world.
with birds or flowers in Elche-Archena pottery, whereas on
some Turdetan coins she is represented as a stalk of wheat.
The iconography offers valuable information about ini-
There are about ten examples of representations of the des-
tiatic rites and rites of passage into puberty or heroization.
potes hippon, the “horse-taming” god originally from the Ae-
Such subjects as the struggle between a youth and a beast of
gean, which appear from Villaricos (Almería) to Saguntum
the underworld, often incarnate in a wolf (portrayed in the
(Valencia). Some votive pieces depicting horses are associated
pottery of La Alcudia de Elche and in sculptures from the
with that deity, like the ones found in El Cigarralejo (Mur-
“frontier” sanctuary at El Pajarillo in Huelma, Jaén) were set
cia) and Pinos Puente (Granada), as are the Iberian coins
within city territory. The “goddess of the wolves” found in
from the Ebro Valley, which show the typical rider brandish-
Moratalla, Murcia, was probably an initiatic figure. Hand-
ing a spear or palm, a divinity or mythical ancestor that illus-
to-hand combat scenes between warriors and hunting scenes
trates the values of the equestrian elites.
also reflect the value system (ethos) of the elites. Sacrificial
scenes are depicted in such objects as the silver tray of Tivissa
The iconography of perfume burners with female
(Tarragona), which is dated to the third century BCE; depic-
heads—associated with Demeter or Tanit—is reproduced in
tions of dances and processions are found in the pottery of
a limestone female head uncovered in La Luz (Murcia),
Sant Miquel de Lliria (Valencia). It is possible that certain
probably a cult image. Perhaps the most interesting of divine
themes, such as the sphinx carrying the deceased found in
iconographies is that of a woman holding her suckling child.
the park of Elche, the pillar of Jumilla, and the wolves with
Such images were known in Cyprus in the first millennium
open jaws and human heads of Santisteban del Puerto in
BCE and were documented in a bronze from the Fundación
Jaén, refer to travel to the afterlife.
Gómez-Moreno in Granada, in some sitting statuettes from
The presence of priests in the Tartessian world of the
Alicante and Murcia, and especially in a terra-cotta group
period of Hellenization is documented in the Phoenician
from the sanctuary of La Serreta in Alcoy (Alicante) dated
sanctuary of Melqart in Cádiz by Silius Italicus (Punica 3.1),
to the third and second centuries BCE. Ricardo Olmos Rom-
who writes that the priests wore linen tunics with purple em-
era (2000–2001) has suggested that the image represents a
broidery and shaved their heads. There is no such informa-
regional feast where the mothers of the area present their
tion regarding the Iberian period after 500
children to the goddess, an event similar to some document-
BCE, although ar-
chaeological data suggests there was a priesthood. The
ed in Locri (southern Italy) and Greece.
existence of priests is inferred from sacrificial knives found
Some scenes are interpreted in a mythical key. That is
in graves and sanctuaries, the tonsured characters found in
the case of the farmer with a team of oxen depicted in a vase
the Collado de los Jardines (Jaén), and the bronze from
from Cabezo de La Guardia de Alcorisa (Teruel), probably
Segura de la Sierra (Jaén), which is dated to the fifth century
a representation of the god or mythic ancestor who taught
BCE and depicts a man slaughtering a goat on the water of
men to plow (as Habis did in the Tartessian myth).
a river. These priests would have been recruited among the
RELIGION IN INDO-EUROPEAN HISPANIA. Latin epigraphy
ruling class and hierarchized according to the types of sanctu-
from the first centuries CE have offered more than five hun-
aries. Domestically they would have been heads of house-
dred names of deities from Indo-European Hispania (which
hold.
does not mean so many gods were worshiped, because several
Elusive divinities. In contrast to Indo-European His-
names can refer to the same god invoked under different epi-
pania, the names of the gods worshiped by the Iberian peo-
thets). There is a clear contrast between the western and
ples of the coastal regions are not known, with few excep-
northwestern regions in the peninsula and the eastern Celti-
tions, probably because religious acculturation had occurred
berian Plateau. Most of the names preserved originate in the
for centuries and the divine personae were expressed through
former, where Lusitanian, an Indo-European language more
Punic and Phoenician names (or the Greco-Roman ones
archaic than the Hispano-Celtic language known through
with which the Semitic deities were assimilated). One exam-
Celtiberian texts, was spoken. Fewer indigenous names of
ple of such assimilation is in Torrepardones, Jaén. On the
deities have been preserved in the central areas of the two pla-
forehead of a female stone figure a devotee inscribed, in
teaus of the peninsula or in Celtiberia. That is the result of
the second or first century BCE, the caption “Dea Caelestis,”
broader religious acculturation from the Greco-Roman
the Latin name of Carthage’s goddess Tanit.
world, which influenced the Iberian peoples of the coast.
Fortunately iconography contributes to the understand-
The gods. The literature on Indo-European gods in
ing of certain divine characters. It seems clear that there was
Hispania is minimal. Strabo (Geographica 3.3.7) states that
a protecting goddess associated with the earth, death, and re-
the peoples of the north sacrificed hecatombs of men and
generation. Some depictions, besides aniconic representa-
horses to a war god he identifies with the Greek Ares. In 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
IBERIAN RELIGION
4253
other passage Strabo (Geographica 3.4.16) says the Galicians
ture, Livy, Periochae 49; Strabo, Geographica 3.3.6), the Ble-
were atheists, whereas the Celtiberians and their northern
tonenses near Salamanca (Pliny, Naturolis Historie 30.12),
neighbors worshiped an unnamed deity, in honor of whom
and the mountain people in the north of the peninsula (Stra-
they danced on nights of the full moon. The supposed athe-
bo, Geographica 3.3.7). The subject is a commonplace of
ism of the Galicians contradicts the abundant religious offer-
Greco-Latin writings on druidic religion, but such sacrifices
ings in the northwest, and thus should be interpreted as a
must have been exceptional. Such sources are likely to have
denigrating strategy by Strabo to underline the extreme bar-
been used to emphasize the barbarism of “others.”
barism of the peoples living farther away from the Mediterra-
nean. A minor degree of barbarism must have been that of
There is much more evidence of animal sacrifices, docu-
the Celtiberians, whose gods were yet unnamed (like those
mented in sanctuaries, such as the one in Picote, Tras-os-
of the pre-Greek Carions mentioned by Herodotos (Hi-
Montes; in inscriptions, such as those in Marecos–Penafiel
storiae 2.52). On the other hand, Macrobius (Saturnalia
or Cabeço das Fraguas in Portugal; and in various depictions.
1.19.5) mentions that the Accitani of Granada worshiped a
Among the depictions are six “sacrificial bronzes” from dif-
god named Neto, astral in nature and equated with Mars,
ferent locations in the northwest of the peninsula that in-
named in a couple of Lusitanian inscriptions and probably
clude cauldrons, torques, or axes. The species mentioned in
appearing as the Neito of the first Celtiberian Bronze Age
the Lusitanian inscription from Cabeço das Fraguas (bull,
in Botorrita (Zaragoza).
sheep, and pig) correspond to those shown in these bronzes
and are similar to the victims of Roman suovetaurilia and In-
The cultural geography of the Hispanic Indo-European
dian sautramani.
pantheon allows several levels of differentiation. First are
those gods worshiped in ancient Celtica, such as Lugus, the
The sanctuary excavated in Castrejón de Capote, Bada-
Matres, or Epona. Lugus is the deity worshiped in the moun-
joz, is especially important. The site, destroyed by the Ro-
tains of Peñalba de Villastar (Teruel), a great “border” sanc-
mans in the mid-second century BCE, includes an altar with
tuary between Celtiberia and the eastern Iberian world. His
a running bench that opens into the main street of the town.
name is also found in Northwest Celtiberia (in the plural,
The animal and material remains (knives, a stake, grills, cups,
Lugoves). He is an astral god, interpreted to be the Gallic
and glasses) give proof of collective sacrifices and banquets
Roman Mercury (Caesar, Bellum Civile 6.17). The Matres,
celebrated with the cooked flesh of the animals (Berrocal-
who show the Celtic influence of triads (and thus appear rep-
Rangel, 1994). Similar rituals took place in rupestrian sanc-
resented on a stone in Aquae Flaviae in Chaves, Portugal),
tuaries, characterized by the presence of ladders, cavities, and
are fecundity goddesses worshiped mostly in Celtiberia, as
receptacles of different sizes in which the victims’ blood
was Epona, the Celtic goddess of horses.
would have been gathered and their entrails handled. They
are characteristic of the Celtiberian area, the plateau, and es-
A series of gods are documented mostly in the west of
pecially the Galician-Lusitanian northwest. The ritual sanc-
the peninsula. The most common group is formed by four
tuaries of Ulaca (Avila) and Panoias in Portugal, where in-
names, Bandua (or Bandis), Cosus, Nabia, and Reva, ad-
scriptions mention the continuation of the cults into the
dressed with various epithets, which probably document the
Roman era, are the most important ones.
emergence of federative deities and those that protect the ter-
ritory. But the best-documented Lusitanian deities are Endo-
Posidonius and other authors (Diodorus, Bibliotheca
vellicus and Ataecina. The sanctuary of the former (who
Historica 5.29; and Strabo, Geographica 4.4.5 regarding the
seems to be related to Vaelicus, worshiped by the Vettones
Gauls) documented the rite among Celtic peoples of “cutting
in the sanctuary of Postoloboso, Avila) is in San Miguel da
off the head” (“cabezas cortadas”) of a prisoner or a defeated
Mota (Alardoal, Alto Alemtejo, in Portugal), which is under
foe. In the Iberian Peninsula the practice is recorded in a type
excavation. There are scores of inscriptions with his names,
of fibula, in which the human heads are depicted hanging
which makes him one of the best-documented gods in the
from horses, with or without riders, and in some skulls,
western provinces of the Roman Empire. There are nearly
sometimes perforated by nails, unearthed in Numantia, Ulla-
forty inscriptions related to Ataecina, fifteen in the sanctuary
stret, Puig Castellar, and Garvâo, Portugal. They are similar
of El Trampal (Alcuéscar, Cáceres). Some include the epithet
to the skulls displayed in the Celtic-Ligurian sanctuaries of
Turobrigensis, a city in Celtic Beturia (Pliny, Naturolis His-
Provence.
torie, 3.14), from which her cult extended to Sardinia or
Noricum. She is mentioned in some execratory inscriptions,
There is significant data regarding the role of priests,
and she was assimilated into Proseprina, which suggests she
mostly Celtic, in Indo-European Hispania. Proof of their
was a diabolical deity.
role is the oracular practice in the sanctuary of Endovellico,
in San Miguel da Mota (where epigraphic formulas indicate
Sacred spaces and rites. In Indo-European Hispania
they received instructions from the deity through dreams—
rites were performed in the open air, often in hierophanic
incubatio). Further evidence appears in some Celtiberic
spaces and in some instances documented in rupestrian in-
words that point at priestly functions and in the iconography
scriptions. Some sources document human sacrifices among
(in a vase from Numantia, an individual wearing a trunklike
peninsular peoples, such as the Lusitanians (divinatory in na-
tiara sacrifices a rooster on an altar).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4254
IBN EABD AL-WAHHA¯B, MUH:AMMAD
Some of the literature sheds light on funeral rites differ-
ental y orientalizante en la Península Ibérica, edited by Diego
ent from the traditional cremation. Silius Italicus (Punica
Ruiz Mata and Sebastián Celestino, pp. 17–56. Madrid,
3.340–343) and Elianus (De natura animalium 10.22) docu-
2001.
ment how Celtiberians and Vacceans performed a ritual of
Chapa Brunet, Teresa, and Antonio Madrigal Belinchón. “El
leaving dead warriors in the open to be devoured by vultures,
sacerdocio en época ibérica.” Spal 6 (1997): 187–203.
which carried their souls to the heavens (Sopeña Genzor
Ferrer Albelda, Eduardo, ed. Ex Oriente lux: Las religiones orien-
1995). The ritual indicates some concepts about an afterlife
tales antiguas en la Península Ibérica. Seville, Spain, 2002.
in the heavens (thus the rich astral iconography found in the
García Fernández-Albalat, Blanca. Guerra y religión en la Gallaecia
Hispano-Roman gravestones of these areas). This is con-
y la Lusitania antiguas. Sada, A Coruña, 1990.
firmed by scenes depicted in the different stelae and in pot-
tery from Numantia. The rite seems to have been common
Garcia, José Manuel. Religio˜es antigas de Portugal: Aditamentos e
observaço˜es às “Religio˜es da Lusitânia” de J. Leite de Vascon-
among other peoples of Celtic Europe and explains the bold-
celos: Fontes epigráficas. Lisbon, 1991.
ness and fearlessness of these peoples for whom, according
to Lucanus (Pharsolio 1.468), death was but the halfway of
Izquierdo Peraile, Isabel. Monumentos funerarios ibéricos: Los pi-
a long life.
lares-estela. Valencia, Spain, 2000.
The statues of the so-called Lusitanian warriors, created
Marco Simón, Francisco. Die Religion im keltischen Hispanien. Bu-
dapest, 1998.
under the influence of Romanization, seem to depict deified
ancestry and in some instances were placed in the entrance
Marín Ceballos, María Cruz. “La representación de los dioses
to a village (Santa Comba, Mozinho, or Sanfins). The golden
en el mundo ibérico.” Lucentum 19–20 (2000–2001):
diadems of Moñes in Piloña, Asturias, should be interpreted
183–198.
as scenes of warrior heroization. They depict warriors and
Moneo, Teresa. Religio Iberica. Santuarios, ritos y divinidades (siglos
riders, birds and fish together with figures carrying enormous
VII – I a.C.). Madrid, 2003.
cauldrons—receptacles that in the Celtic tradition symbolize
Negueruela, Iván. Los monumentos escultóricos ibéricos del Cerrillo
abundance and immortality—a key element that is a symbol
Blanco de Porcuna (Jaén). Estudio sobre su estructura interna,
of the “last voyage.”
agrupamientos e interpretación. Madrid, 1990.
Olivares Pedreño, Juan Carlos. Los dioses de la Hispania Céltica.
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Madrid, 2001.
Almagro-Gorbea, Martín. “Pozo Moro: El monumento orientali-
Olmos Romera, Ricardo. “Diosas y animales que amamantan: La
zante, su contexto socio-cultural y sus paralelos en la arqui-
transmisión de la vida en la iconografía ibérica.” Zephyrus
tectura funeraria ibérica.” Madrider Mitteilungen 24 (1983):
53–54 (2000–2001): 353–378.
177–293.
Prósper, Blanca María. Lenguas y religiones prerromanas del Occi-
Almagro-Gorbea, Martín, and Teresa Moneo. Santuarios urbanos
dente de la Península Ibérica. Salamanca, Spain, 2002.
en el mundo ibérico. Madrid, 2000.
Alvar, Jaime. “La religión como índice de aculturación: El caso de
Raposo, Luis, ed. Religiôes da Lusitana. Loquuntur saxa. Lisbon,
Tartessos.” In Atti del II Congresso Internazionale di Studi
2002.
Fenici e punici, vol. 1, pp. 351–356. Rome, 1991.
Sopeña Genzor, Gabriel. Ética y ritual: Aproximación al estudio de
Aranegui Gascó, Carmen, ed. Actas del Congreso internacional: Los
la religiosidad de los pueblos celtibéricos. Saragossa, Spain,
iberos, príncipes de occidente: Las estructuras de poder en la so-
1995.
ciedad ibérica, Saguntum. Papeles del Laboratorio de Ar-
FRANCISCO MARCO SIMÓN (2005)
queología de Valencia (PLAV). Extra-1. Valencia, Spain,
Translated from Spanish by Fernando Feliu-Moggi
1998.
Association Française d’Action Artistique, Ministerio de Educa-
ción y Ciencia, Fundación “La Caixa,” Kunst- und Aufstel-
lungshalle der Bundesrepublik Deutschland, eds. Los iberos,
IBN EABD AL-WAHHA¯B, MUH:AMMAD (AH
príncipes de occidente. Barcelona, 1998.
1115–1206/1703–1792 CE), Islamic fundamentalist teacher
Berrocal-Rangel, Luis. El altar prerromano del Castrejón de Capote:
who established the Wahha¯bi movement. He was born in
Ensayo etno-arqueológico de un ritual céltico en el Suroeste pen-
Najd, a central region in Arabia. His father was the judge in
insular. Madrid, 1994.
the town of al-EUyaynah and also taught jurisprudence ac-
Blázquez, José María. Religiones en la España Antigua. Madrid,
cording to the strict H:anbali legal school and traditions.
1991.
Muh:ammad ibn EAbd al-Wahha¯b began his study of the
Blázquez, José María, Jorge Martínez-Pinna, Santiago Montero,
QurDa¯n and basic H:anbal¯ı texts under his father but set out
Ma. Paz García-Gelabert, Francisco Marco Simón, Juan José
on travels “in search of knowledge” when he was about twen-
Sayas, Guadalupe López Monteagudo, and Francisco Díez
ty years old. He went first to Mecca and Medina, where he
de Velasco. Historia de las religiones de la Europa antigua. Ma-
studied mainly with EAbd Alla¯h ibn Sayf and Muh:ammad
drid, 1994.
H:a¯yat al-Sindi. EAbd Alla¯h was a H:anbali scholar from Najd
Celestino, Sebastián. “Los santuarios de Cancho Roano: Del indi-
who had settled in Medina. Through him, Ibn EAbd
genismo al orientalismo arquitectónico.” In Arquitectura ori-
al-Wahha¯b became tied to the traditions of Syrian H:anbal¯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
IBN AL-EARAB¯I
4255
scholarship. Ibn Sayf transmitted the course of studies of the
The immediate result of his work was the creation of a
seventeenth-century Syrian teacher EAbd al-Ba¯qi al-H:anbal¯ı
state community in Arabia dedicated to the implementation
and instructed him in the works of the great H:anbal¯ı jurist
of his mission. This state was militarily defeated in the nine-
and theologian Ah:mad ibn Taym¯ıyah (d. 1328). Al-Sindi
teenth century but experienced a revival in the twentieth,
was not a H:anbal¯ı scholar but a scholar of traditions who
when it became the kingdom of Saudi Arabia.
came from India; in Medina, he was part of a group of teach-
Ibn EAbd al-Wahha¯b’s influence, however, goes beyond
ers who inspired a spirit of socio-moral revival in students
this political aspect. Islamic renewal in its Wahha¯bi form in-
from many areas. It was this basic education, with his father
spired later Muslim thinkers and activists in a variety of areas.
and after, that prepared Ibn EAbd al-Wahha¯b for his life’s
For much of the nineteenth century, “Wahha¯bism” played
mission: the purification and renewal of Islamic society.
a role in the Islamic world similar to that of “Khomeinism”
He went next to the city of Basra and the region of
in the last part of the twentieth. In intellectual terms, what
al-H:asa¯ in eastern Arabia. Although he continued his studies,
Ibn EAbd al-Wahha¯b wrote and taught about themes such
he also began his mission of purification. In Basra in particu-
as tawh:¯ıd became part of the fundamentalist mood in mod-
lar, he opposed popular religious customs as well as the be-
ern Islam. His work was respected by a wide spectrum of
liefs of the large Sh¯ıE¯ı Muslim population. Some sources sug-
thinkers ranging from the relatively fundamentalist Rash¯ıd
gest that Ibn EAbd al-Wahha¯b also went to Persia, Syria, and
R¯ıda in Egypt to the South Asian modernist scholar
even Egypt; this is, however, highly unlikely, for the sources
Muh:ammad Iqba¯l.
closest to his lifetime make no mention of these broader
travels.
SEE ALSO Wahha¯b¯ıyah.
Sometime between 1731 and 1737, he returned to Najd
BIBLIOGRAPHY
and lived in H:uraymila¯, where his father was at the time. Fol-
The basic primary sources include the writings of Muh:ammad ibn
lowing his father’s death in 1740, Ibn EAbd al-Wahha¯b re-
EAbd al-Wahha¯b preserved in EUthma¯n ibn Bishr’s Kita¯b
turned to al-EUyaynah and received the support of the local
Eunwa¯n al-majd f¯ı taEr¯ıkh Najd (Baghdad, 1328/1910), and
ruler for his purification efforts. Soon forced to leave by local
H:usayn ibn Ghanna¯m’s Rawd:at al-afka¯r (Riyadh, 1368). Al-
opposition, however, he moved to al-DarE¯ıyah; there the
though early Western discussions made use of the anony-
local leader, Muh:ammad ibn SaEu¯d, swore in 1744 to protect
mous LamE al-shiha¯b f¯ı s¯ırat Muh:ammad ibn EAbd
Ibn EAbd al-Wahha¯b and to support his mission. This alli-
al-Wahha¯b, edited by Ahmad M. Abu Hikima (Beirut,
ance created a new state based on the fundamentals of Islam.
1967), it is not a reliable source. Important secondary
sources include EAbd Alla¯h al-S:a¯lih: al-EUthaymin’s Al-Shaykh
People from many areas were persuaded by the teach-
Muh:ammad ibn EAbd al-Wahha¯b, h:aya¯tuhu wa-fikruhu (Ri-
ings and writings of Ibn EAbd al-Wahha¯b. In addition, as
yadh, n. d.); Henri Laoust’s Essai sur les doctrines sociales et
conflicts arose, the military power of the new state brought
politiques de Taki-al-Din Ah:mad B. Taim¯ıya (Cairo, 1939),
victory and further expansion. Following Ibn SaEu¯d’s death
pp. 506–540; and the many books on Arabia by H. St. John
in 1765, Ibn EAbd al-Wahha¯b remained a major counselor
Philby, including Arabia (New York, 1930). The most thor-
to his successor, EAbd al-Az¯ız, and continued to preach and
ough study of his life and thought is Natana J. Delong-Bas,
write until his death in 1792.
Wahha¯bi Islam: From Revival and Reform to Global Threat
(New York, 2004). Surveys that indicate his place in modern
Muh:ammad ibn EAbd al-Wahha¯b left many works. Al-
Islamic history are Alexei Vassiliev, The History of Saudi Ara-
though he addressed varied subjects, his writings on tawh:¯ıd,
bia (New York, 2000) and John Obert Voll’s Islam: Continu-
or the oneness of God, are the most prominent; the major
ity and Change in the Modern World (Syracuse, N.Y., 1994).
text in this group is Kita¯b al-tawh:¯ıd. For him, tawh:¯ıd was
JOHN O. VOLL (1987 AND 2005)
more than a monotheistic affirmation: it was a rejection of
“saint worship” and veneration of anything other than God.
A summary of his teachings is presented in Al-us:u¯l
al-thala¯thah wa-adillatuha (The three roots and their proofs).
IBN ADRET, SOLOMON SEE ADRET,
Some of his sermons have been published in Khut:ab al-
SHELOMOH BEN AVRAHAM
shaykh (Sermons of the shaykh), while some legal decisions
are presented in the history written by Ibn Ghanna¯m.
Muh:ammad ibn EAbd al-Wahha¯b created a movement
IBN AL-EARAB¯I (1165–1240 CE), known throughout
of renewal at a time of ferment within the Islamic world.
the Islamic world simply as the “greatest master” (al-Shaykh
During the eighteenth century there were many Muslim
al-akbar), is acknowledged to be one of the most important
groups working for socio-moral reconstruction on the basis
spiritual teachers within the mystical tradition of Islam. A
of a strict interpretation of Islamic fundamentals.
vastly prolific writer and visionary, he is generally known as
Muh:ammad ibn EAbd al-Wahha¯b was not unique, but he
the prime exponent of the concept of the Unity of Being
was the most rigorous of the major leaders in rejecting medi-
(wahdat al-wuju¯d), even though that particular term, by
eval “innovations” and the most intractable in opposing
which his teachings came later to be designated, was hardly
compromises with popular religion.
used in his own milieu. His emphasis, as with any mystic,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4256
IBN AL-EARAB¯I
lay rather on the true potential of the human being and the
seven in Seville, the provincial capital of the Almohad Em-
path to realizing that potential, which reaches its completion
pire during the heyday of Andalusian Muslim culture. His
in the Perfect or Complete Man (al-insa¯n al-ka¯mil). Ibn
father served as a professional soldier in the sultan’s entou-
al-EArab¯ı wrote at least 300 works, ranging from minor trea-
rage, and for a time the son seemed destined to follow in his
tises to the huge thirty-seven-volume Meccan Illuminations
footsteps. Contrary to the romantic picture painted by later
(al-Futu¯ha¯t al-Makk¯ıya) and the quintessence of his teach-
writers, the family was well-off, but neither noble nor very
ings, The Bezels of Wisdom (Fusu¯s al-Hikam). Approximately
religious. He seems to have been blessed with an extraordi-
110 works are known to have survived in verifiable manu-
nary visionary capacity from a very young age, and the semi-
scripts, some 18 in Ibn al-EArab¯ı’s own hand. He exerted an
nal experience of his youth took place when he was about
unparalleled influence, not only upon his immediate circle
fifteen or sixteen years old. Without having had any formal
of friends and disciples, many of whom were considered spir-
training and apparently under the impulsion of an irresistible
itual masters in their own right, but also on succeeding gen-
inner demand, he undertook a retreat alone just outside Se-
erations, affecting the whole course of subsequent spiritual
ville, probably in the ruins of the old Roman city of Italica,
thought and practice in the Arabic-, Turkish-, and Persian-
where he had a remarkable dream-vision of the three major
speaking worlds. In recent years his writings have also in-
prophets, Jesus, Moses, and Muh:ammad. According to his
creasingly become the subject of interest and study in the
own testimony, each of them is said to have given him a piece
West, leading to the establishment of an international aca-
of advice: Jesus, whom he referred to as his first teacher, ex-
demic society in his name.
horted him to follow the spiritual life, and instructed him
Ibn al-EArab¯ı’s thought is characterized by a profound
to practice renunciation and detachment; Moses, whom Ibn
visionary capacity, coupled with a remarkable intellectual in-
al-EArab¯ı regarded as epitomizing the reception of divine in-
sight into human experience and a thorough knowledge of
spiration, promised that he would be given knowledge by
all the traditional sciences. It has been tempting for scholars
God directly, without any intermediary; and, finally,
to characterize him as a mystical philosopher, a formulation
Muh:ammad, who rescued him from a host of assailants, told
that is rather at odds with his own teachings on the limita-
him: “Hold fast to me and you will be safe” (Hirtenstein,
tions of philosophical thinking. He was as much at home
1999, p. 55). As a consequence of this instruction, Ibn
with QurDanic and h:ad¯ıth scholarship as with medieval phi-
al-EArab¯ı says, he began his study of h:ad¯ıth (reports of the
lology and letter symbolism, philosophy, alchemy, and cos-
prophet Muh:ammad’s words and deeds).
mology. He could write with equal facility in prose or poetry,
This triple vision also had one other direct result: the
and utilized the polysemous ambiguity of the Arabic lan-
great Aristotelian philosopher, Ibn Rushd (Averroës), who
guage to great effect—the characteristic resonances of
was nearing the end of his life in Cordoba, asked to meet
rhymed prose (saj D), which are to be found in the QurDa¯n,
him, and their celebrated meeting included a most extraordi-
abound in his works. In recent years Western scholars such
nary exchange, touching on the very nature of the spiritual
as Michel Chodkiewicz have begun to explore the radical
quest: in response to Ibn Rushd’s question about whether
way in which Ibn al-EArab¯ı’s thought is underpinned and in-
mystical illumination produces the same results as rational
spired by the QurDa¯n. He adopts the rich vocabulary of spiri-
inquiry, Ibn al-EArab¯ı replied: “Yes and no, and between the
tual phenomenology that previous mystics had built up, and
yes and the no spirits take wing from their matter, and necks
gives it both a scriptural basis and an ontological grounding.
are separated from their bodies” (Futu¯ha¯t I.153), leaving the
The complexity of his writings makes him one of the
philosopher dumbfounded. This response not only indicates
most demanding of authors, and difficult to comprehend,
Ibn al-EArab¯ı’s understanding of the gulf between the philo-
leading some Islamic scholars to oppose and even reject his
sophical and the mystical, between intellectual reflection and
positions. Among his admirers, his writing was always con-
spiritual retreat, but also his appreciation of how mystical
sidered to be the most elevated exposition of mystical
thought can include and accommodate apparently contra-
thought in Islam, and therefore unsuitable for the untrained
dictory notions.
mind. He combines a detailed architecture of spiritual expe-
Within two years, Ibn al-EArab¯ı had irrevocably dedicat-
rience, theory, and practice, with descriptions of the attain-
ed himself to a rigorous spiritual life, turning his back on the
ments of other masters he met and of his own personal vi-
military career that his father had wanted him to pursue, and
sions, insights, and dreams. It is his propensity to recount
entrusting everything he possessed into his father’s keeping.
stories from his own direct experience, primarily in order to
From this time he began to frequent other spiritual masters.
make a teaching point, that allows readers to gain such a de-
An account of the many S:u¯f¯ı teachers, male and female, that
tailed insight into his inner world, and also allows us to re-
he met in Seville, Córdoba, and other major cities of Andalu-
construct his life and times with some accuracy.
sia and North Africa is given in one of his most accessible
IBN AL-EARAB¯I’S LIFE. Born on July 28, 1165, in Murcia,
books, The Spirit of Holiness (Ru¯h: al-quds f¯ı muna¯saha¯t al-
Abu¯ EAbdulla¯h Muh:ammad b. EAl¯ı b. Muh:ammad Ibn
nafs), which provides a wonderful insight into spiritual
al-EArab¯ı al-Ha¯tim¯ı al-Ta¯D¯ı, as he signs himself (often short-
teaching in his time. Some of his teachers were poor and illit-
ened to simply Ibn EArab¯ı), was brought up from the age of
erate and referred to Ibn al-EArab¯ı as their spiritual son, like
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
IBN AL-EARAB¯I
4257
his first master, al-DUrya¯n¯ı, who demonstrated a Christ-like
way to Marrakech in 1200, he again underwent a spiritual
spirituality, or one of his female teachers in Seville, Fatima
transformation. He had a vision in which a S:u¯f¯ı saint of two
bint Ibn al-Muthanna, who was already ninety-six years old
centuries earlier informed him that he had attained the high-
when they met and appeared superficially as a simpleton,
est degree of sainthood, known as the Station of Closeness.
“though she would have replied that he who knows not his
After spending another six months in Tunis with his
Lord is the real simpleton” (Austin, 1988, p. 143). Others
friend al-Mahdaw¯ı, Ibn al-EArab¯ı visited all the major sites
were more apparently learned, and introduced Ibn al-EArab¯ı
of pilgrimage: Hebron, where the Patriarchs are buried; Jeru-
to the teachings of the great saint of North Africa, Abu¯ Ma-
salem, the city of David and later prophets; Medina, where
dyan (1115–1198), and to central texts of Sufism. Perhaps
Muh:ammad is buried; and, finally, Mecca, where he arrived
the most crucial influence was his friend and mentor in
in mid-1202. For him, this pilgrimage was a physical reen-
Tunis, EAbd al-DAz¯ız al-Mahdaw¯ı, a master who seems to
actment of the ascension he had undertaken inwardly. Three
have shared Ibn al-EArab¯ı’s depth and subtlety of mind and
episodes held special significance for him. The first was a
with whom he spent two extended periods. In addition to
meeting with a young girl, Nizam, who “surpassed all the
these contacts, Ibn al-EArab¯ı undertook a lengthy retreat of
people of her time in refinement of mind and cultivation,
at least nine months, following which, in Cordoba in 1190,
in beauty and in knowledge” (Nicholson, 1911, p. 14). The
he experienced a remarkable vision of all the prophets and
love that she evoked within Ibn al-EArab¯ı’s heart led to an
messengers, from Adam to Muh:ammad. In many ways the
outpouring of yearning, and she became the inspiration for
fruition of the initial triple vision he had had in Seville, this
his famous collection of poems, The Interpreter of Ardent De-
vision would also presage the claim he would later make to
sires (Tarjuma¯n al-ashwa¯q). In the style of the great Arabic
being what he called the Seal of Muhammadian Sainthood,
qas¯ıda, these poems express the poet’s longing for the Divine
the saint who encompasses all the inner meanings of the pro-
Beloved, who is ever out of reach but whose traces can be
phetic message of Muh:ammad.
found in the abandoned encampments of the caravan train.
After his first visit outside Andalusia to Tunis where he
This was for Ibn al-EArab¯ı the first awakening of love of
stayed with al-Mahdaw¯ı in 1194, Ibn al-EArab¯ı composed
women, characterized by the tradition that God made
probably his first major work, Contemplation of the Mysteries
women worthy of love for His prophet, and as a consequence
(Masha¯hid al-asra¯r), a series of fourteen visionary episodes
he married Fatima, the daughter of a Meccan notable. While
and dialogues with God, written specifically for the disciples
Nizam personified wisdom and beauty, her father was a well-
of al-Mahdaw¯ı. His parents died soon after, and as the clouds
known muhaddith, or transmitter of prophetic traditions,
of war gathered prior to the Almohad victory over the Castil-
and Ibn al-EArab¯ı assiduously collected these, making one of
ian army at Alarcos in 1195, Ibn al-EArab¯ı took his two sis-
his works, the Mishka¯t al-anwa¯r, a collection of 101 had¯ıth
ters to the peaceful Moroccan city of Fez, where he arranged
quds¯ı (divine sayings, in which God speaks through the
for them to be married. With all his family commitments
mouth of the Prophet). Ibn al-EArab¯ı also states that when
completed, he spent another two years in Fez, where his rep-
he came to know the tradition that God had made women
utation as a spiritual master in his own right grew. It was here
worthy of love for His prophet, he was awakened to love of
that he experienced his mystical ascension in imitation of the
women, and relinquished his near-monastic life to marry the
Prophet, recounted in detail in The Night-Journey (Kita¯b
daughter of a Meccan notable.
al-Isra¯): “I gained in this night-journey the true meaning of
The second significant event took place at the KaEaba
all the Divine Names, and I saw them returning to One
in 1202. During the circumambulation Ibn al-EArab¯ı en-
Named and One Essence. This Named was my very object
countered a mysterious Youth, “both speaker and silent, nei-
of contemplation; that Essence was my very being” (Futu¯ha¯t
ther alive nor dead, both complex and simple” (Futu¯ha¯t
III.350).
I.47), who described himself as Knowledge, Knower, and
Known. The youth’s being inspired in Ibn al-EArab¯ı a series
In 1198 Ibn al-EArab¯ı returned to the Iberian Peninsula
of insights, which he was told to write down and which be-
for the last time, to bid farewell to the land of his birth. At
came his Meccan Illuminations (Futu¯ha¯t).
the same time several other substantial works flowed from
his pen, often in response to direct requests from friends and
Finally, while writing the Meccan Illuminations preface,
disciples, in particular his Ethiopian companion, friend, and
Ibn al-EArab¯ı had a vision of his own role as heir to
servant, Badr al-Habash¯ı. In Córdoba he attended the funer-
Muh:ammad’s spiritual teaching and Seal of Muhammadian
al of Ibn Rushd, which, poignantly, featured a donkey laden
Sainthood: just as Muh:ammad had been given the totality
with the master’s body in a coffin on one side, counterbal-
of prophetic messages and meanings, so Ibn al-EArab¯ı saw
anced by his works on the other. His decision to leave Anda-
himself being granted the “gifts of Wisdoms” in a solemn
lusia for good may have been partly in response to instability
ceremony of investiture. This privileged status as one who
in the wake of the death of the Almohad sultan in 1199,
summarizes and completes the spiritual dimension of Islam
which many saw as marking the end of an age. At the same
was confirmed in a dream in the following year, in which he
time, his leaving was certainly also motivated by the desire
saw himself as two gold and silver bricks that completed the
to accomplish the pilgrimage to Mecca. As he traveled on his
walls of the KaEaba.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4258
IBN AL-EARAB¯I
The momentous years in Mecca saw not only the com-
thus, just as Alla¯h is the Name which includes all the Names,
pletion of several works and the initiation of the Futu¯ha¯t, but
is the prototype who includes all humanity); or the Wisdom
also brought Ibn al-EArab¯ı into contact with many well-
of Elevation in the word of Jesus (describing the elevated re-
known figures from the eastern lands of Islam. These includ-
ality of Jesus, born of the water of Gabriel and the water of
ed direct disciples of the great Baghdad S:u¯f¯ı EAbd al-Qa¯dir
Mary, as spirit and son of spirit). These twenty-seven proph-
al-J¯ıla¯n¯ı (1077–1166), as well as the adviser to the Seljuk
ets represent the different modalities of human spirituality,
court of Anatolia, Majdudd¯ın Isha¯q al-Ru¯m¯ı( died c. 1215).
facets displaying the jewels of divine wisdom, the full mean-
The latter became a close friend and patron of Ibn al-EArab¯ı,
ing of which is understood through the jurisdiction and col-
and they traveled together to Konya to meet the Seljuk sul-
lective wisdom of Muh:ammad, the Seal of prophets. This
tan. Typically for that time, Majdudd¯ın was both a man of
book has had a perennial appeal, giving rise to at least one
political power and a spiritual teacher: as adviser to the Seljuk
hundred commentaries over several centuries and in several
royal family, he encouraged Ibn al-EArab¯ı to settle in
languages, and these constitute a whole history of Islamic
Majdudd¯ın’s native town of Malatya in southeastern Anato-
mystical thought in themselves.
lia, to raise his growing family there, and to benefit people
IBN AL-EARAB¯I’S THOUGHT. Ibn al-EArab¯ı’s writings reflect
with his teachings. While Ibn al-EArab¯ı did live a more set-
a comprehensive explanation of tawh¯ıd, the “Unity of God,”
tled life writing in Malatya for a time, he also traveled in the
or the assertion that God is One. While this has often been
Levant, building relations with and serving as adviser to
taken to mean the doctrine of the Unity of Being (wahdat
kings and princes throughout the region, from Konya to
al-wuju¯d), the concept his school was later associated with,
Baghdad, Aleppo, and Damascus. He had at least two wives
the crux of his teaching is perhaps better described as the per-
and three children—two sons and a daughter. In addition,
fectibility of Man, that is to say, the human potential for the
after Majdudd¯ın died, he took on responsibility for
fullest realization of Unity, the true nature of existence and
Majdudd¯ın’s son, S:adr al-D¯ın Qu¯naw¯ı (d. 1274), who
the place and function of the human being within the uni-
would become his heir and most influential disciple. Ibn
verse. The one who asserts God’s Unity and believes it to be
al-EArab¯ı’s connections to Anatolia would have profound im-
true is capable of being transformed into one who knows
plications for the future course of Sufism there, as his teach-
what It means ( Ea¯rif). It is becoming a “knower” or Gnostic
ings became part of mainstream Ottoman culture.
that is the prime purpose of all of Ibn al-EArab¯ı’s teaching.
Ibn al-EArab¯ı deconstructs all systems and reference
For the final seventeen years of his life Ibn al-EArab¯ı
points except for Being itself, the essence of the Real. This
lived in Damascus, under the patronage of a wealthy and in-
is the only absolute, the base for all phenomena, from which
fluential judge, Ibn al-Zak¯ı. If Tunis may be considered the
they have come and to which they return. At the same time,
fulcrum of his Western life as the place where his spiritual
we may intellectually conceive of another absolute, pure
training was completed, then Damascus was certainly the
nonexistence, even though this cannot actually exist, and it
axis around which his Eastern career revolved. The writing
is this conception that allows us to distinguish different as-
continued unceasingly, with the first draft of the Futu¯ha¯t
pects of Being. Sheer Being or Light cannot be perceived,
being completed in 1231 and a second recension of the entire
embraced, or understood by any other than Itself, so none
work in 1238. As was customary at that time, the whole book
knows God but God. In fact this Absolute One is a total ne-
was read aloud in sections before a group of friends and disci-
gation of all things, without exception. It is absolutely non-
ples, sometimes as large as thirty or more, with the author
manifest, undetermined, unarticulated: even Alla¯h, God, can
himself checking that the handwritten text was correct and
only be considered as Its outward face with regard to things.
the names of those present meticulously recorded. These lis-
Being is refracted as “things,” which lie in the relative am-
tening certificates (sama¯ D) are testimony to the enormous re-
biguity of being both existent/light and nonexistent/dark.
spect accorded to Ibn al-EArab¯ı by all sections of the spiritual
Thus the world of creation, which is everything other than
and religious elite, in keeping with which he was named
God, from the highest spirits to the densest matter, can be
Muh:y¯ı al-D¯ın (“the reviver of the religion”), as was his great
viewed as either dark or light, relative nonexistence or exis-
theological S:u¯f¯ı predecessor, Abu¯ H:a¯mid al-Ghaza¯l¯ı (1058–
tence. In one respect, the thing is He; in another respect, it
1111), who had also taught in Damascus a century before.
is not Him. This plurality is one of aspects, not an ontologi-
It was not only the Futu¯ha¯t which sealed his reputation:
cal multiplicity. All aspects refer to God, the One who is
there were other works, most notably a huge D¯ıwa¯n of poet-
named by all Names. “The creation is intelligible,” Ibn
ry completed in 1237, and the work that is perhaps his most
al-EArab¯ı writes, “and God is perceptible and visible, accord-
influential masterpiece, The Bezels of Wisdom (Fusu¯s al-
ing to the people of faith and the people of unveiled insight
Hikam), which he states was received from the hand of the
and experience” (Austin, 1980, p. 108). He emphasizes the
prophet Muh:ammad in a dream in 1229. The Fusu¯s contains
mutual dependence of God and the world: without the
twenty-seven chapters, each related to a particular wisdom
world of creation, God cannot be known as Creator; without
as exemplified by one of the prophets whose stories are told
living things, God cannot be recognized as the Living.
in the QurDa¯n: for example, the Wisdom of Divinity in the
According to Ibn al-EArab¯ı, these two mutually depen-
word of Adam (who was created in the divine image, and
dent sides must constantly be borne in mind, if the relation-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
IBN AL-EARAB¯I
4259
ship between God and universe, Reality and appearance, is
by the inevitable way of death) demands the shedding of illu-
to be truly understood: on the side of nonexistence there are
sions. This journey of awakening ends with the complete an-
all the possibilities of being or immutable entities (al-a Dya¯n
nihilation (fana¯ D) of all other than God, out of which arises
al-tha¯bita), which he says “have never smelt the breath of ex-
a new kind of existence (baqa¯ D, literally “remaining”) in full
istence” (Austin, 1980, p. 76); on the side of existence there
consciousness. Here the true human being becomes “the one
are the divine names, attributes, qualities, and actions. It is
with two eyes,” seeing the One and the many, God in the
because of nonexistence that God is described as transcen-
creature and the creature in God, without being veiled by ei-
dent (tanz¯ıh), and because of existence that He is known as
ther. The world is seen as the theater of divine theophanies
immanent (tashb¯ıh). The first qualification is accomplished
(tajall¯ı), renewed at each instant by the “breathing-out” of
through the use of reason, whereas the second is made
God. This Ibn al-EArab¯ı calls “the Breath of the All-
through the exercise of imagination. By employing both fac-
Compassionate,” a loving outpouring relieving the Divine
ulties, reason and imagination, together properly, the mystic
Names from their state of constriction in latency and allow-
becomes “the one with two eyes,” that is to say, someone
ing them fullness in expression. There is, he stresses, “no rep-
with perfectly balanced vision. The two aspects of God, tran-
etition in revelation”: no two moments are the same for any-
scendence and immanence, are summarized for Ibn al-EArab¯ı
one, nor is one moment the same for two people.
by the QurDanic verse “There is no thing like Him, and He
is the Hearer, the Seer” (QurDa¯n 42.11).
Prophets and saints are those who have realized their es-
sential nonexistence, and return again to the world as guides
Ibn al-EArab¯ı’s creed of rigorous Unity is at the same
who act in accordance with the celebrated divine saying
time one of supreme tolerance of diversity and openness to
(had¯ıth quds¯ı): “I was a Hidden Treasure and I loved to be
fresh understandings. Throughout his writings he frequently
known; so I created the world that I might be known.”
cites an earlier author who wrote that “in everything there
(Futu¯ha¯t II.399). For them God is forever manifest, as the
is a sign pointing to the fact that He is One” (Futu¯ha¯t I.491).
veil of their own selfhood has been rent.
Each created thing is at once a “receiver” of Divine Being and
C
a “place” where God is manifest (mazhar). Whether it is a
ONTINUITY AND INFLUENCES. The impact of Ibn
al-EArab¯ı’s teachings is difficult to measure: although no der-
gnat or an angel, every created thing has a particular dignity
vish order was founded in his name, their influence has been
and closeness to God that demands respect. Insofar as it has
at the heart of much of S:u¯f¯ı teaching ever since. Commen-
no being of its own, its quality is what is implied by nonexis-
taries on well-known texts have sometimes used Ibn
tence, i.e., total dependence and humility; insofar as it mani-
al-EArab¯ı’s terminology and teachings, as in, for example, the
fests the Divine Being, it is imbued with divine qualities such
famous commentary on Ru¯m¯ı’s Mathna¯w¯ı by the Mevlevi
as Knowing and Living.
shaykh, Isma¯D¯ıl al-Anqara¯w¯ı (d. 1631). The list of those who
The two fundamental aspects of all existence, which give
can be considered his direct followers reads like a roll call of
rise to all the paradoxes and ambiguities of life, are reconciled
some of the most famous masters and authors in Sufism:
for Ibn al-EArab¯ı in the heart of Perfect or Complete Man,
from his adopted son and heir, S:adr al-D¯ın Qu¯naw¯ı—who
who is receptive to all possible manifestations at every level,
taught in Konya at the same time as his friend, Jala¯l al-D¯ın
and has no particular inclination to one side over the other.
Ru¯m¯ı, successfully transmitting the heritage of Ibn al-EArab¯ı
While everything in the universe manifests certain divine as-
to succeeding generations, and whose famous library pre-
pects, it is only in and to Man that God is fully revealed and
served so many of his works—to MuDayyidudd¯ın Jand¯ı
the meaning of the universe is made clear. Ibn al-EArab¯ı uses
(d. 1300), EAbd al-Razza¯q al-Ka¯sha¯n¯ı (d. 1329), Da¯Du¯d
a QurDanic account to contrast, for example, the elevated glo-
al-Qaysar¯ı (d. 1350), and EAbd al-Rah:ma¯n Ja¯m¯ı (d. 1492).
rification of God by which the angelic host praise Him with
Ibn al-EArab¯ı’s work also inspired poets, such as the wander-
the divine command for them to prostrate before Adam. Al-
ing dervish Fakhr al-D¯ın EIra¯q¯ı (d. 1289) and the author of
though the angelic nature appears to be the closest to the di-
the Gulshan-i-ra¯z (The rose-garden of mystery), Mah:mu¯d
vine, the angels do not possess the all-embracing nature of
al-Shabistar¯ı (d. 1320), as well as those of a more philosophi-
Man, who is created in the divine image and possesses
cal mind like Mulla¯ S:adra¯ of Shiraz (d. 1640). There were
knowledge of every level and degree.
many others who did not write books of their own but devel-
oped a very deep spiritual affinity with Ibn al-EArab¯ı, such
Because the ordinary perception of the world is that of
as Mehmet Uftade (d. 1580), one of the great Ottoman mas-
multiple existences, each self-subsistent and different from
ters who numbered Sultan Suleyman the Magnificent among
others, it follows that human beings are veiled from their true
his disciples.
reality by ideas of self-existence. Revelation, in different
forms at different times but culminating in the total revela-
While Ibn al-EArab¯ı’s works have been publicly adopted
tion granted to Muh:ammad, is needed to establish proper
at certain times by some Islamic governments, notably the
divinely guided modes of living. True fidelity to the essen-
Ottoman Empire and Iran, they have not been universally
tials of religious law, however, is only possible for one who
accepted within the Islamic world and have often been reject-
realizes its inner spiritual significance. To return to one’s pri-
ed as heretical. Later Muslim scholars have disagreed about
mordial nature voluntarily while in this world (rather than
the validity of his teaching: some were bitterly antagonistic
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4260
IBN AL-FA¯RID:
to what they saw as heretical philosophizing endangering the
dred passages translated from the Futu¯ha¯t, with commen-
moral framework of the whole community; others were
taries, organized by theme.
equally keen to defend Ibn al-EArab¯ı’s religious orthodoxy
Chittick, William. The Self-Disclosure of God: Principles of Ibn
and spiritual stature. This long polemic over Ibn al-EArab¯ı’s
al- EArab¯ı’s Cosmology. Albany, N.Y., 1997. Based primarily
legacy, with all its ambiguities and shifting positions, has last-
on Ibn al-EArab¯ı’s Futu¯ha¯t, from which more than one hun-
ed until the present day, and reflects both the central impor-
dred chapters and subsections are translated. The book is di-
tance of the issues he addressed, and the fascination that the
vided into three parts, dealing, respectively, with the relation
multifaceted writings and personality of the “Greatest Mas-
between God and the cosmos, the structure of the cosmos,
and the nature of the human soul.
ter” have exerted.
Chodkiewicz, Michel. An Ocean without Shore: Ibn EArab¯ı, the
B
Book, and the Law. Albany, N.Y., 1993. An examination of
IBLIOGRAPHY
the QurDanic roots of the writings of Ibn al-EArab¯ı.
Works by Ibn al-EArab¯ı Available in English
Austin, R. W. J., trans. The Bezels of Wisdom. Preface by Titus
Chodkiewicz, Michel. The Seal of the Saints: Prophethood and
Burckhardt. London, 1980; reprint, 1997. A complete trans-
Sainthood in the Doctrine of Ibn EArab¯ı. Translated by Lia-
lation of Ibn al-EArab¯ı’s Fusu¯s al-Hikam.
dain Sherrard. Cambridge, U.K., 1993. An exploration of
Ibn al-EArab¯ı’s teachings on sainthood.
Austin, R. W. J., trans. Sufis of Andalusia. Reprint, Sherborne,
U.K., 1988. Extracts from Ibn al-EArab¯ı’s Ru¯h: al-quds and
Coates, Peter. Ibn EArab¯ı and Modern Thought: The History of
Durrat al-fa¯khira, giving stories of the masters he knew in the
Taking Metaphysics Seriously. Oxford, 2002. An examination
Maghrib.
of some of the central and defining ideas of modernity in the
light of Ibn al-EArab¯ı’s writings on the unity of existence.
Bayrak, Tosun, trans. Divine Governance of the Human Kingdom.
Louisville, Ky., 1997. A fairly free translation of al-Tadb¯ırat
Corbin, Henry. Alone with the Alone: Creative Imagination in the
al-ila¯h¯ıya from Ottoman Turkish.
Su¯fism of Ibn EArab¯ı. Princeton, N.J., 1997. An original
study with two complementary essays: “Sympathy and The-
Chodkiewicz, Michel, ed. Meccan Illuminations. Translated by
opathy” and “Creative Imagination and Creative Prayer.”
William C. Chittick and James W. Morris. New York, 2002.
A selection of passages from Ibn al-EArab¯ı’s magnum opus,
Hirtenstein, Stephen. The Unlimited Mercifier: The Spiritual Life
the Futu¯ha¯t al-Makk¯ıya.
and Thought of Ibn EArab¯ı. Oxford, 1999. Seventeen chap-
ters alternating biography and commentary, with illustra-
Elmore, Gerald, trans. Islamic Sainthood in the Fullness of Time:
tions, photographs, and maps. Both an introduction and a
Ibn EArab¯ı’s Book of the Fabulous Gryphon. Leiden, 1999. A
further study.
fully annotated translation of the EAnqaD Mughrib, one of
Ibn al-EArab¯ı’s most abstruse works, with a full introduction.
Izutsu, Toshihiko. Sufism and Taoism: A Comparative Study of Key
Philosophical Concepts. Berkeley, Calif., 1984. A ground-
Hirtenstein, Stephen, and Pablo Beneito, trans. The Seven Days
breaking analysis and comparison of the works of Ibn
of the Heart. Oxford, 2000. A book of prayers for the days
al-EArab¯ı, Laozi, and Zhuangzi.
and nights of the week, with a full introduction.
Journal of Muhyiddin Ibn EArab¯ı Society. Oxford, 1984–present.
Nicholson, Reynold, trans. The Tarjuman al-ashwaq: A Collection
A biennial journal comprising new translations and studies
of Mystical Odes. London, 1911. A good translation of fifty-
of Ibn al-EArab¯ı and his school.
one celebrated love poems.
Knysh, Alexander D. Ibn EArab¯ı in the Later Islamic Tradition:
Rauf, Bulent, trans. Ismail Hakki Bursevi’s Translation of and
The Making of a Polemical Image in Medieval Islam. Albany,
Commentary on Fusu¯s al-Hikam by Muhyiddin Ibn EArab¯ı. 4
N.Y., 1998. An analysis of the heated debates around Ibn
vols. Oxford, 1986–1991. A translation of the most compre-
al-EArab¯ı’s ideas in the three centuries following his death.
hensive Ottoman commentary on the Fusu¯s al-Hikam.
Muhyiddin Ibn EArab¯ı Society website. Available at
Twinch, Cecilia, and Pablo Beneito, trans. Contemplations of the
www.ibnarabisociety.org. One of the best resources for up-
Holy Mysteries and the Rising of the Divine Lights. Oxford,
to-date scholarship.
2001. One of the earliest works, in the form of accounts of
fourteen visionary experiences, with commentary by his stu-
Nettler, Ronald L. Sufi Metaphysics and Qur Danic Prophets: Ibn
dent, Ibn Sawdak¯ın.
EArab¯ı’s Thought and Method in the Fusu¯s al-Hikam. Cam-
bridge, U.K., 2003. An analytical commentary on the Fusu¯s
Winkel, Eric, trans. Mysteries of Purity: Ibn EArab¯ı’s Asrar
al-Hikam closely following Ibn al-EArab¯ı’s arguments in their
al-taha¯rah. Notre Dame, Ind., 1995. A section from the
order and organization.
Futu¯ha¯t.
Yahya, Osman. Histoire et classification de l’oeuvre d’Ibn EArab¯ı. 2
Works about Ibn al-EArab¯ı in English
vols. Damascus, 1964. Still the most detailed and extensive
Addas, Claude. Quest for the Red Sulphur: The Life of Ibn EArab¯ı.
survey of manuscript works written by or attributed to Ibn
Translated by Peter Kingsley. Cambridge, U.K., 1993. A
al-EArab¯ı. Indispensable for all those who intend to study any
major biography covering the temporal and mystical life of
aspect of his thought.
Ibn al-EArab¯ı.
STEPHEN HIRTENSTEIN (2005)
Addas, Claude. The Voyage of No Return. Translated by David
Spreight. Cambridge, U.K., 2000. A brief introduction to
the life and thought of Ibn al-EArab¯ı.
Chittick, William. The Sufi Path of Knowledge: Ibn al- EArab¯ı’s
IBN AL-FA¯RID: (AH 576–632/1181–1235 CE), more
Metaphysics of Imagination. New York, 1989. Over six hun-
fully Abu¯ H:afs: or Abu¯ al-Qa¯sim EUmar ibn Ab¯ı al-H:asan
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
IBN EAT:A¯D ALLA¯H
4261
EAl¯ı ibn al-Murshid ibn EAl¯ı; often called the greatest mysti-
BIBLIOGRAPHY
cal poet in the history of Arabic literature. His father, known
The poetry of Ibn al-Fa¯rid: is available in English in A. J. Arberry’s
as al-Fa¯rid: because his profession was the allocation of shares
The Poem of the Way (London, 1952) and The Mystical Poems
(furu¯d:) in cases of inheritance, migrated from his native
of Ibn al-Fa¯rid: (Dublin, 1956) with good, short introduc-
Hama in Syria to Cairo, where Ibn al-Fa¯rid: was born and
tions and notes. For more recent translations, see Umar Ibn
where he lived and died.
al-Fa¯rid:; S:u¯f¯ı Verse, Saintly Life, translated by Th. Emil
Homerlin, preface by Michael A. Sells (New York, 2001). An
Though little is known about his life, there is evidence
excellent study is found in chapter 3 of Reynold A. Nichol-
that he married and had at least two sons and a daughter.
son’s Studies in Islamic Mysticism (1921; Cambridge, 1967).
He studied h:ad¯ıth and Sha¯fiE¯ı law in his youth, but his spiri-
An excellent later study is From Arab Poet to Muslim Saint:
tual bent was such that he preferred solitary devotion in the
Ibn al-Fa¯rid:, His Verse, and His Shrine by Th. Emil Homer-
desert or on Mount al-Muqat:t:am, east of Cairo, and he final-
lin (Columbia, S.C., 1994). For an assessment of the sources
for Ibn al-Fa¯rid:’s biography, especially impugning certain
ly became a S:u¯f¯ı. After a long sojourn in Mecca, he returned
contributions by the poet’s grandson EAl¯ı, see my article “To-
to Cairo and was venerated by the populace as a saint.
ward a Biography of Ibn al-Fa¯rid:,” Arabica 28 (1981): 38–
He is said to have been handsome, righteous, and awe-
56. For an evaluation of Ibn al-Fa¯rid:’s rhetorical devices as
inspiring yet pleasant and sociable. Later generations as-
inalienable elements of his style, correlative to his mystical
vision of harmony in union with God, see my article “Verbal
cribed supernatural powers to him, following the example of
Arabesque and Mystical Union: A Study of Ibn al-Fa¯rid:’s
his own grandson, EAl¯ı, who wrote an introduction to Ibn
‘al-Ta¯Diyya al-Kubra¯,’” Arab Studies Quarterly 3 (1981): 152–
al-Fa¯rid:’s D¯ıwa¯n (Collected works) and filled it with several
169.
fantastic tales. This may have been a defensive effort to exon-
erate the poet from accusations of heresy such as those made
ISSA J. BOULLATA (1987 AND 2005)
by Ibn Taym¯ıyah (d. 1328) and others regarding the prac-
tices and pantheistic tendencies of certain S:u¯f¯ıs.
The D¯ıwa¯n of Ibn al-Fa¯rid: is slim, and the poems in
IBN EAT:A¯D ALLA¯H (AH c. 650–709, c. 1252–1309 CE),
it are of varying lengths. Dominated by the theme of love,
more fully Ahma¯d ibn Muh:ammad ibn EAbd al-Kar¯ım ibn
they are couched in a beautiful style of great tenderness and
EAt:a¯ Alla¯h al-Iskandar¯ı, was an Arab S:u¯f¯ı saint and sage of
sensitivity in which the sounds, patterns, and rhetorical con-
Egypt. He was the third great master of the Sha¯dhil¯ı order
ceits of the language are natural elements of the moods and
of Sufism founded by Abu¯ al-H:asan al-Sha¯dhil¯ı (d. 1258)
ideas they convey. Capable of being read as love lyrics, they
and the first shaykh of the order to reduce its teachings and
are intended to be expressions of mystical yearning for God.
practices to writing. Born in Alexandria into an illustrious
This is true even of the only wine poem in the D¯ıwa¯n, in
dynasty of Ma¯lik¯ı religious scholars, he early evinced mastery
which intoxication with wine is but a symbol of union with
in all of the religious disciplines and became an authority on
the divine beloved.
Islamic law while professing antagonism toward Sufism. But
a chance encounter with his future S:u¯f¯ı shaykh, Abu¯
Almost half of the D¯ıwa¯n is occupied by a single poem
al-EAbba¯s al-Murs¯ı (d. 1287), dramatically transformed him
of 761 verses entitled Naz:m al-sulu¯k (Poem of the way),
into an ardent contemplative, and he became an authority
often referred to as “The Greater Ode Rhyming in T” to dis-
in both the law and the spiritual path in a relatively short
tinguish it from a shorter poem of 103 verses also rhyming
time. Most of his life was spent in Cairo as a S:u¯f¯ı shaykh
in the letter t. Considered Ibn al-Fa¯rid:’s masterpiece, this ode
and as a teacher of the exoteric religious disciplines.
is unique in its description of the mystic’s experience of God
and of the harmony achieved through realizing the union of
He wrote many works on Sufism and religious topics,
phenomenal existence and pure Being. It has so intrigued
a half dozen of which have been particularly popular in S:u¯f¯ı
subsequent generations of S:u¯f¯ıs by its exquisite beauty and
circles over the centuries and have gone through a number
mystical truths that many have written large volumes com-
of reprints in recent times. The best known of these is his
menting on it, including al-Fargha¯n¯ı (d. 1300), al-Qa¯sha¯n¯ı
Kita¯b al-h:ikam (Book of Aphorisms), a series of maxims of
(d. 1334), al-Qaysar¯ı (d. 1350), Ja¯m¯ı (d. 1492), al-Bu¯r¯ın¯ı
great beauty on S:u¯f¯ı spirituality that has produced many
(d. 1615), and al-Na¯bulus¯ı (d. 1730). The commentaries of
commentaries by S:u¯f¯ıs and become a classic in the field be-
the last two were combined by Rushayd ibn Gha¯lib
cause its comprehensive and poetical formulations may easily
al-Dah:da¯h: (d. 1889). Commentaries have also been written
be memorized. He defended Ibn al-EArab¯ı (d. 1240) and
on the Khamr¯ıyah (Wine poem) illuminating its mystical
other S:u¯f¯ıs against the H:anbal¯ı fundamentalist theologian
symbolism and explaining its religious and literary allusions.
Ibn Taym¯ıyah (d. 1328), who objected to their monistic
speculations.
A S:u¯f¯ı order named al-Fa¯rid:¯ıyah was known to exist in
Egypt during the sixteenth century and claimed to originate
In the course of time, some of the works of Ibn EAt:a¯D
from Ibn al-Fa¯rid:, but it does not seem to be in existence
Alla¯h have become practically canonical among the
today. The poet’s tomb, however, still stands in a well-
Sha¯dhil¯ıyah; later masters constantly cite him. At his death
known shrine at the foot of Mount al-Muqat:t:am in Cairo.
his funeral procession was immense. He was buried 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
4262
IBN BA¯BAWAYHI
Qara¯fah cemetery of Cairo where his tomb, recently totally
has been considerable. Man la¯ yah:d:uruhu al-faq¯ıh (Every
renovated with a new mosque and minaret, has for long cen-
man his own lawyer) is Ibn Ba¯bawayhi’s best-known work.
turies been visited by the pious. Lately he has become the ob-
As the title suggests, the need for such a work arose after the
ject of a number of studies by scholars because of his preemi-
disappearance of the twelfth imam—the so-called greater oc-
nence in Sufism and the fact that the Sha¯dhil¯ı order has
cultation (ghaybah), which began in 941—who was no lon-
shown a continuing vitality down to the present.
ger available to answer questions on religious practice. This
work was completed in 979 and became one of the four stan-
BIBLIOGRAPHY
dard legal textbooks of Twelver Shiism. Shorter legal compi-
Bibliographical references to Ibn EAt:a¯D Alla¯h in Arabic and Euro-
lations are Al-hida¯yah (Guidance) and Al-muqni E f¯ı al-fiqh
pean languages are to be found in Carl Brockelmann’s Gesch-
(Sufficiency in jurisprudence).
ichte der arabischen Literatur (Leiden, 1937–1949), vol. 1,
pp. 143–144, and suppl. vol. 1, pp. 145–147. An excellent
Ibn Ba¯bawayhi’s mastery of Twelver traditions also
critical edition of the Kita¯b al-h:ikam, with introduction and
comes to the fore in works such as the Thawa¯b al-a Ema¯l and
notes, was done by Paul Nwyia with the title Ibn EAt:a¯ D Alla¯h
EIqa¯b al-a Ema¯l, which include traditions on the reward and
et la naissance de la confrérie ˇsadilite (Beirut, 1972). I have
punishment, respectively, for praiseworthy or evil actions;
¯
translated into English, with an introduction and notes, a
the EIlal al-shara¯Di E, in which many traditions are adduced
collated version of several Arabic manuscripts of the Kita¯b
in explication of the reasons underlying various religious ob-
al-h:ikam, in The Book of Wisdom (New York, 1978). Al-qasd
ligations; and the Kita¯b al-khis:a¯l, where traditions describing
al-mujarrad f¯ı ma Erifat al-ism al-mufrad, a text on the divine
myriad qualities and actions are grouped in order of increas-
name Alla¯h, has been translated into French by Maurice Glo-
ton as Traité sur le nom Alla¯h (Paris, 1981).
ing numbers, from one to one million. Ibn Ba¯bawayhi’s
EUyu¯n akhba¯r al-Rid:a¯ is an invaluable mine of information
VICTOR DANNER (1987)
on the life and times of the eighth imam, EAl¯ı al-Rid:a¯
(d. 818), while Ikma¯l al-d¯ın wa-itma¯m al-ni Emah (The per-
fection of religion and completion of blessing, a title harking
IBN BA¯BAWAYHI or Ibn Ba¯bu¯yah (
back to su¯rah 5:3 of the QurDa¯n) is one of the earliest and
AH 306?–381/
918?–991
most exhaustive expositions of the doctrine of the twelfth
CE), Abu JaEfar Muh:ammad ibn EAl¯ı, known as
al-S:adu¯q (“the veracious”), was a Twelver Sh¯ıE¯ı jurist and
imam, his occultation, and his future reappearance as the
traditionist. Very little is known of his life. According to
Mahdi (Messiah).
popular belief, he was born after his father, a leading figure
Ibn Ba¯bawayhi’s interest in questions of dogma led him
in the Twelver community of Qom, had asked the Hidden
to compose the Risa¯lat al-i Etiqa¯da¯t, the earliest extant
Imam to pray that he be granted a son. The father had a deci-
Twelver creed. The views that he upholds there are in general
sive influence on Ibn Ba¯bawayhi’s early upbringing and edu-
agreement with those of earlier Twelver thinkers, yet they are
cation. Following the custom of his day, Ibn Ba¯bawayhi trav-
at times less deterministic and anthropomorphic. He thus
eled widely in search of knowledge. He came to Baghdad in
holds that the will of God encompasses everything, including
963 CE and, after a stay of more than a year, proceeded to
evil deeds, but then defines this will as foreknowledge. In
Mecca to perform the pilgrimage before returning to Bagh-
contrast to some Twelver traditionists, he denies the possibil-
dad via Kufa in 966.
ity that God may be seen in the hereafter. Because of his de-
Ibn Ba¯bawayhi was a frequent visitor to Nishapur and
clared opposition to theological disputation (kala¯m), Ibn
other Khorasani cities and was regarded by many as the lead-
Ba¯bawayhi, in the creed and elsewhere, relies almost totally
ing light of Khorasani Twelver Shiism. His travels took him
on traditions of the imams, to the exclusion of reasoning. For
as far as Transoxiana, which he visited in 979. At some point
this he was criticized by his renowned pupil Shaykh
in his career he established contacts with the western Iranian
al-Muf¯ıd (d. 1022) in the latter’s Tas:h:¯ıh al-i Etiqa¯d (Correc-
city of Rayy. These contacts were reinforced around 983,
tion of the Creed). Al-Muf¯ıd also attacked Ibn Ba¯bawayhi’s
when Rukn al-Dawlah, the Buyid ruler of Rayy, asked him
position on some specific matters, such as his contention that
to take up residence at the court. Rukn al-Dawlah became
the immunity ( Eis:mah) of prophets and imams from sin and
Ibn Ba¯bawayhi’s patron, and in return Ibn Ba¯bawayhi pro-
error did not preclude the possibility of inadvertent mistakes,
vided answers to questions that his benefactor put to him on
which God might induce in them to show that they were
matters of doctrine. Ibn Ba¯bawayhi was highly esteemed in
merely human. In his later years Ibn Ba¯bawayhi was obliged
Rayy, although his influence seems to have waned somewhat
to modify his anti-kala¯m views in the face of attacks by the
toward the end of his life. He died and was buried in Rayy,
MuEtazilah, whose rationalist theology came increasingly to
where a domed shrine was erected over his tomb.
dominate Twelver thinking. This change is particularly evi-
dent in his Kita¯b al-tawh:¯ıd (The book of the unity of God).
Ibn Ba¯bawayhi was a prolific writer, although fewer
than twenty of some three hundred works ascribed to him
As the example of al-Muf¯ıd shows, Ibn Ba¯bawayhi was
have survived. Even so, the surviving works are greater in
not without his critics, whose main complaint was that he
number than those of any other older or contemporary
relied on traditions of dubious authenticity. It is perhaps to
Twelver author, and their impact on subsequent generations
counter such complaints that the honorary appellation
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
IBN BA¯JJAH
4263
al-S:adu¯q was conferred on him. later generations of Twelver
it has annihilated the self. For pantheistic oneness Ibn Ba¯jjah
scholars are virtually unanimous in viewing Ibn Ba¯bawayhi
substitutes at-oneness, by reading “union” cognitively, as
as one of the pillars of Twelver Shiism. His work may in fact
communion. Thus the intellectuality of Ibn Ba¯jjah’s vision
be regarded as adumbrating the full-fledged Twelver litera-
preserves a quasi identity for the beatified soul.
ture of the eleventh century.
2. The beatified souls, which ceaselessly sanctify God, are
united to the Active Intellect by their contact with it; lacking
BIBLIOGRAPHY
matter as a principle of individuation, they cannot be differ-
The most detailed account available of Ibn Ba¯bawayhi’s life and
entiated from one another. This artful application of the
works is by A. A. Fyzee in the introduction to A Sh¯ı Eite Creed
(London, 1942), a translation of Ibn Ba¯bawayhi’s Risa¯lat
Neoplatonic insight that the notions of ordinary arithmetic
al-i Etiqa¯da¯t. A shorter version is provided by Fyzee in the ar-
do not apply to disembodied substances is later taken up in
ticle on Ibn Ba¯bawayhi that he wrote for the new edition of
Ibn Rushd’s mono-psychism; it is further clarified by Ibn
The Encyclopaedia of Islam (Leiden, 1960–), where further
T:ufayl’s deployment of the Plotinian argument that the no-
literature is cited. Ibn Ba¯bawayhi’s position on major dog-
tions of identity and difference proper to the arithmetic of
matic and juristic issues is discussed by Wilferd Madelung in
bodies are inapplicable to spiritual substances. Maimonides,
“Imamism and MuEtazilite Theology,” published in Le
who proudly stated that he studied under a disciple of Ibn
sh¯ı Eisme ima¯mite, edited by Toufic Fahd et al. (Paris, 1970),
Ba¯jjah, treated Ibn Ba¯jjah’s approach (when properly quali-
pp. 13–30, at pp. 17–20, and by Martin J. McDermott in
fied by the realization that disembodied things can still be
The Theology of al-Shaikh al-Muf¯ıd (Beirut, 1978), particu-
differentiated as cause and effect) as the solution to the prob-
larly in part 2 (see also the index).
lem of the arithmetic of souls.
ETAN KOHLBERG (1987)
3. Much as Plotinus had recoiled from “this blood-drenched
life,” Ibn Ba¯jjah looked to fulfillment for the individual de-
spite rather than through the social community and its cul-
IBN BA¯JJAH (d. AH 533/1139 CE), known in Arabic as
tural traditions. In a synthesis of prophetic and ascetic with-
Abu¯ Bakr Muh:ammad ibn Yah:ya¯ ibn al-S:a¯Digh and in Latin
drawal, he suggests, like al-Fa¯ra¯b¯ı, that the spiritual adept
as Avempace, was the founder of Islamic metaphysics in An-
find a true home beyond the very categories of this life. The
dalusia. Ibn Ba¯jjah was also a poet and musician, an astrono-
gesture is completed again in Ibn T:ufayl’s vivid contrast of
mer who dismissed the Ptolemaic epicycles, a politician, and
the cultural confinement and symbolic opacity of legalism
a man of affairs. Born in Saragossa, reportedly of Jewish an-
and ritualism with the free and individualistically responsible
cestry, he became a vizier when Saragossa fell to the Al-
insight of the spirit of the “solitary.”
moravids in 1110, but he was subsequently imprisoned while
Ibn Ba¯jjah’s philosophy contrasts sharply with his
on an embassy to the former ruler. After his release, he avoid-
worldly life, but Ibn T:ufayl, the disciple who never met him,
ed the Christian conquest of Saragossa by withdrawing to
clearly paints in the lines of force that mark the powerful
Valencia, only to be imprisoned for heresy at Játiva. This
movement of the philosopher from revulsion with petti-
time Ibn Rushd’s father or grandfather secured his release.
nesses, shams, and hypocrisies to the higher, purer realm that
He served twenty years as vizier to Yah:ya¯ ibn Yu¯suf ibn
achieves fuller definition by the contrast.
Ta¯shuf¯ın, lived in Seville and Granada, circulated to Oran,
and died in Fez, reportedly poisoned.
BIBLIOGRAPHY
Some thirty brief works preserve Ibn Ba¯jjah’s philoso-
Majid Fakhry has gathered a number of Ibn Ba¯jjah’s works in a
phy. Despite the distractions that, according to Ibn T:ufayl,
collection, in Arabic, entitled Opera Metaphysica (Beirut,
prevented him from fully clearing the storehouses of his wis-
1968). It includes, among others, the texts of The Regimen
dom (Goodman, 1983, p. 99), Ibn Ba¯jjah contributed three
of the Solitary, The Human Goal, Farewell Epistle, and On
distinctive, closely related ideas to the philosophical progres-
Contact of the Intellect with Man. D. Miguel Asín Palacios has
sion from al-Fa¯ra¯b¯ı to Ibn Rushd.
edited and translated into Spanish “Avempace botanico,” Al-
Andalus 5 (1940): 255–299; “Tratado de Avempace sobre la
1. His theory of the soul’s “conjunction” (ittis:a¯l) with the di-
union del intelecto con el hombre,” Al-Andalus 7 (1942):
vine (namely, the Active Intellect) explains the common goal
1–47; “La ‘Carta de Adios’ de Avempace,” Al-Andalus 8
of mysticism, philosophy, ethical self-perfection, and meta-
(1943): 1–87; and El Regimen del Solitario por Avempace
physical quest Platonically, as the consummation of an intel-
(Madrid, 1946). The last of these was edited and translated
lectual progress by which humankind is purified of material
by D. M. Dunlop as “Ibn Ba¯jjah’s Tadb¯ıru Dl-Mutawah:h:id
attachments and regains its true spiritual identity. By speak-
(Rule of the Solitary),” Journal of the Royal Asiatic Society
ing of “contact” rather than simply union, and by interpos-
(1945): 61–81. M. S. Hasan MaDsumi has translated into En-
ing the Active Intellect between humankind and God, Ibn
glish Ibn Ba¯jjah’s EIlm al-nafs (Karachi, 1961). See also my
Ba¯jjah attains a balance that eluded the more “inebriated”
English translation, with commentary, of Ibn T:ufayl’s H:ayy
mystics (whom he criticized for their sensuality) and avoids
Ibn Yaqz:a¯n, 2d ed. (Los Angeles, 1983), an important work
by a disciple of Ibn Ba¯jjah.
their twin paradoxes—that humanity’s identity is lost when
it is finally fulfilled and that human becomes God just when
L. E. GOODMAN (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
4264
IBN DAUD, AVRAHAM
IBN DAUD, AVRAHAM (1110–1180), known in
sources, but he was clearly influenced by Ibn S¯ına¯ (980–
rabbinic texts by the acronym RABaD I (Rabbi Avraham ben
1037), SaEadyah Gaon (892–942), and Yehudah ha-Levi
David), to distinguish him from Rabad II, Avraham ben
(c. 1075–1141).
Yitsh:aq of Narbonne, and Rabad III, Avraham ben David
The Exalted Faith is divided into three books. Book 1
of Posquières, was a Spanish astronomer, historian, and phi-
deals with those presuppositions in Aristotelian natural sci-
losopher. Avraham ibn Daud ha-Levi is best known for his
ence that are needed to explain what Avraham considers to
history of the Jewish people, Sefer ha-qabbalah (The Book of
be the basic principles of Judaism. Book 2 uses the claims
Tradition; 1161), and his comprehensive Jewish philosophy,
in book 1 to explain what Avraham judges to be the basic
Al- Eaq¯ıdah al-rafiyah (The Exalted Faith; 1168). He also
principles of Jewish faith, namely, God’s existence, oneness,
published a work on astronomy (1180) that has not survived.
and attributes (Principles 1–3); the existence and function
The Book of Tradition consists of a history of (1) the bib-
of angels (Principle 4); the authenticity of the written Torah
lical period, (2) the Second Commonwealth, (3) the tan-
and rabbinic tradition (Principle 5); and divine providence
naim, (4) the amoraim, (5) the savoraim, (6) the Geonim,
(Principle 6). Book 3, “On Spiritual Healing,” reads as an
and (7) the rabbis after the Geonic period. On the surface,
addendum to the treatise, the proper conclusion of which is
this work is a history of the Jewish people from its origins
the final principle of book 2.
to the time of Avraham ibn Daud. But in reality, as the
Avraham asserts that the whole of The Exalted Faith was
work’s prologue and epilogue make clear, it is a detailed
written to solve the problem of necessity and human choice.
theological polemic that uses history. Against the Karaites,
In the past the rabbis knew a great deal about science and
Muslims, and Christians who claimed that rabbinic tradition
religious law, but in his own time that is not the case. Those
does not correctly record the revelation given to the children
who know science know little about Jewish law, and those
of Israel at Sinai, Avraham argues that rabbinic tradition is
who know Jewish law know almost no science. This deplor-
authentic. It is an unbroken chain of transmission of testimo-
able state of affairs leads many religious Jews to think that
ny to the true meaning of the divine revelation at Sinai by
the study of science is in itself harmful to Jewish religious
witnesses whose integrity is beyond question. In other words,
commitment. But the price they pay for ignoring science is
the goal of The Book of Tradition is not to write the history
that they lack the appropriate training that would enable
of a people; rather, it is to show that the rabbinical account
them to grasp the fundamental principles of religious law.
of the revelation at Sinai is true. The rabbis’ testimony is to
Hence, they are not equipped to provide a viable solution
be accepted because all of the leaders of the rabbinic commu-
to fundamental questions of Jewish faith. The treatise is in-
nities involved in the chain of tradition from Moses through
tended for Jews who have mature minds but insufficient
Ezra to the rabbis of Andalusia in the twelfth century were
knowledge and, in consequence of both conditions, are reli-
individuals of intelligence and good character who therefore
giously confused. In other words, The Exalted Faith is in-
could be trusted to understand what they were told and to
tended to be a guide for the perplexed Jews of Avraham’s
communicate the information they received honestly, with-
time.
out prejudice or distortion. Therefore, all accusations by Isra-
el’s enemies to the effect that rabbinic Judaism is a perversion
The Guide of the Perplexed (1190) of Maimonides
of the theophany at Sinai are without foundation.
(Mosheh ben Maimon, 1135/8–1204) overshadowed The
Exalted Faith in subsequent Jewish philosophy. Maimonides’
Whatever will be the ultimate judgment of historians on
writings clearly exhibit Avraham’s influence, but that is not
the accuracy of Avraham’s history, The Book of Tradition has
to say that the two Jewish philosophers have the same philos-
served as a prime source of information about Jewish history
ophy. Clearly they do not. For example, Maimonides rejects
for Jewish and Christian historians from Avraham’s own day
Avraham’s claims that being Jewish in some way is relevant
to the twenty-first century. The seventh part of the book is
to the qualifications for prophecy, and that to some extent
considered authoritative for the history of Andalusian Jewry,
God’s relations with the world enable human beings to have
because it in effect amounts to an eyewitness report. But the
positive knowledge of God. Also, Avraham’s accounts of all
earlier sections of the history also continue to have great au-
of the sciences are vastly more detailed than the mere hints
thority for modern Jewish history; for example, they remain
of information contained in The Guide. In fact, no other
the basis for the list of the generations of tannaim and
work in Jewish philosophy is so comprehensive as
amoraim in the studies of classical Judaism by scholars such
Avraham’s. Book 1 in itself is an excellent introduction to
as Isaac Weiss, Hermann Strack, and G. F. Moore.
medieval Aristotelian philosophy and science for modern
The Exalted Faith is the first work of Jewish philosophy
students. It includes a reasonably detailed explanation of
to apply the diverse elements in the thought of Aristotle to
philosophical concepts such as substance and accident, as
a religious philosophy of Judaism. Avraham’s arguments and
well as all of Aristotelian physics, psychology, and astrono-
statements are not so developed as those of later Jewish
my. (Only Levi ben Gershom presented a more detailed as-
Aristotelians such as Levi ben Gershom (Gersonides, 1288–
tronomy.) Similarly, book 2 provides an excellent introduc-
1344), but his work is the most comprehensive of all the Jew-
tion to classical Jewish philosophy and theology for modern
ish Aristotelians. Avraham does not cite his contemporary
students. In addition to its topical breadth, Avraham’s 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
IBN EEZRAD, AVRAHAM
4265
combines the atomistic and Neoplatonic teachings of the
bic), which required that he develop a technical vocabulary
earlier generations of Jewish philosophers such as SaEadyah
for standard scientific terms, he exposed Jews outside the Ibe-
Gaon and Yehudah ha-Levi (whose works he transcends but
rian Peninsula to the sophisticated study of Hebrew gram-
does not abandon) with new Aristotelian themes that subse-
mar and to other new areas of scholarly investigation.
quent Jewish philosophers such as Levi ben Gershom and
Ibn EEzraD wrote several original treatises on mathemat-
H:asdai Crescas would develop in the fourteenth century.
ics, astronomy, and scientific instruments, chapters of what
Students of Jewish history and Avraham’s Book of Tradition
may have been intended as an encyclopedia of astrology, and
will be especially interested in the fifth principle of part 2,
Hebrew translations of Arabic scientific works, some no lon-
in which Avraham spells out in detail the philosophical
ger extant in the original. More a systematizer than a pro-
grounds and the theological purposes of his earlier history of
foundly original scientific thinker, he was important for his
the Jews.
transmission of Arabic science to the West and for his efforts
to integrate all bodies of knowledge with biblical exegesis and
BIBLIOGRAPHY
Jewish doctrine. Some traditionalists viewed him as a danger-
Works by Avraham ibn Daud
ous proponent of possibly heretical teachings.
The Book of Tradition. Translated by Gerson D. Cohen. Philadel-
The poetry of Ibn EEzraD broke away from classical An-
phia, 1967. Contains a detailed discussion of Avraham’s life.
dalusian Hebrew poetics to a more popular mode. H:ay ben
The Exalted Faith. Translated by Norbert M. Samuelson. Ruther-
Mek:iz:, modeled after Abu¯ EAl¯ı Ibn S¯ına¯’s (980–1037) H:ayy
ford, N.J., and London, 1986. Contains a detailed discussion
ibn Yaqz:a¯n, is perhaps the first attempt at sustained allegory
of Avraham’s thought.
in medieval Hebrew literature. At the same time Ibn EEzraD
Works about Avraham ibn Daud
was one of the last of the Spanish liturgical poets. His com-
Arfa, Milton. “Abraham ibn Daud and the Beginnings of Medi-
mentary on Ecclesiastes 5:1 contains an apologia for the
eval Jewish Aristotelianism.” Ph.D. diss., Columbia Univer-
newer, Spanish style, celebrating clarity of expression and pu-
sity, 1954.
rity of biblical diction. His commentary also contains an in-
Elbogen, Ismar. “Abraham ibn Daud als Geschichtsschreiber.” In
cisive critique of the older form, represented by the great me-
Festschrift zum Siebzigsten Geburtstage Jakob Guttmanns,
dieval liturgical poet ElEazar Kallir, for its intermixing of
pp. 186–205. Leipzig, 1915.
biblical and rabbinic Hebrew, grammatical errors, and inten-
New Sources
tional obscurity. Poetry used in prayer, he argued, must be
Eran, Amira. “Abraham ibn Daud’s Definition of Substance and
intelligible to the masses.
Accident.” Arabic Sciences and Philosophy 7 (1997): 265–282.
Yesod MoraD (c. 1160) treats many standard problems of
Eran, Amira. Me-emunah tamah le-emunah ramah: haguto ha-
kedam-Maimonit shel R. Avraham ibn Daud. Tel-Aviv, 1998.
medieval Jewish religious and ethical thought. The Iggeret
ha-Shabbat was written to defend the traditional Jewish view
Fernández Urbina, José. “La historia romana de Abraham ibn
that the Sabbath begins at sundown on Friday evening.
Daud.” Helmantica 124–125 (1990): 297–342.
Fontaine, T. A. M. In Defence of Judaism: Abraham ibn Daud:
Ibn EEzraD composed commentaries on all the books of
Sources and Structures of ha-Emunah ha-Ramah. Studia Semi-
the Hebrew Bible, although some have been lost. The intro-
tica Neerlandica, no. 26. Assen, Netherlands, 1990.
duction to his commentary on the Torah provides a critical
Ginsberg, Cedric. “How Shall We Measure Time? The Chronicle
review of contemporary biblical exegesis. Four types of com-
of Abraham Ibn Daud.” Jewish Affairs 47 (1992): 54–57, 82.
mentators are censured: (1) those who frequently incorporate
scientific treatises into comments on biblical phrases; (2) the
NORBERT M. SAMUELSON (1987)
Revised Bibliography
Karaites, who reject rabbinic tradition; (3) those who make
the Torah into a cryptic expression of esoteric doctrine; and
(4) those who fill their commentaries with homiletic inter-
pretations from the rabbis. Ibn EEzraD then outlines his own
IBN EEZRAD, AVRAHAM (c. 1089–c. 1164), was a
method, heavily dependent upon grammar and semantics.
Jewish biblical commentator and poet. Born in Christian
His plan was first to explain each problematic word and then
Spain, Ibn EEzraD was educated both in traditional Jewish lit-
to explicate the simple meaning of the passage as a whole.
erature and in secular subjects. He was a friend of the theolo-
These biblical commentaries remained the most endur-
gian and poet Yehudah ha-Levi and recorded his answer to
ingly influential part of Ibn EEzraD’s oeuvre, engendering
Yehudah’s question about God in his commentary on Exodus
more than a dozen supercommentaries, many of which at-
20:2. After leaving Spain in 1140, Ibn EEzraD spent the rest
tempted to elucidate the “secrets” to which he occasionally
of his life traveling through Italy, France, and England. Most
referred. Some of his interpretations were scathingly rebutted
of his works were written during this period.
by Moses Nahmanides (Mosheh ben Nahman, 1194–1270),
In his travels Ibn EEzraD carried with him the intellectual
who referred to his “open rebuke and hidden love” for Ibn
achievements of Judeo-Muslim culture in Spain. One of the
EEzraD. Barukh Spinoza (1632–1677), in chapter eight of
first to write on secular subjects in Hebrew (rather than Ara-
Theological-Political Treatise (1670), cited the comments 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
4266
IBN GABIROL, SHELOMOH
Ibn EEzraD on Genesis 12:6 and Deuteronomy 1:1 as evidence
years old; Azharot, a rhymed enumeration of the 613 com-
that the medieval commentator had anticipated his own po-
mandments of the Torah; and Keter malkhut (The Royal
sition in questioning the Mosaic authorship of the entire
Crown), his most famous liturgical poem, which is a part of
Pentateuch.
the liturgy for the Day of Atonement.
S
The Royal Crown contains four sections. The first two
EE ALSO Literature, article on Critical Theory and Reli-
gious Studies; Nahmanides, Moses; Spinoza, Baruch; Yehu-
deal with names of God, the third presents Ibn Gabirol’s cos-
dah ha-Levi.
mology, and the fourth is a confessional prayer. The overall
theme of the poem is the great distance between God and
BIBLIOGRAPHY
man, and Ibn Gabirol’s description of the structure of the
The explosion of interest in various aspects of Ibn EEzraD’s oeuvre
heavens in section three reinforces his account of this vast
is reflected in Robert Singerman’s bibliographic survey,
separation. The universe is arranged in five parts, consisting
“Abraham ibn EEzraD Scholarship, 1970–1990,” Jewish Book
of the sublunar world, the supralunar world (the heavens),
Annual 49 (1991–1992). Two collections of essays, Isadore
the sphere of Intelligence, the “Throne of Glory,” and the
Twersky and Jay M. Harris, eds., Rabbi Abraham ibn Ezra
Will of God (or God’s Wisdom).
(Cambridge, Mass., 1993); and Peter J. Tomson, ed., Abra-
ham ibn Ezra: Savant universel (Brussels, 2000), contain
Of particular importance in Ibn Gabirol’s spiritual cos-
studies of his biblical exegesis, philological and grammatical
mology are the doctrines of divine glory (kavod) and the
work, scientific treatises, poetry, and influence. A thorough
throne of glory (kisse ha-kavod). The soul is generated from
treatment of Ibn EEzraD’s method as a commentator is in Ezra
the radiance of the former, and the latter is the place under
Zion Melamed’s Mefarshei ha-mik:ra D, vol. 2, pp. 515–714
which the souls of the righteous are stored after their separa-
(Jerusalem, 1975). Annotated translations of Ibn EEzraD’s
tion from their bodies and until the end of days. Ibn Ga-
commentary on the Pentateuch are Jay F. Schachter, The
birol’s eschatology reflects the tension within his own
Commentary of Abraham Ibn EEzraD on the Pentateuch: Leviti-
thought between his affirmation of the traditional rabbinic
cus (Hoboken, N.J., 1986); and H. Norman Strickman and
belief in a final end of humanity that is a return to corporeal
Arthur M. Silver on the four other books, Ibn Ezra’s Com-
mentary on the Pentateuch (New York, 1988–2001). Irene
life and his interpretation of this belief via a Neoplatonic
Lancaster, Deconstructing the Bible (London, 2003), is a
schema that identifies the realm of spirit with good and the
translation and detailed analysis of Ibn EEzraD’s introduction
realm of body with evil. The result of the tension is that he
to the Torah commentary. Israel Levin’s Avraham ibn- EEzra:
spiritualizes the nature of the world to come (ha- Dolam ha-
Hayyav ve-shirato (Tel Aviv, 1969) is a good general treat-
ba). Hence, the final vision is not of a particular place at a
ment of his poetry. Selected translations are in Leon J. Wein-
particular time, but simply of an idealized perfection, a sum-
berger’s Twilight of a Golden Age (Tuscaloosa, Ala., 1997).
mum bonum, of the human soul.
Ibn EEzraD’s major ethical work has been translated and ed-
ited by Strickman, The Secret of the Torah (Northvale, N.J.,
In 1045 Ibn Gabirol composed an ethical study in Ara-
1995). Important investigations of his scientific treatises are
bic, Islah al-akhlaq (On the improvement of the moral quali-
Bernard Goldstein, “Astronomy and Astrology in the Works
ties), which was translated into Hebrew by Yehudah ibn Tib-
of Abraham ibn Ezra,” in Arabic Sciences and Philosophy 6
bon in 1167 under the title Tiqqun middot ha-nefesh. Man’s
(1996): 9–21; Tzvi Langermann, “Some Astrological
soul, Ibn Gabirol says, comes from the realm of Intelligence
Themes in the Thought of Rabbi Abraham ibn Ezra,” in
and enters Nature, but it remains between these two realms
Twersky and Harris, pp. 28–85; and Tony Lévy, “Abraham
throughout its embodied life. Its goal during this life is to
ibn Ezra et les mathematiques: remarques bibliographiques
return to the level of Intelligence by means of knowledge and
et historiques,” in Tomson, pp. 60–75; and, comprehensive-
practice. Perhaps the most original part of this book is the
ly, Shlomo Sela, Abraham ibn Ezra and the Rise of Medieval
Hebrew Science (Leiden, Netherlands, 2003). Levin provides
correlation that Ibn Gabirol draws between virtues and vices,
an annotated Hebrew anthology of all genres of Ibn EEzraD’s
the external human senses, the humors, and the four ele-
work in Yalk:ut: Avraham ibn EEzraD (New York, 1985).
ments of the sublunar world (air, water, earth, and fire). All
human beings are composites of these elements and corre-
MARC SAPERSTEIN (1987 AND 2005)
sponding humors. A proper balance of these components
produces human virtues, whereas an imbalance produces
vices.
IBN GABIROL, SHELOMOH (c. 1021–1058),
Ibn Gabirol’s major philosophic work is Yanbu E al-
known in Latin texts as Avicebron, Avencebrol, and Avicem-
hayat (The Fountain of Life), of which no copies of the origi-
bron; Jewish poet and the first Jewish philosopher in Spain.
nal Arabic text have survived. It was translated into Latin in
Ibn Gabirol was born in Malaga, was raised in Saragossa, and
1150, under the title Fons vitae, by Dominicus Gundis-
died in Valencia. He is best known in the Jewish community
salinus, archbishop of Segovia, with the assistance of a Jewish
as the author of secular, ethical, and liturgical poetry that re-
convert. In the thirteenth century Shem T:ov ben Yosef
flects Jewish faith under the influence of both Neoplatonism
Falaquera translated excerpts from the original into Hebrew
and S:u¯f¯ı poetry. His poems include Ha- Eanaq, a 400-verse
under the title Liqqutim mi-sefer meqor hayyim; Jewish schol-
Hebrew grammar that he composed when he was twenty
ars apparently felt no need to prepare a Hebrew translation
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
IBN H:AZM
4267
of the entire work, since the Aristotelian Avraham ibn Daud
the Fons vitae, was translated into English by Bernard Lewis
had judged it to be excessively verbose, philosophically shal-
under the title The Kingly Crown (London, 1961). There are
low, and religiously questionable. Ibn Daud’s critique of The
published collections of Ibn Gabirol’s liturgical (Jerusalem,
Fountain of Life in his work The Exalted Faith (1168) is a
1979) and secular (Jerusalem, 1975–1976) Hebrew poetry,
major reason why Ibn Gabirol’s philosophic masterpiece was
but as of yet no English translation of either collection. Israel
ignored by subsequent generations of Jewish philosophers.
Zangwill made English translations of some of the liturgical
poems in Selected Religious Poems of Solomon Ibn Gabirol, ed-
A philosophic study of matter and form, The Fountain
ited by Israel Davidson (1930; reprint, New York, 1973).
of Life is devoid of any direct reference to biblical or rabbinic
The primary study of Ibn Gabirol’s major work in ethics is
texts or doctrines, which in itself explains why subsequent
Stephen S. Wise’s translation and edition of The Improve-
Christian scholars could mistake this book’s author for a
ment of the Moral Qualities (New York, 1902), which con-
Muslim or a Christian. In fact it was only in 1845 that Salo-
tains the original Arabic text.
mon Munk identified Avicebron, the author of Fons vitae,
Works about Ibn Gabirol
as Ibn Gabirol, the author of Meqor hayyim.
Modern critical study of Ibn Gabirol’s philosophy is almost virgin
territory for scholars. Published general studies, most of
The Fountain of Life is divided into five treatises. The
which date from the nineteenth century, range from Herman
first is a general introduction of the topic of matter and form
N. Adler’s Ibn Gabirol and His Influence upon Scholastic Phi-
and their relation to physical substances. The second deals
losophy (London, 1865) to Jacques Schlanger’s La philosophie
with the substance or matter that underlies the corporeality
de Salomon ibn Gabirol (Leiden, Netherlands, 1968) and Ra-
of the sublunar world. The third is a proof of the existence
phael Loewe’s Ibn Gabirol (London, 1989). Studies of Ibn
of simple substances, which function in Ibn Gabirol’s ontol-
Gabirol’s poetry include Raphael Loewe’s “Ibn Gabirol’s
ogy as intermediaries between God and the physical world.
Treatment of Sources in the Kether Malkhuth” (in Studies in
The fourth is a proof that these simple or spiritual substances
Jewish Religious and Intellectual History Presented to Alexander
are composed of form and matter, and the fifth treatise is an
Altmann, edited by Siegfried Stein and Raphael Loewe,
account of the universal form and universal matter that un-
pp. 183–194 [Tuscaloosa, Ala., 1991]), a variety of articles
written in Hebrew, and Adena Tanenbaum’s extensive treat-
derlie everything in the universe except God.
ment of the poetry in The Contemplative Soul: Hebrew Poetry
The main thesis of the work is that everything in God’s
and Philosophical Theory in Medieval Spain (Leiden and Bos-
universe has matter as well as form, a doctrine severely criti-
ton, 2002). Of special interest are the following: Raymond
cized by Ibn Daud and ignored by all subsequent Jewish phi-
P. Scheindlin’s study of the relationship between Ibn Ga-
losophers until Barukh Spinoza. While The Fountain of Life
birol’s poetry and S:u¯f¯ı poetry (in Sefarad 54 [1994]: 109–
had little influence on Jewish thought, it was a major influ-
141), and John M. Dillon’s study of Ibn Gabirol’s doctrine
of intelligible matter in Neoplatonism and Jewish Thought, ed-
ence on thirteenth-century Christian philosophy. The main
ited by Lenn E. Goodman (Albany, N.Y., 1992).
thesis was adopted by Duns Scotus and the Neoplatonic
Franciscans, while it was opposed by Albertus Magnus,
Two works have been published in Hebrew that deal with Ibn Ga-
birol’s relationship to Jewish mysticism. They are Israel
Thomas Aquinas, and the Aristotelian Dominicans. Among
Levin’s Mystical Trends in the Poetry of Solomon ibn Gabirol
the Christian thinkers who explicitly referred to Avicebron
(Lod, Israel, 1986) and Yehudah Liebes’s “Rabbi Solomon
were Dominicus Gundissalinus, William of Auvergne, Alex-
ibn Gabirol’s Use of the Sefer Yesira and a Commentary on
ander of Hales, Bonaventure, William of La Mar, and Gior-
the Poem ‘I Love Thee’,” Jerusalem Studies in Jewish Thought
dano Bruno.
6 (1987): 73–123. However, neither has been translated into
English.
SEE ALSO Ibn Daud, Avraham; Jewish Thought and Philos-
Other related studies that deserve mention are Michael Witt-
ophy, article on Premodern Philosophy.
mann’s study of Thomas Aquinas’s opposition to Ibn Ga-
birol, entitled Die Stellung des heiligen Thomas von Aquin zu
BIBLIOGRAPHY
Avencebrol (Münster, Germany, 1900), and Milton Arfa’s
“Abraham ibn Daud and the Beginnings of Medieval Jewish
Works by Ibn Gabirol
Aristotelianism” (Ph.D. diss., Columbia University, 1954),
The primary edition of the Latin translation of Ibn Gabirol’s The
a discussion of Ibn Daud’s severe criticism of The Fountain
Fountain of Life is Avencebrolis fons vitae, edited by Clemens
of Life.
Bäumker (Münster, Germany, 1892–1895). A partial En-
glish translation has been made by Harry E. Wedeck (New
NORBERT M. SAMUELSON (1987 AND 2005)
York, 1962), and a complete English translation by an un-
named author can be found at the library of the University
of Pennsylvania. In addition, Salomon Munk’s Mélanges de
philosophie juive et arabe (1859; reprint, New York, 1980),
IBN H:ANA¯BILAH SEE H:ANA¯BILAH
in which Munk demonstrates that Ibn Gabirol is Avicebron,
contains the selections from The Fountain of Life that were
translated into Hebrew by Shem T:ov ben Yosef Falaquera.
Ibn Gabirol’s philosophical poem Keter Malkhut (Y. I. Zaidman,
IBN H:AZM (AH 384–456/994–1064 CE), more fully
ed.; Jerusalem, 1950), which closely parallels the content of
Abu¯ Muh:ammad EAl¯ı ibn Ah:mad ibn SaE¯ıd ibn H:azm, 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
4268
IBN H:AZM
a Muslim theologian and man of letters. Born in Cordova
immediate and general sense: When God wants a verse to
to a rich and influential family, Ibn H:azm received a distin-
have a specific meaning, he provides an indication (dal¯ıl), in
guished education in religious sciences, literature, and poet-
the same verse or elsewhere, which allows the meaning to be
ry. Nonetheless, he grew up in a period of disruptive ethnic
restricted.
and clan rivalries that saw the decline of the Umayyad caliph-
The significance of a QurDanic text can also be deter-
ate at Cordova and the formation of tiny kingdoms fighting
mined by a h:ad¯ıth recognized as authentic after careful criti-
among themselves. His own childhood was marred by the
cal examination; a verb in the imperative, for example, can
disgrace of his father after the fall of Caliph Hisha¯m II and
be taken as a command, but also as a suggestion: The mean-
by the destruction of the family home at Bala¯t: Mugh¯ıth in
ing can be determined only from the literal sense of the con-
the course of bloody battles between Arabs and Berbers.
text. From this position, it follows that Ibn H:azm strongly
As a result of his political activities on behalf of the legit-
criticizes the use of reasoning by analogy (qiya¯s) and the prin-
imist (Umayyad) party, Ibn H:azm met with imprisonment,
ciples of personal evaluation: the pursuit of what is consid-
banishment, and flight but was appointed to high positions
ered good (istih:sa¯n), the pursuit of values for the common
as well, serving as vizier at least twice, under EAbd al-Rah:ma¯n
good (istis:la¯h:), and most of all, the recourse to personal opin-
III al-Murtada¯ and EAbd al- Rah:ma¯n V al-Mustaz:hir, and
ion (ra Dy) by which the jurists sought to extend divine law
possibly a third time under the last caliph, Hisha¯m al-
to cases not mentioned in the texts (nus:u¯s:). In the same spirit,
MuEtadd. Profoundly disappointed by his political experi-
he limits the basis of consensus (ijma¯ E) to the companions
ence and offended by the conduct of his contemporaries, Ibn
of the Prophet; the agreement of the community of scholars
H:azm subsequently left public life and devoted his last thirty
on a legal question does not authorize the derivation of a law.
years to literary activities.
In Al-ih:ka¯m f¯ı us:u¯l al-ah:ka¯m (Judgment on the princi-
ples of Ah:ka¯m), Ibn H:azm develops his method for classify-
His writings are quite personal, shaped by the intensity
ing human acts within the five established juridical categories
of his own reactions and rigorous in their condemnation of
(ah:ka¯m) of obligatory, recommended, disapproved, forbid-
what is, in fact, only human nature. T:awq al-h:ama¯mah (The
den, and lawful: For an action to fall into one of the first four
dove’s neck-ring), a youthful work that was clearly revised
categories, there must be a text (QurDa¯n or authentic h:ad¯ıth)
later, is interesting in several respects. As a collection of prose
that establishes its particular status; otherwise, the act is law-
passages and poetic illustrations on the subject of love and
ful. This method is further applied in his voluminous treatise
lovers, it offers a fairly standard treatment of a popular theme
on Z:a¯hir¯ı law, Kita¯b al-muh:alla¯ (The book of ornaments).
in Arabic literature. What sets it apart, however, is Ibn
H:azm’s penetrating observation of human psychology, a trait
Ibn H:azm is also famous for his great work, the Fis:al
found in his later study of characters and conduct, Kita¯b
(Detailed critical examination), in which he offers a critical
al-akhla¯q wa-al-siyar, as well. Underlying the delicate charm
survey of different systems of philosophical thought in rela-
of the prose and poetry in T:awq al-h:ama¯mah is an uneasy
tion to religious beliefs among the skeptics, Peripatetics,
sensibility. Questioning, for example, the sincerity of ex-
brahmans, Zoroastrians and other dualists, Jews, and Chris-
changes between women and their lovers, Ibn H:azm finds
tians. Using the examination of these religions to establish
a gap between what is said and what is thought and con-
the preeminence of Islam, he also attacks all the Muslim
cludes that language often serves to mask thought. This oth-
theologians, the MuEtazilah and the AshEar¯ıyah in particular,
erwise commonplace discovery of dishonesty provides him
along with the philosophers and mystics. His main objection
in turn with a basis for profound reflection on language and
is that each of them raises questions about the revealed text
its wider uses, and it is here that he introduces the notion
only to resolve them by purely human means. Ibn H:azm
of z:a¯hir, the “apparent” or literal meaning of words.
does not deny recourse to reason, because the QurDa¯n itself
invites reflection, but this reflection must be limited to two
This line of thought is further developed when Ibn
givens, revelation and sense data, because the so-called prin-
H:azm examines the word of God. In opposition to the
ciples of reason are in fact derived entirely from immediate
Ma¯lik¯ıyah, he argues that people are bound to obey only the
sense experience. Thus reason is not a faculty for indepen-
law of God, in its z:a¯hir or literal sense, without restrictions,
dent research, much less for discovery.
additions, or modifications. Although he was originally a
By submitting humans exclusively to the word of God,
Sha¯fiE¯ı jurist, Ibn H:azm joined the Z:a¯hir¯ı school and
Ibn H:azm’s literalism frees them from any choice of their
brought to it a systematic structure of logic. For the interpre-
own. His drive for synthesis leads him to demonstrate the
tation of sacred texts, he put together a Z:a¯hir¯ı grammar in
harmony of all the QurDanic and prophetic texts through the
which he specifically eliminates the ambiguities that gram-
application of Z:a¯hir¯ı principles. As a result, his work consti-
marians were using to explain certain syntactical forms. He
tutes one of the most original and important monuments of
takes the position that language itself provides all that is nec-
Muslim thought.
essary for the understanding of its content and that, there-
fore, God, who revealed the QurDa¯n in clear (mub¯ın) Arabic,
BIBLIOGRAPHY
has used the language to say precisely what he means. Each
A general work for the study of Ibn H:azm is W. Montgomery
verse should be understood grammatically and lexically in its
Watt and Pierre Cachia’s A History of Islamic Spain (Edin-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
IBN KHALDU
¯ N
4269
burgh, 1965), which provides a useful summary of cultural
Ibn Khaldu¯n’s approach to religion was conditioned by
and political history as well as a detailed bibliography. D. B.
the fact that he lived in a Muslim society and was a promi-
Macdonald’s Development of Muslim Theology, Jurisprudence
nent member of its religio-juridical establishment. Both as
and Constitutional Theory (1903; reprint, New York, 1965)
an enormously complex institution and as a powerful reli-
and Ignácz Goldziher’s classic work The Z:a¯hir¯ıs: Their Doc-
gious force in society, Islam is always present in his work and
trine and Their History, translated and edited by Wolfgang
his thought. The encyclopedic outline of Muslim civilization
Behn (Leiden, 1971), shed light on the legal and theological
currents of which Ibn H:azm was a part.
in the Muqaddimah contains brief and factual sketches of the
religious sciences and institutions; these sketches are admira-
A work that specifically concerns Ibn H:azm is my Grammaire et
bly persuasive and have proved useful, for Muslims and non-
théologie chez Ibn H:azm de Cordoue: Essai sur la structure et
Muslims alike, as a first introduction to the subject. The his-
les conditions de la pensée mus:u¯lmane (Paris, 1956). Miguel
Asín Palacios’s Abenházam de Córdoba y su historia crítica de
torical development of the sciences connected with the
las ideas religiosas, 5 vols. (Madrid, 1927–1932), is an analyti-
QurDa¯n, the prophetic traditions (h:ad¯ıth), and jurisprudence
cal edition and partial translation of Ibn H:azm’s most fa-
is analyzed in a deceptively simple manner, and the great po-
mous work, Kita¯b al-fas:l f¯ı al-milal wa-al-ahwa¯ D wa-al-nih:al.
litical-theological problems agitating Muslim society, such as
His T:awq al-h:ama¯mah f¯ı al-ulfah wa-al-ulla¯f has been trans-
the character of the caliphate and the ever present messianic
lated by A. R. Nykl as A Book Containing the Risala Known
expectations, are discussed astutely.
as the Dove’s Neck-ring, about Love and Lovers (Paris, 1931)
and by A. J. Arberry as The Ring of the Dove (London, 1953).
A matter of vital concern in Ibn Khaldu¯n’s life and time
was the religious and social meaning of the relationship of
ROGER ARNALDEZ (1987)
Islam, in its dominant traditional manifestation as a sum of
Translated from French by Miriam Rosen
fundamentalist theology and law, to the individual and
group emotionality of internalized religion represented by
Sufism (tas:awwuf, “mysticism”). He is credited with a legal
IBN KHALDU
¯ N (
responsum (fatwa¯) and historical description and discussion
AH 732–808/1332–1406 CE) was a
Muslim historian, famous as the first systematic theoretician
of theories on mysticism, that expands on the chapter devot-
of the social, economic, psychological, and religious forces
ed to Sufism in the Muqaddimah. He supports traditional
that determine human history and society. Born in Tunis
Sufism and rejects its ecstatic, seemingly antinomian forms,
into an aristocratic and scholarly family that had left Seville
while being fully aware of their great impact on society.
for Northwest Africa almost a century earlier, he received the
Other supernatural sciences, that were taken very seriously
thorough education customary among the Muslim middle
throughout medieval Islam, such as sorcery, astrology, and
and upper classes. Entering government service shortly after
“scientific” attempts at divining the future, are discussed as
he lost his parents and many of his teachers to the Black
to their compatibility with the traditional religious outlook.
Death, he soon left Tunis and in 1354 arrived in Fez, where
In general, Ibn Khaldu¯n applies a sense of realism to his basic
he was well received by the Marinid ruler but also had to suf-
concern with the forces governing human society. His ap-
fer the customary tribulations of political involvement.
proach to the religious/political institutions and religious sci-
ences of Islam is predicated upon the assumption that human
The Northwest African period of his life included a so-
rationality, different though it is from revealed religion, af-
journ of a little over two years in Andalusian Granada (De-
fects them as it does all other cultural activity. Even where
cember 1362–February 1365), during which he undertook
psychological or supernatural factors appear to be involved,
a diplomatic mission to Christian Seville, and over three
humankind’s task is to rely on reason, seconded by observa-
years of quiet retirement from active politics (1375–1378)
tion and experience, for understanding and explaining its
in rural QalEat Ibn Sala¯mah (province of Oran). There he
world.
started work on his great history of the world (Kita¯b al- EIbar)
and completed its “introduction,” the Muqaddimah, in
This approach raises the question of how Ibn Khaldu¯n
1377. Returning to his native Tunis in order to complete the
reconciled his views on the normal course of human affairs
history, he reentered government service but soon felt that
with the dominant religious traditions and beliefs. The im-
his position at court was shaky. Under the pretext of going
portance of his work results from his remarkable attempt to
on the pilgrimage to Mecca, he left Tunis in October 1382
explain the historical processes in human terms, assumed by
for Egypt. There he spent the rest of his life as a college pro-
him to possess universal validity. Culture, equated with
fessor and administrator and achieved the zenith of his career
human life, is seen as dependent upon population density,
with an appointment to the prestigious and influential
a natural assumption in premodern times possibly confirmed
Ma¯lik¯ı judgeship. His religious experience was enlarged by
for people in the fourteenth century by the devastation of the
a pilgrimage to Mecca (1387–1388) and, in particular, a visit
Black Death. The innate human psychological need to be-
to the holy cities of Palestine (1400). A meeting with the
long and give political support to a group dominated by one
Mongol ruler Timur in Damascus early in 1401 was another
or more leading personalities, for which Ibn Khaldu¯n chose
noteworthy event of his Egyptian period. He died unexpect-
the code word Eas:ab¯ıyah, translated approximately as “group
edly in Cairo on March 17, 1406.
feeling,” is instrumental in producing the circular ebb 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
4270
IBN RUSHD
flow of concentrations of political power necessary for all civ-
don, 1957). While there are numerous studies of his socio-
ilization; religious convictions are beneficial, at times even
logical, philosophical, and historical thought, few are devot-
indispensable, for an Eas:ab¯ıyah to achieve its potential. Eco-
ed to the specifically religious aspects of his work; among
nomic factors—to a large extent controllable by proper
them is Ignacio Saadé’s El pensamiento religioso de Ibn Jaldûn
human management, provided that the wisdom and will for
(Madrid, 1973).
it are present—complete the picture of human society, or so-
FRANZ ROSENTHAL (1987)
cieties, as based upon reason, numbers, and psychology.
What role, then, belongs to the principal religious tenets
of Islam, such as God, prophecy, and the other world? Ibn
IBN RUSHD (AH 520–595/1126–1198 CE), better
Khaldu¯n could not disregard this question. He takes for
known in Western sources as Averroës, was the last outstand-
granted the undeniable reality of the vast metaphysical struc-
ing Arab philosopher and commentator of Aristotle. Ibn
ture set up by traditional Islam. Although he argues that
Rushd was born in Córdoba, the capital of Muslim Spain (al-
prophecy cannot be proved by logical means, and he explains
Andalus) in 1126, into a family of prominent (Ma¯lik¯ı) reli-
prophecy, on the human side, as depending on an extraordi-
gious scholars. His full name in Arabic is given as Abu¯
nary power of the soul, he accepts as a matter of course the
al-Wal¯ıd Muh:ammad ibn Ah:mad ibn Rushd, and he is re-
existence of a succession of chosen human beings who are
ported to have studied jurisprudence (fiqh), Arabic letters
transmitters of the divine message, culminating in the proph-
(adab), theology (kala¯m), philosophy, and medicine with a
et Muh:ammad. Metaphysical forces are seen to have exer-
number of eminent teachers, some of whose names are given
cised a large, and often lasting, influence in certain ages, par-
in the biographical sources. None of his philosophy teachers
ticularly at the origin of Islam. The potential for divine
are mentioned by name, but he is reported to have had the
interference in human affairs at any given time continues to
highest regard for Ibn Ba¯jjah (Avempace, d. 1139), who was
exist. Such interference, however, as in the form of miracles
responsible for introducing Aristotle into al-Andalus and was
whose occasional occurrence cannot be denied, constitutes
the first Arab philosopher in that part of the Islamic world.
an interruption of the ordinary and need not be reckoned
In addition, Ibn Rushd was a friend of Ibn Tufayl (d. 1185),
with in studying human society and the rules governing it.
author of a well-known philosophical novel, H:ayy Ibn
The widespread speculation about the end of the world con-
Yaqza¯n, which has been compared to Robinson Crusoe. Ibn
cerned him only inasmuch as it was a belief that tended to
Tufayl, who was the royal physician of the caliph, Abu¯
conflict with political realities. There was practically no need
YaEqu¯b Yu¯suf, introduced Ibn Rushd in 1169 to that prince,
for him to discuss life after death, which he accepted as a
who was apparently genuinely interested in philosophy, but
powerful belief.
complained of the “abstruse idiom of Aristotle or his (Arabic)
It is tempting to ascribe to Ibn Khaldu¯n a kind of secu-
interpreters.” Thereupon, Ibn Rushd was commissioned to
larism and even claim for him a tendency to separate religion
comment on Aristotle’s works for the use of the caliph and
from politics and sociology. This view is anachronistic and
was appointed Ma¯lik¯ı judge (qa¯d:in; qa¯d:¯ı) of Seville and later
disregards Muslim reality. Ibn Khaldu¯n was not an original
chief judge of Córdoba. In 1182, he was appointed royal
religious thinker, but he showed a deep and no doubt genu-
physician at the court of Marakesh, where he died in 1198
ine appreciation of the importance of Islam and religion in
at the age of seventy-two; he was buried in his birthplace of
general. As befitted his position in life, he was sincere in his
Córdoba.
reverence for traditional Islam and the dogmas and practices
When Abu¯ Yu¯suf, surnamed al-Mans:u¯r, succeeded his
it had produced. His individual religious views were not such
father in 1184, Ibn Rushd continued to enjoy royal patron-
as to cause much of a stir among his contemporaries, and
age, but in 1195, probably in response to public pressure in-
there was little reason for later generations to pay attention
stigated by the Ma¯lik¯ı jurists, who were averse to the study
to them. It was his way of looking at history that deeply im-
of philosophy and the “ancient sciences,” Ibn Rushd’s for-
pressed succeeding historians, especially among the Ottoman
tune took an adverse turn; he was exiled to Lucena, to the
Turks. The full significance of his achievement began to find
southeast of Córdoba; his books were burned; and the study
worldwide appreciation in the nineteenth century.
of philosophy and the sciences, with the exception of astron-
B
omy, medicine, and arithmetic, was prohibited. Ibn Rushd’s
IBLIOGRAPHY
A classified bibliography can be found in Aziz Al-Azmeh’s Ibn
disgrace, however, did not last long and he was soon restored
Khaldûn in Modern Scholarship (London, 1981),
to favor, but died shortly after.
pp. 229–318. Among translations of Ibn Khaldu¯n’s works,
WRITINGS. Ibn Rushd’s writings fall into five distinct catego-
two are recommended: The Muqaddimah, 3 vols., an English
ries: philosophical, theological, juridical, medical, and lin-
translation by Franz Rosenthal (1958; reprint, Princeton,
guistic.
N.J., 1980), and Le voyage d’Occident et d’Orient, a French
translation of the Autobiography by Abdesselam Cheddadi
His philosophical writings consist of a series of com-
(Paris, 1980).
mentaries—long, intermediate, and short (i.e., summaries or
A good introduction to the thought of Ibn Khaldu¯n remains
paraphrases)—of the whole Aristotelian corpus with the ex-
Muhsin Mahdi’s Ibn Khaldûn’s Philosophy of History (Lon-
ception of the Politics, totaling thirty-eight titles, which have
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
IBN RUSHD
4271
survived in Arabic, as well as Hebrew and Latin translations.
he says, the former ought to be as well. To do this, the seeker
In addition, he wrote paraphrases of Plato’s Republic and the
of religious truth must first acquire a thorough knowledge
Isagoge of Porphyry; commentaries on De intellectu of Alex-
of the various forms of deduction, the demonstrative
ander of Aphrodisias, the Metaphysics of Nicolaus of Damas-
(burha¯n¯ı, apodeictic), the dialectical, the rhetorical, and the
cus, and the al-Magest of Ptolemy; and a series of original
sophistical, corresponding to the four types of syllogism
tracts titled On the Intellect, On the Syllogism, On the Con-
given in Aristotle’s Organon. The highest of these forms of
junction with the Active Intellect, and On the Heavenly Sphere.
deduction, according to Ibn Rushd, is the demonstrative,
To these tracts should be added a number of polemical tracts,
which is the prerogative of the philosophers, followed by dia-
aimed at al-Fa¯ra¯b¯ı (d. 950) and Ibn S¯ına¯ (d. 1037).
lectic, the prerogative of the theologians (Mutakallimu¯n),
and the rhetorical, the prerogative of the masses at large. The
The theological treatises include the Decisive Treatise
sophistical form is naturally excluded as invalid.
(Fas:l al-Maqa¯l) and the Exposition of the Methods of Proof (al-
Kashf), to which his rebuttal of Abu¯ H:a¯mid al-Ghaza¯l¯ı’s In-
To illustrate the methodology he proposes in the Deci-
coherence of the Philosophers, discussed below, might be
sive Treatise, Ibn Rushd proceeds in the Exposition to list and
added. Ibn Rushd’s juridical writings include two treatises
discuss the major propositions that constitute the subject
on jurisprudence, of which the Primer of the Discretionary
matter of what was known in the Middle Ages as Scholastic
Scholar (Bida¯yat al-Mujtahid) has survived. His medical writ-
theology, discussed for instance in the Summa Theologica of
ings consist of al-Kulliya¯t, translated into Latin as Colliget,
Thomas Aquinas (d. 1274). The list opens with the existence
as well as the short tracts On Fever, On the Humors, and On
of God, his attributes, and his creation of the world, followed
Theriac. There are also a number of paraphrases or summa-
by questions concerning the commissioning of prophets, di-
ries of Galen’s medical treatises and finally a commentary on
vine decree and predestination, and resurrection.
Ibn S¯ına¯’s medical proem, known as al-Urju¯zah. Ibn Rushd
In connection with the proofs of the existence of God,
also wrote a solitary treatise on Arabic grammar.
Ibn Rushd is critical of the AshEarite proof, which rests on
DEFENSE OF PHILOSOPHICAL DISCOURSE. Philosophy,
the two premises of the creation of the world in time and
which found its way into the Arab Muslim world in the
its composition of indivisible particles or atoms, neither of
eighth century, was not always well received in intellectual
which, according to him, is demonstrable or certain. His
Islamic quarters, but came into collision with Islamic theolo-
own proof, which he believes to be embodied in the QurDa¯n,
gy (kala¯m) towards the middle of the ninth century. The
is the teleological, or as he calls it, the proof from divine
philosophical-theological confrontation reached its climax in
providence (Eina¯yah) or invention (ikhtira¯ E).
the last quarter of the tenth century, when al-Ghaza¯l¯ı, gener-
REBUTTAL OF AL-GHAZA¯L¯I’S INCOHERENCE OF THE
ally regarded as the greatest theologian of Islam, launched his
PHILOSOPHERS. A pivotal aspect of Ibn Rushd’s philosophi-
onslaught against the philosophers in a classic work of
cal output is the rehabilitation of philosophy, which had
antiphilosophical polemic entitled Incoherence of the Philoso-
come under constant assault almost from the start. The most
phers (Taha¯fut al-Fala¯sifah), published in 1085. Almost a
devastating such assault was launched by the great AshEarite
century later, Ibn Rushd took up the cudgels against
theologian and mystic al-Ghaza¯l¯ı in his Incoherence of the
al-Ghaza¯l¯ı in a book entitled The Incoherence of the Incoher-
Philosophers, by whom he meant al-Fa¯ra¯b¯ı and Ibn S¯ına¯, the
ence (Taha¯fut al-Taha¯fut, 1180). Shortly before, Ibn Rushd
chief Islamic interpreters of Aristotle, according to him.
wrote the already-mentioned Decisive Treatise (1178) and
Those philosophers, al-Ghaza¯l¯ı argues, should be charged
Exposition of the Methods of Proof (1179) to defend the thesis
with irreligion (kufr) on three questions and heresy or inno-
of the harmony of the religious law (shar¯ı Eah) and philoso-
vation (bid Eah) on seventeen. The former questions or prop-
phy (h:ikmah) and to define the subject matter of theological
ositions are the pre-eternity of the world, God’s knowledge
enquiry respectively.
of universals but not of particulars, and the denial of bodily
In the first of these two treatises, Ibn Rushd sets out to
resurrection. The remaining seventeen include the post-
prove that religious law has indeed “commanded” the study
eternity of the world; the inability of the philosophers to
of philosophy, which he defines as “the investigation of exist-
prove conclusively the existence of God, his unity, or his sim-
ing entities and their consideration insofar as they reveal their
plicity; and their assertion of a necessary causal “correlation”
Maker.” He supports this claim by reference to a series of
between natural occurrences that neither observation nor
QurDanic verses that call upon humankind to “investigate the
reason warrants.
kingdom of the heavens and the earth” (7:184), “to reflect
In his rebuttal, Ibn Rushd counters the first charge by
upon the creation of the heavens and the earth” (3:191), and
arguing that the philosophers distinguish between “continu-
“to consider, you people of understanding” (59:2).
ous” and “discontinuous” creation and hold that the former,
This investigation, reflection, or consideration, Ibn
known in the Middle Ages as creatio ab aeterno, is more ap-
Rushd goes on to argue, is only possible by means of rational
propriately predicated of God. Ibn Rushd counters the sec-
deduction (qiya¯s), which he contrasts with legal deduction,
ond charge by arguing that God’s knowledge is generically
or analogy, which had been sanctioned from the earliest
different from human knowledge insofar as it is the cause of
times by legal scholars. If the latter is religiously admissible,
the object known, whereas human knowledge is the effect of
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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IBN RUSHD
that object, on the one hand, and its modality is unknown
The same is true of the state and its parts. When all the parts
to us on the other. Finally, he counters the third charge by
of the soul or state are rationally ordered, the supreme virtue
asserting that bodily resurrection is a matter in which all the
of justice arises. This virtue is defined at the individual level
religious scriptures, including the QurDa¯n, the Gospels, and
as “the way in which everyone of the (soul’s) parts (i.e., the
the Jewish scriptures, concur. Belief in bodily resurrection
rational, the spirited, and the appetitive) does only what it
and the similar religious dogmas should not be questioned
has to do in the appropriate manner and at the appropriate
insofar as they are preconditions of happiness and virtue in
time.” At the collective or the political level, justice is stated
this life, and, although not philosophically demonstrable,
to be “nothing more than that every man in the state does
they should be adhered to on moral, social, and pragmatic
the work that is his by nature in the best way he possibly
grounds.
can.” This is achieved once the class that possesses the virtues
of knowledge and wisdom (i.e., the philosopher-king and the
On the question of necessary causation, Ibn Rushd ar-
guardians) are allowed to rule the two subordinate classes of
gues along Aristotelian lines that the repudiation of causality
auxiliaries (the military) and laborers.
is tantamount to the repudiation of scientific knowledge al-
together, since such knowledge is grounded in the knowl-
LATIN AVERROISM: IBN RUSHD IN THE WEST. Less than
edge of the specific properties of existing entities and the way
three decades after his death, the commentaries of Ibn Rushd
in which they impinge on each other as causes and effects.
found their way into Western Europe in Hebrew and Latin
ETHICS AND POLITICS. Ibn Rushd’s contribution to ethics
translations. The interest of the Jews in his writings stemmed
is embodied in his summary of Aristotelian ethics and a mid-
from the high regard in which he was held by his country-
dle commentary on the Nicomachean Ethics, which has sur-
man, the great Jewish Aristotelian, Moses Maimonides
vived only in Latin translations. More interesting in this con-
(d. 1204). By 1230, Michael the Scot, Herman the German,
text is his Paraphrase of Plato’s Republic, which has survived
and William of Luna rendered into Latin the greater part of
in Hebrew and Latin translations and in which he discusses
Ibn Rushd’s commentaries. No sooner had these translations
at some length the interrelation of the two “practical” sci-
found their way into learned circles in France and Italy than
ences of ethics and politics. He states in the preface that he
they caused a major intellectual stir. First, they led to the re-
has elected to paraphrase Plato’s famous political treatise be-
discovery of Aristotle, whose philosophy was almost com-
cause Artistotle’s Politics “has not fallen into our hands.” He
pletely forgotten since the time of Boethius (d. c. 525), the
does not appear to be aware of the fact that the Aristotelian
Roman consul and author of the Consolations of Philosophy,
treatise was never translated into Arabic in his day and was
who had translated the whole logical corpus of Aristotle,
only translated from Greek in 1957 by Augustin Barbara.
known as the Organon, and commented on parts of it. Sec-
ondly, they contributed to the rise of Latin Scholasticism,
In his paraphrase (jawa¯mi E), Ibn Rushd distinguishes
one of the glories of late Medieval philosophy, as Étienne
the two practical sciences of ethics and politics, whose object
Gilson has put it, which prior to that rediscovery was incon-
is action, from the theoretical, whose object is scientific
ceivable. Thirdly, they contributed to the rise of European
knowledge. Ethics, he then argues, has a certain analogy with
rationalism, which Gilson has attributed in his Reason and
medicine insofar as it has, like medicine, two subdivisions:
Revelation in the Middle Ages (1938) to the influence of that
hygienic and therapeutic. The former is concerned with the
“Arabian philosopher (meaning Averroës). . .who be-
way in which habits and voluntary modes of behavior or
queathed to his successors the ideal of a purely rational phi-
traits become ingrained in the soul; the latter with the way
losophy, an ideal whose influence was to be such that, by it,
in which those habits or modes of behavior are restored once
even the evolution of Christian philosophy was to be deeply
they are gone. All the practical virtues, however, are subservi-
modified” (p. 38).
ent to the theoretical, which consist of the rational, delibera-
tive, moral, and technical, corresponding to Artistotle’s table
By the middle of the thirteenth century, as a conse-
in the Nicomachean Ethics VI, or reason (nous), practical wis-
quence of Ibn Rushd’s influence, Latin philosophers and
dom (phronesis), and practical art (techne).
theologians split into rival groups, the pro-Averroists, repre-
sented by Siger of Brabant (d. 1281), Boethius of Dacia
Politics, by contrast, is concerned with those modes of
(d. 1284), John of Jandun (d. 1328), and others; and the
association in which the human is a political animal (zoon
anti-Averroists, represented by Thomas Aquinas, his teacher
politcon) and is forced to choose, by dint of the need for se-
Albertus Magnus (d. 1280), and others. The controversy be-
curity and survival, as Plato held in the Republic, Book I. Ibn
tween the two groups reached such a pitch that the bishop
Rushd agrees with Plato that the state, like the individual
of Paris, Etienne Tempier, was forced to issue in 1270 the
soul, has three parts—the rational, the spirited (thymos), and
first condemnation of fifteen heretical propositions, thirteen
the appetitive—with which the perfection of each is bound
of which were of Averroist inspiration. This was followed in
up. Thus, a person is described as wise to the extent the ratio-
1277 by a second condemnation of 219 propositions of
nal part of his or her soul rules the spirited and the appetitive.
Averroist and Aristotelian inspiration.
A person is courageous to the extent his or her spirited part
is subservient to the rational, and temperate to the extent his
In the next century, Dante Alighieri (d. 1321) advanced
or her appetitive part is subservient to the rational as well.
in his De Monarchia an antipapalist and secularist thesis
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
IBN S¯INA¯
4273
based on Averroës’s theory of the “possible intellect,” which
Averroës. Aristotelis opera cum Averrois commentaries. Reprint. 12
was met with staunch opposition from ecclesiastical quarters.
vols. Frankfurt am Main, Germany, 1962.
In 1327, Dante was condemned as an Averroist and his De
Averroës. The Incoherence of the Incoherence. Translated by Simon
Monarchia was burned in the public square of Bologna by
van den Bergh. London, 1969.
order of Pope John XXII.
Averroës. Averroës on Plato’s Republic. Translated by Ralph Lerner.
Ithaca, N.Y., and London, 1974.
The anti-Averroist group, led by Thomas Aquinas, chal-
lenged the Averroists on three major counts: the unity of the
Averroës. Middle Commentaries on Aristotle’s Categories and De In-
terpretations. Translated by Charles Butterworth. Princeton,
intellect, the eternity of the world, and the scope of divine
N.J., 1983.
providence. In his famous tract, De unitate intellectus, contra
Averroës. Faith and Reason in Islam: Averroes’ Exposition of Reli-
Averroistas, Thomas Aquinas challenges Averroës’s interpre-
gious Arguments. Translated by Ibrahim Najjar. Oxford,
tation of Aristotle’s view of the intellect as both universal and
2001.
transcendent, and accordingly susceptible of immortality in
M
both its possible and active capacities.
AJID FAKHRY (2005)
On the question of the eternity of the world, Thomas
Aquinas contends, following the lead of Maimonides in his
IBN S¯INA¯ (AH 370–428/980–1037 CE), more fully Abu¯
Dux Perplexorum, that Aristotle did not actually assert the
EAl¯ı al-H:usayn ibn EAbd Alla¯h ibn S¯ına¯, known in Latin as
eternity of the world in a conclusive way, but had in two of
Avicenna; Muslim philosopher and physician. Ibn S¯ına¯ was
his works, Topica and De Coelo, regarded it as simply proba-
born in Afshana, a village near Bukhara. Today a city in Uz-
ble. As regards the scope of divine providence, Averroës ex-
bekistan, Bukhara was at that time the capital of the Samanid
plicitly, and Aristotle by implication, were accused of a rigid
rulers, for whom Ibn S¯ına¯’s father worked.
determinism that left no scope for divine intervention in the
form of miracles.
EDUCATION. Ibn S¯ına¯ grew up in a bilingual environment;
his native language was Farsi (Persian), but the language of
Latin Averroism continued to gain ground in Padua,
his education was Arabic. The heritage of these two cultures
Bologna, and elsewhere in Italy well into the sixteenth centu-
was to lead to the two very different lines of his influence on
ry. The chief Averroists of the period were John of Jandun
later thinkers.
(d. 1328), Marsilius of Padua (d. 1343), Urban of Bologna,
Paul of Venice, and others.
The education provided for Ibn S¯ına¯ by his father was
very wide-ranging, encompassing both Muslim religious
Pietro Pomponazzi (d. 1525), who tended to follow Al-
studies and secular subjects from the Arabic, Greek, and In-
exander of Aphrodisias in his interpretation of Aristotle, was
dian traditions. He began by memorizing the QurDa¯n and
nevertheless in agreement with Averroës that religion has a
much of the didactic literature known as adab, then went on
purely pragmatic, social, and ethical function insofar as it
to study Muslim jurisprudence (fiqh). His father and brother
contributes to private and public morality. The chief Averro-
were followers of the IsmaE¯ıl¯ı branch of Sh¯ıE¯ı Islam, which
ists of the sixteenth century included Niphus and Zimara,
encouraged the study of hermetic philosophy, Neoplato-
the two most accomplished commentators on the works of
nism, and mathematics. Ibn S¯ına¯ did not become an IsmaE¯ıl¯ı
Aristotle and Averroës during that period.
but did study these subjects, as well as “Indian calculation,”
probably meaning the use of the Hindi (Arabic) numerical
BIBLIOGRAPHY
system. When he reached ten years of age, his father hired
Endress, Gerhard, and Jan Aertsen, eds. Averroës and the Aristote-
a tutor to teach him Greek philosophy and science. For the
lian Tradition. Leiden, 1999.
next several years he studied Aristotle’s logic, Euclid’s geome-
Fakhry, Majid. Averroës: His Life, Works, and Influence. Oxford,
try, and Ptolemy’s astronomy and quickly surpassed his tutor
2001.
in his knowledge of these subjects.
Gilson, Étienne. Reason and Revelation in the Middle Ages. New
York, 1938.
From age fourteen or fifteen Ibn S¯ına¯ continued his
studies on his own, reading the texts and commentaries in
Hernandez, M. C. Ibn Ru´sd (Averroës). Córdoba, Spain, 1997.
the natural sciences, metaphysics, and medicine. He excelled
Jolivet, Jean. Multiple Averroës, Paris, 1978.
in this last subject, to the point that he was practicing and
Leaman, Oliver. Averroës and His Philosophy. Oxford, 1988.
teaching it by the time he was sixteen. He completed his edu-
Mandonnet, Pierre. Siger de Brabant et l’averroïsme latin and XII-
cation in the following year and a half, reviewing and master-
Ime siècle. 2d ed. Louvain, Belgium, 1908–1911.
ing all the branches of philosophy: logic, mathematics, natu-
Renan, Ernest. Averroës et l’averroïsme. Paris, 1882.
ral science (or physics), and metaphysics. He was helped in
Translations
his understanding of metaphysics by the commentary of Abu¯
Averroës. Cordubensis commentarium magnum in Aristotelis de
Nas:r al-Fa¯ra¯b¯ı (d. 950 CE), whose commentaries on Greek
Anima Libros. Edited by F. S. Crawford. Cambridge, Mass.,
philosophy and original writings had a great influence on Ibn
1953.
S¯ına¯. In his attack on both Ibn S¯ına¯ and al-Fa¯ra¯b¯ı, the great
Averroës. Averroës on the Harmony of Religion and Philosophy.
theologian al-Ghaza¯l¯ı (d. 1111) was to consider their views
Translated by George Hourani. London, 1961.
virtually identical.
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IBN S¯INA¯
4274
PUBLIC LIFE. Ibn S¯ına¯’s entry into public life began during
THOUGHT. As can be seen from his major writings, Ibn S¯ına¯
this period of study, when he was summoned to treat the Sa-
wished not merely to study all knowledge but to synthesize
manid emir in Bukhara and then became part of his court.
it as well. Aristotle’s philosophy, Neoplatonism, Islamic reli-
He was to spend the rest of his life—the next forty years—as
gious teachings, and quite possibly Zoroastrian concepts
a courtier, with all of the vicissitudes of fortune which that
were all present in his intellectual background, and traces of
position usually entails. He held both medical and political
all of these traditions can be found in his thought. In his cos-
positions in a number of courts in areas that are today part
mology, for example, he adopts the Neoplatonic theory of
of Iran and the central Asian republics, usually being forced
emanation from a Necessary Existent through a series of In-
to leave a given territory by “necessity,” as he laconically calls
telligences to the Active Intelligence, from which emanate
it. At several courts he was an important minister, but the
the vegetative, animal, and rational souls and the material
jealousy of rivals and an undoubtedly arrogant attitude to-
basis of the sublunary world. This emanation is necessary,
ward his intellectual inferiors (virtually everyone he met)
since it is implicit in the nature of the Necessary Existent,
brought about his downfall and imprisonment or hasty es-
as is its absolute goodness.
cape from most of these courts.
The Necessary Existent is the only exception to Ibn
S¯ına¯’s absolute distinction between essence and existence.
During the time of this active political involvement, Ibn
For the Necessary Existent, essence and existence are identi-
S¯ına¯ was also engaged in writing a large and influential cor-
cal; for all other existents they are separate. Even though the
pus of works on medicine and all branches of philosophy.
Necessary Existent is the Prime Cause of the created uni-
Many of these works have been lost, and many that exist
verse, the latter is independent of the Necessary Existent,
today are unedited, so we cannot speak with certainty about
which has no control over the good and (necessary) evil re-
his philosophical development. Most of his major writings
sulting from the process of emanation. Thus he employs
have survived, however, with the exception of Al-ins:a¯f (The
Neoplatonic ideas in his attempt to harmonize the theory of
judgment), in which he compared the Eastern and Western
Aristotle, which regards matter as coeternal with the Prime
views of Aristotle’s philosophy. This work was lost during his
Mover, and the belief in creation by God ex nihilo held by
lifetime; it might have answered some of the questions about
Muslims. He was later criticized by Ibn Rushd (Averroës; d.
his philosophy which exist even today. The two most influ-
1198) for not following Aristotle more closely and was ac-
ential of his works, Al-qa¯nu¯n f¯ı al-t:ibb (The canon of medi-
cused of heresy by al-Ghaza¯l¯ı for not accepting creation ex
cine) and Al-shifa¯ D (The healing [of the soul]), were written
nihilo.
over a period of years and were intended to be compendia
In his exposition of the relationship between human be-
of their subjects, medicine and philosophy. Most of his other
ings and the Necessary Existent, Ibn S¯ına¯ likewise advocates
major writings that can be dated were composed during the
a position that draws upon Neoplatonism to synthesize the
last thirteen years of his life, which he spent in Isfahan or on
various positions current in his time. Each human being, he
campaign with its ruler, as his official physician and courtier.
states, is composed of body, soul, and intelligence. The high-
During this period he composed some works in Farsi, such
est aspect of the human being, the intelligence, desires to
as the Da¯nish-na¯mah-i EAla¯D¯ı (EAla¯D¯ı philosophy), and over-
reach its perfection, to return to the source from which it has
saw the translation of some of his earlier Arabic treatises into
emanated. Passing back through the various stages of emana-
Farsi. In all, more than 130 works by Ibn S¯ına¯ have survived
tion, which Ibn S¯ına¯ compares to passing through the stages
to this day, many of them found only in manuscript form
of the mystical path, the individual intelligence ultimately
in Middle Eastern libraries.
achieves union with the Necessary Existent. There are simi-
Ibn S¯ına¯ was interested in all branches of knowledge,
larities between this view and Aristotle’s position that the
religious and secular. Once, in order to avenge a slighting re-
greatest human happiness is found in the godlike activity of
mark about his knowledge of Arabic philology, he spent
contemplation. However, in no sense could a part of the
three years studying the subject, then wrote several letters im-
human soul become identified with the Prime Mover in Aris-
itating exactly the greatest prose stylists in the language, and
totle’s system. Ibn S¯ına¯ is closer to an Islamic position in his
concluded his study by writing a book on the subject. Most
discussion of the relationship of humans to the Necessary Ex-
of his surviving writings are of this sort: accounts of one as-
istent. But it is not the orthodox theological doctrine, which
pect or another of the learning of his time, often in response
stresses the absolute separateness of human beings and God,
to questions posed by his contemporaries. His philosophy is
that he approaches in his account. Rather, it is the S:u¯f¯ı, or
presented more systematically in his major works: the Shifa¯ D;
mystical, view of the divine-human relationship. His mysti-
the Naja¯t (Salvation [from error]), a selection of the most im-
cism differs from that of most S:u¯f¯ıs, however, in his argu-
portant parts of the Shifa¯ D; Isha¯ra¯t wa-al-tanb¯ıha¯t (Instruc-
ment that the Ea¯rif (“knower,” or, perhaps, “Gnostic”) can
tions and remarks), the last of his major writings; and the
attain the ma Erifat Alla¯h (“knowledge of God”) by his own
Da¯nish-na¯mah-i EAla¯D¯ı. The Shifa¯D, for example, is divided
will; he does not need God’s grace to achieve this state of illu-
into four parts, treating logic, physics, mathematics, and
mination.
metaphysics; the first three parts are further subdivided, thus
In recent years, students of Ibn S¯ına¯’s religious thought
covering virtually all of the subjects of philosophy.
have found traces of Zoroastrian influence, in addition 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
IBN S¯INA¯
4275
influences of Aristotelian, Neoplatonic, and Islamic ideas.
of Paris, c. 1180–1249). He accepted Ibn S¯ına¯’s distinction
His theory of the role of the Intelligences in the universe
between essence and existence but strongly rejected his
bears a resemblance to the angelology of Zoroastrianism, and
emanationist creation theory, including the hierarchy of In-
much less to the traditional Islamic view of angels as God’s
telligences existing between humans and God. In this rejec-
vicegerents and messengers. The individual must awaken to
tion he was followed by Albertus Magnus (1206–1280) and
the knowledge that his intellect is a part of the world of the
Thomas Aquinas (1224–1274).
angels; at that point the mystical journey begins. Ibn S¯ına¯’s
view of the material universe as eternal, evil (mixed with
The two most important Christian thinkers strongly in-
good), and completely determined is related not only to the
fluenced by Ibn S¯ına¯ were the British Franciscans Roger
tenets of Gnosticism and Manichaeism that still survived in
Bacon (c. 1214–after 1292) and John Duns Scotus (c. 1265–
the Iran of his time, but also to the late Zoroastrian doctrine
1308). Bacon did not compose a systematic theology but,
of Zurvanism, which held even God to be bound by fate. In
rather, wrote a scientific encyclopedia resembling in many
his development of a philosophical vocabulary in Farsi, he
ways Ibn S¯ına¯’s Shifa¯ D. Neither Ibn S¯ına¯ nor Roger Bacon
shows a knowledge of Zoroastrian terminology and adapts
wished to compare each point with the views of the ancient
it to his own system.
philosophers; as Ibn S¯ına¯ told his chief disciple, Ju¯zja¯n¯ı, “If
you would be satisfied with my composing a work in which
INFLUENCE ON THE WEST. In canto 4 of his Inferno Dante
I would set forth what, to me, is sound in these sciences,
includes Ibn S¯ına¯ with the great pagan writers of antiquity
without debating with those who disagree or devoting myself
in Limbo, the highest circle of Hell. Muslims were generally
to their refutation, I would do that” (Gohlman, 1974,
seen as schismatics—Dante in fact puts Muh:ammad and EAl¯ı
p. 55). Bacon also believed that Ibn S¯ına¯ was, after Aristotle,
among the schismatics in canto 28—so it is surprising to en-
the prince of philosophy. Even so, Bacon could not follow
counter Ibn S¯ına¯ alongside Homer, Plato, and Aristotle.
Ibn S¯ına¯ completely: he substitutes God for Ibn S¯ına¯’s creat-
Dante placed him in this high position quite likely because
ing Active Intelligence, for example. Duns Scotus adopted
of the great influence his writings had exerted on Christian
Ibn S¯ına¯’s definition of metaphysics as the study of being
thought over the previous century and a half. His influence
qua being, and his discussion of universals was largely based
on Dante’s ideas was especially strong.
on that of Ibn S¯ına¯ as well.
Ibn S¯ına¯’s influence in the West began almost as soon
as his works began to be translated in twelfth-century Spain.
INFLUENCE IN THE MUSLIM WORLD. Ibn S¯ına¯ had a num-
Most of the Shifa¯ D was translated into Latin before 1150, and
ber of disciples who continued studying and teaching his
it presented Christian thinkers with their first exposure to a
philosophical system. The orthodox Islamic revival of the
completely coherent cosmology and system of metaphysics.
eleventh century CE, however, crowned by al-Ghaza¯l¯ı’s at-
It had a seductive attraction because of its comprehensiveness
tack on the philosophers, limited the spread of his ideas to
and was in some respects easier to accept than Aristotle’s phi-
those areas not under the control of the Seljuk dynasty. The
losophy. Because Aristotle’s works were being translated at
fact that he did not found a school like the Academy or Lyce-
the same time as those of Ibn S¯ına¯, and because some Neo-
um also restricted his influence to the occasional scholar or
platonic works were attributed to Aristotle (e.g., the Liber de
group of scholars. It is ironic that his philosophical writings
causis, a collection of extracts from Proclus’s Elements of The-
became a part of the curriculum of European universities but
ology), it was not always easy to distinguish the ideas of the
not of the madrasahs (colleges) established in the Muslim
two philosophers. During the thirteenth century, however,
world.
students of their works and commentators on them were able
Ibn S¯ına¯’s influence on Muslim writers, especially in the
to separate the two men and identify the spurious works at-
Farsi-speaking area of the Muslim world, was, nevertheless,
tributed to them. At this point it was discovered by Christian
important. The most significant impact of his thought was
theologians, as al-Ghaza¯l¯ı had alleged over a century earlier,
on Sufism, more specifically on the Ishra¯q¯ı (Illuminationist)
that Ibn S¯ına¯’s cosmology and metaphysics posed a danger
school of Sufism founded by Shiha¯b al-D¯ın Yah:ya¯
to orthodox monotheism, whether Christian or Muslim.
Suhraward¯ı (1153–1191). The source of this influence was
Ibn S¯ına¯’s philosophical system was too well construct-
not his great encyclopedia of philosophy, the Shifa¯ D, but rath-
ed to refute completely and too widespread to ignore. Virtu-
er several short treatises, H:ayy ibn Yaqz:a¯n, The Bird, On
ally all of the scholastic theologians accepted some of his
Love, and Salma¯n and Absa¯l, as well as the last sections of his
ideas, although none went so far as to become “Latin Avicen-
Isha¯ra¯t. There is a dispute among contemporary scholars
nists.” The Christian writer who came closest to adopting his
concerning the extent to which Ibn S¯ına¯ intended these
philosophy completely was his twelfth-century translator,
works to be interpreted exoterically as mystical treatises. The
Dominicus Gundissalinus, who wrote a number of works
Ishra¯q¯ı S:u¯f¯ıs, however, read them in this way and combine
which borrowed heavily from the psychology and metaphys-
them with the obviously mystical theosophy of Muh:yi
ics of Ibn S¯ına¯, which Gundissalinus had translated into
al-D¯ın ibn al-EArab¯ı (1165–1240) and the ideas of his con-
Latin. Gundissalinus’s works, as well as those of Ibn S¯ına¯,
temporary Suhraward¯ı to form the most influential school
were viewed critically by William of Auvergne (or William
of mystical philosophy in the Farsi-speaking Islamic world.
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IBN TAYM¯IYAH
The aspect of Ibn S¯ına¯’s writings that attracted
metaphysical theories is Parviz Morewedge’s The Metaphysica
Suhraward¯ı and his followers was his Eastern (mashriq¯ıyah)
of Avicenna (ibn S¯ına¯) (New York, 1973), which is a transla-
philosophy. The Arabic words for “Eastern” and “Illumina-
tion of the Ila¯h¯ıya¯t (Metaphysics) of the Da¯nish-na¯mah-i
tionist” (mushriq¯ıyah) are written identically; according to
EAla¯D¯ı with an extensive commentary and comparison with
Suhraward¯ı they mean the same thing in Ibn S¯ına¯’s works.
Ibn S¯ına¯’s other works on metaphysics. The negative side of
Unfortunately, the most important of his writings on Eastern
the debate over interpreting his works esoterically is pres-
ented by Amélie-Marie Goichon in such works as the intro-
philosophy, Al-ins:a¯f, was lost, but his references to the East
duction and notes in her French translation of the Isha¯ra¯t:
in H:ayy ibn Yaqz:a¯n and The Bird convinced Suhraward¯ı that
Livre des directives et remarques (Paris, 1951) and Le récit de
Ibn S¯ına¯ was on the right track. Suhraward¯ı translated the
H:ayy ibn Yaqz:a¯n (Paris, 1959). The case for an esoteric inter-
latter into Farsi and wrote a companion work to H:ayy ibn
pretation is made in Henry Corbin’s Avicenna and the Vision-
Yaqz:a¯n, which he called Western Exile. In his basic treatise
ary Recital, translated by Willard R. Trask (New York,
H:ikmat al-ishra¯q (Illumination wisdom), Suhraward¯ı points
1960); the connection between Ibn S¯ına¯ and the Ishra¯q¯ı
out that the sources of wisdom that Ibn S¯ına¯ lacked were
school is shown in Seyyed Hossein Nas:r’s Three Muslim
precisely those writings of Zoroastrianism, Pythagoreanism,
Sages: Avicenna, Suhraward¯ı, Ibn EArab¯ı (Cambridge, Mass.,
and Hermetism which were both Eastern and Illumination-
1964).
ist. He rejects Ibn S¯ına¯’s distinction between essence and ex-
WILLIAM E. GOHLMAN (1987 AND 2005)
istence, saying that existence has no reality outside the intelli-
gence that abstracts its essence. Ibn S¯ına¯’s view of form and
matter, similar to that of Aristotle, is transformed by
Suhraward¯ı into light and darkness; the human soul is com-
IBN TAYM¯IYAH (AH 661–728/1263–1328 CE), more
posed of light. He interprets Ibn S¯ına¯’s treatises to be sym-
fully, Taq¯ı al-D¯ın Abu¯ al-EAbba¯s Ah:mad ibn EAbd al-H:al¯ım
bolic accounts of the return of the soul/light to the Supreme
ibn EAbd al-Sala¯m al-H:arra¯n¯ı al-Dimashq¯ı, was a juriscon-
Light, and wrote several treatises that describe this journey
sult, theologian, and S:u¯f¯ı. He was born in Harran, and at
of the soul to God.
the age of six he fled with his father and brothers to Damas-
The Ishra¯q¯ı tradition was most influential in Iran after
cus during the Mongol invasions. Ibn Taym¯ıyah devoted
the establishment of the Safavid regime (1499–1722) and its
himself from early youth to various Islamic sciences (QurDa¯n,
adoption of Sh¯ıE¯ı Islam as the official state religion. In Isfa-
h:ad¯ıth, and legal studies), and he was a voracious reader of
han, the Safavid capital after 1598, the two greatest expo-
books on sciences that were not taught in the regular institu-
nents of the Ishra¯q¯ı school were M¯ır Da¯ma¯d (d. 1631) and
tions of learning, including logic, philosophy, and kala¯m.
his pupil Mulla¯ S:adra¯ (1571/2–1640). M¯ır Da¯ma¯d wrote a
EARLY CAREER. Ibn Taym¯ıyah studied law under the direc-
commentary on the metaphysics of the Shifa¯ D in which he
tion of his father and Shams al-D¯ın EAbd al-Rah:ma¯n
combined the teachings of Ibn S¯ına¯ and Suhraward¯ı, partic-
al-Maqdis¯ı (d. 1283). Under several teachers of h:ad¯ıth he
ularly in the area of angelology. Mulla¯ S:adra¯, the greatest of
studied a number of works, in particular the Musnad of
the Ishra¯q¯ı theosophers, founded a school that continues to
Ah:mad ibn H:anbal, (a h:ad¯ıth collection that he read several
the present day. His synthesis of philosophy, revelation, and
times), the “six books” of h:ad¯ıth, and the biobibliographical
illumination follows Ibn S¯ına¯’s principle of the primacy of
Mu Ejam of al-T:abara¯n¯ı. He studied Arabic grammar and lex-
existence and its division into necessary, possible, and impos-
icography for a brief period under Sulayma¯n ibn EAbd al-
sible existents. He departs from Ibn S¯ına¯’s views and relies
Qawi al-T:u¯f¯ı (d. 1316); then, on his own, he mastered
more on Ibn al-EArab¯ı, the Neoplatonists, and Islamic revela-
S¯ıbawayh’s text on grammar. He became qualified to issue
tion in holding that the sciences of the “otherworld,” learned
legal opinions before the age of twenty; at twenty-one, upon
by illumination and revelation, are true knowledge and far
the death of his father in 1283, he succeeded him as professor
superior to the sciences of this world. Just as the Europeans
of h:ad¯ıth and law at Da¯r al-H:ad¯ıth al-Sukkar¯ıyah, a S:u¯f¯ı
had accepted only one aspect of Ibn S¯ına¯’s thought, the
monastery and college of h:ad¯ıth founded around the middle
philosophical/scientific, the Ishra¯q¯ıyah selected only the
of the thirteenth century in Damascus. Ibn Taym¯ıyah was
other aspect, the mystical, for inclusion in their system of
a prolific writer, described as “fast to learn and slow to for-
belief.
get”: It was said of him that once he learned something, he
never forgot it.
BIBLIOGRAPHY
Ibn Taym¯ıyah also succeeded his father at the Umayyad
The best account of Ibn S¯ına¯’s life and works is his brief autobiog-
Mosque, where he gave lectures on QurDanic exegesis. His bi-
raphy and its continuation by his disciple Ju¯zja¯n¯ı, which I
ographers record that, lecturing without notes, he would give
have edited and translated as The Life of Ibn S¯ına¯ (Albany,
materials for two or more fascicles. On one of these Fridays
N.Y., 1974). A survey of his writings and their influence on
the European and Islamic worlds is found in Soheil M.
of QurDanic exegesis in the Umayyad Mosque in 1291, Ibn
Afnan’s Avicenna: His Life and Works (London, 1958); a
Taym¯ıyah lectured briefly on the divine attributes. This was
work emphasizing his influence on Christian and Jewish
his first known public venture into controversial dogmatics.
thought is Avicenna: Scientist and Philosopher, edited by
The reaction was quick among his opponents, who tried to
G. M. Wickens (London, 1952). The best analysis of his
prevent him from lecturing further in the mosque but failed
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
IBN TAYM¯IYAH
4277
in their attempt. Ibn Taym¯ıyah’s treatment of the divine at-
among other things, the detrimental consequences of the ex-
tributes was given as part of his profession of faith, the
clusory principle in the madrasah, according to which only
Eaq¯ıdah. The Sha¯fiE¯ı chief qa¯d:¯ı Shiha¯b al-D¯ın al-Khuwayy¯ı
those students who chose to belong to the madhhab repre-
declared: “I am in agreement with the creed of Shaykh Taq¯ı
sented by the madrasah were admitted. This policy tended
al-D¯ın [ibn Taym¯ıyah].” When he was reproved, he contin-
to be divisive, separating members of the traditionalist move-
ued: “because he has sound intelligence, speaks from exten-
ment who belonged to all the Sunn¯ı madhhabs, while allow-
sive knowledge, and says only what he knows to be sound.”
ing the AshEar¯ıyah to stay within one madhhab, the Sha¯fiE¯ı.
The new institution that helped to correct the situation was
In 1292 Ibn Taym¯ıyah went on the pilgrimage to
the Da¯r al-H:ad¯ıth, wherein the principal subject of instruc-
Mecca, where he gathered materials for his work Mana¯sik
tion was h:ad¯ıth rather than law, and students of any of the
al-h:ajj (Rituals of the pilgrimage), denouncing a number of
four madhhabs could attend. Thus a H:anbal¯ı professor, such
practices in the rituals of the pilgrimage as condemnable in-
as Ibn Taym¯ıyah, could have students belonging to the
novations.
Sha¯fiE¯ı madhhab, such as al-Birza¯l¯ı, Mizz¯ı, and al-Dhahab¯ı.
The Sha¯fiE¯ı historian Ibn Kath¯ır, in the events of the
The first Da¯r al-H:ad¯ıth was founded in Damascus by the
year 1293/4, treats of the affair of EAssa¯f al-Nas:ra¯n¯ı (“the
Zengid ruler Nu¯r al-D¯ın (d. 1173).
Christian”), who was reported by witnesses to have cursed
To the philosophical theology of the AshEar¯ıyah, Ibn
the Prophet. Ibn Taym¯ıyah and a companion, al-Fa¯riq¯ı, ap-
Taym¯ıyah opposed his famous professions of faith ( Eaq¯ıdah;
parently implicated in the affair for encouraging the assault
pl., Eaqa¯Did). His first full-length Eaq¯ıdah, written at the re-
and battery to which EAssa¯f and his bedouin protector were
quest of the people of Hama in the year 1299 and therefore
victims, were flogged and put under house arrest. This was
known as Al- Eaq¯ıdah al-h:amaw¯ıyah, was very hostile to the
the episode behind Ibn Taym¯ıyah’s work Kita¯b al-s:a¯rim
AshEar¯ıyah and their kala¯m-theology. According to Ibn
al-maslu¯l Eala¯ sha¯tim al-rasu¯l (The sharp sword drawn against
Rajab, Ibn Taym¯ıyah wrote this Eaq¯ıdah in one sitting. His
the reviler of the messenger [of God]).
other important profession of faith is the EAq¯ıdah wa¯sit:¯ıyah,
In 1296, at the death of his professor Zayn al-D¯ın ibn
written for a group of religious intellectuals in Wa¯sit: (Iraq)
Munajja¯, Ibn Taym¯ıyah succeeded to the chair of law thus
before the arrival of the Mongols in Damascus. Both profes-
vacated in the Madrasah H:anbal¯ıyah. His biographer Ibn
sions of faith were attacked by his enemies, and he was taxed
Rajab said that he read an autobiographical note in Ibn
with anthropomorphism. In a meeting in the house of the
Taym¯ıyah’s own hand to the effect that Ibn Taym¯ıyah was
Sha¯fiE¯ı qa¯d:¯ı Imam al-D¯ın EUmar ibn EAbd al-Rah:ma¯n
offered, before the year 1291 (thus before the age of thirty),
al-Qazw¯ın¯ı (d. 1299) the EAq¯ıdah h:amaw¯ıyah was studied;
the post of shaykh al-shuyu¯kh, or head of the S:u¯f¯ıs, and the
Ibn Taym¯ıyah was questioned regarding various points, and
post of chief qa¯d:¯ı, but he refused them both. Refusals to as-
it was deemed to be satisfactory. Regarding the Wa¯sit:¯ıyah,
sume such posts usually meant that the scholar wished to stay
even the AshEar¯ı-Sha¯fiE¯ı S:af¯ı al-D¯ın al-Hind¯ı (d. 1315)
aloof from the central power, out of desire for a private schol-
found it to be in conformity with the QurDa¯n and sunnah.
arly life, or in order to pursue the ascetic life, or to remain
Nevertheless, his enemies tried hard to keep him in prison,
free to criticize practices he deemed not in keeping with the
even to have him executed, but failed on both counts.
tenets of Islam. When Ibn Taym¯ıyah’s subsequent life is
Ibn Taym¯ıyah’s polemic activity extended to the philos-
taken into consideration, his refusal clearly appears to have
ophers, especially the logicians, against whom he wrote a ref-
been based on the last of these reasons.
utation, Al-radd Eala¯ al-mant:iq¯ıy¯ın. He wrote extensively
OPPOSITION TO THE ASHEAR¯IYAH. Ibn Taym¯ıyah lived in a
against the monistic (ittih:a¯d¯ıyah) and incarnationist
period between those of two notable propagandists of the ra-
(hulu¯l¯ıyah) S:u¯f¯ıs and condemned as heretical innovations
tionalist AshEar¯ı movement in theology: Ibn EAsa¯kir
many of the S:u¯f¯ı practices of his day. Nevertheless, Ibn
(d. 1176) and Subk¯ı (d. 1370). The attempt of the AshEar¯ı
Taym¯ıyah was praised by the S:u¯f¯ı Abu¯ EAbd Alla¯h
movement to obtain legitimacy by infiltrating the Sha¯fiE¯ı
Muh:ammad ibn Qawwa¯m, who said: “Our Sufism became
madhhab (school) of law—an attempt that surfaced in the
sound only at the hands of Ibn Taym¯ıyah,” implying that
eleventh century—was still developing and had to face two
Ibn Taym¯ıyah was not an outsider to Sufism. Recently dis-
implacable forces blocking its goal. The traditionalist move-
covered evidence shows that Ibn Taym¯ıyah belonged to the
ment was represented particularly by two madhhabs of law:
S:u¯f¯ı order of the Qa¯d¯ıriyah, named after the H:anbal¯ı S:u¯f¯ı
the H:anbal¯ı and the Sha¯fiE¯ı. The former was the obvious ob-
EAbd al-Qa¯dir al-J¯ıla¯n¯ı, whom he praised and preferred to
structive force, while the latter included the AshEar¯ı faction,
the other H:anbal¯ı S:u¯f¯ı, al-Ans:a¯r¯ı al-Haraw¯ı.
which was hard at work to gain the adherence of fellow
On the theological question of the divine attributes, Ibn
Sha¯fiE¯ıs to AshEar¯ı thought, an effort destined to fail in the
Taym¯ıyah held that God should be described “as he has de-
face of the alliance between the traditionalists of the two
scribed himself in his book and as the Prophet has described
madhhabs.
him in his sunnah.” This classical traditionalist doctrine goes
Already in the days of Ibn EAsa¯kir the traditionalists had
back to al-Sha¯fiE¯ı (d. 820) and to Ah:mad ibn H:anbal
introduced an institution that was conceived to correct,
(d. 855), the two great leaders of the movement, in whose
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4278
IBN TAYM¯IYAH
works Ibn Taym¯ıyah was thoroughly versed. Ibn Taym¯ıyah
But to the very last, his enemies could not quite get the better
and his famous disciple Ibn Qayyim al-Jawz¯ıyah (d. 1350)
of him.
drew much of their inspiration from the works of al-Sha¯fiE¯ı
The biographers cite a number of statements made by
and Ibn H:anbal. From the genesis of the traditionalist move-
Ibn Taym¯ıyah during his imprisonment that show the man’s
ment the principal message has always been that the basic
stature and state of mind. “A prisoner is one who has shut
sources for belief and practice are the book of God and the
out God from his heart.” “A prisoner is one whose passions
practice (sunnah) of the Prophet.
have made him captive.” “In this world there is a paradise
Ibn Taym¯ıyah, in the title of one of his numerous
to be entered; he who does not enter it will not enter the par-
works, emphasized the place of the Prophet in relation to the
adise of the world to come.” “What can my enemies possibly
two fundamental sources: The Steps Leading to the Knowledge
do to me? My paradise is in my breast; wherever I go it goes
That the Messenger of God Has Already Made a Clear Exposi-
with me, inseparable from me. For me, prison is a place of
tion of the Roots and Branches of Religion. For the Prophet,
retreat; execution is my opportunity for martyrdom; and
as messenger, brought the book of God and was himself a
exile from my town is but a chance to travel.” In reference
living example of what should be followed. Ibn Qayyim
to his enemies who strove to have him imprisoned: “If I were
al-Jawz¯ıyah quotes from the introduction to al-Sha¯fiE¯ı’s
to give all the gold it takes to fill the space of this citadel,
Risa¯lah: “Praise be to God . . . who is as he has described
I could not possibly reward them for the good they have
himself, and who is exalted above all the attributes given to
done me.” And he often repeated the following prayer: “O
him by those among his creatures who have described him.”
God! Help me to move my tongue incessantly in your praise,
And again: “No event shall befall an adherent of God’s reli-
to express my gratitude, and to serve you in perfect worship.”
gion but that there is a guide in the book of God showing
On 20 Dhu¯ al-QaEdah 728 (September 26, 1328), Ibn
the right way to be followed.” These two statements were
Taym¯ıyah died in the citadel at the age of sixty-five. The
quoted against the AshEar¯ıyah, the rationalist movement of
populace turned out in the hundreds of thousands for the
the period of Ibn Taym¯ıyah and Ibn Qayyim, as al-Sha¯fiE¯ı
funeral procession, which was compared to that of Ah:mad
had said them some five centuries before in condemnation
ibn H:anbal. He was buried next to his brother, Sharaf al-D¯ın
of the MuEtazilah, the rationalist movement of his day.
EAbd Alla¯h, in the S:u¯f¯ı cemetery where other S:u¯f¯ı members
of his family were buried.
UNDER ATTACK. Ibn Taym¯ıyah’s troubles came chiefly from
his opposition to AshEar¯ı thought working from within the
Ibn Taym¯ıyah’s influence has reached modern times.
Sha¯fiE¯ı madhhab, and also from his criticism of extremist
His teachings, first followed by Muh:ammad ibn EAbd
S:u¯f¯ı thought and practices. His troubles (mih:an; sg.,
al-Wahha¯b (d. 1792), became the basis of the Wahha¯b¯ı
mih:nah) were treated extensively by his Sha¯fiE¯ı disciples
movement in the nineteenth century and the guiding princi-
al-Birza¯l¯ı, al-Dhahab¯ı, and Ibn Kath¯ır, and by the H:anbal¯ı
ples of the Wahha¯b¯ı state of Saudi Arabia. Again, in the
biobibliographer Ibn Rajab.
nineteenth and twentieth centuries, through Muh:ammad
EAbduh and Rash¯ıd Rid:a¯, they influenced the modernist
Ibn Taym¯ıyah’s enemies finally succeeded in removing
Salaf¯ıyah movement.
him from the scene. The opportunity was presented by one
of his legal opinions (fatwa¯s) titled “Travel to the Tombs of
BIBLIOGRAPHY
the Prophets and Saints,” in which Ibn Taym¯ıyah prohibited
Arabic Sources
such travel. His opponents pounced on this fatwa¯ and
Ibn al-EIma¯d al-H:anbal¯ı. Shadhara¯t al-dhahab f¯ı akhba¯r man
charged him with demeaning the prophets and with unbelief
dhahab. Vol. 5. Cairo, 1931. See pages 80–86.
(kufr). Eighteen jurisconsults, led by the Ma¯lik¯ı qa¯d:¯ı
Ibn Kath¯ır, Isma¯E¯ıl ibn EUmar. Al-bida¯yah wa-al-niha¯yah f¯ı al-
al-Ikhna¯D¯ı, wrote fatwa¯s condemning him. The four chief
ta Drikh. Vol. 14. Cairo, 1937. See pages 135–141.
qa¯d:¯ıs of Cairo issued their decision that he be imprisoned
in the citadel of Damascus. Other jurisconsults, including
Ibn Rajab. Dhayl Eala¯ tabaqa¯t al-H:ana¯bilah. Vol. 2. Edited by M.
H:a¯mid al-Fiq¯ı. Cairo, 1953. See pages 387–408.
the two sons of the leading Ma¯lik¯ı jurisconsult Abu¯
al-Wal¯ıd, had issued fatwa¯s condemning that decision. They
Studies
stated that it had no valid basis against Ibn Taym¯ıyah be-
Laoust, Henri. Essai sur les doctrines sociales et politiques de
cause he had simply cited the divergent opinions of the juris-
Taki-al-D¯ın Ah:mad b. Taimiya. Cairo, 1939.
consults on the subject of the visiting of tombs (ziya¯rat
Laoust, Henri. “La biographie d’Ibn Taim¯ıya d’après Ibn Kath¯ır.”
al-qubu¯r) and had given preponderance to one side of the
Bulletin d’études orientales 9 (1942): 115–162.
question, a choice that was legitimate to make. But the deci-
Laoust, Henri. “Le H:anbal¯ısme sous les Mamlouks Bahrides.”
sion stood without appeal. Ibn Taym¯ıyah was never to leave
Revue des études islamiques 28 (1960): 1–71.
the citadel alive; he died there some two years later. Three
Laoust, Henri. “Ibn Taymiyya.” In The Encyclopaedia of Islam,
months before his death, his enemy al-Ikhna¯Di, against whom
new ed. Leiden, 1960–.
he had written a refutation, complained to the sultan, who
Laoust, Henri. “L’influence d’Ibn Taim¯ıyya.” In Islam: Past Influ-
ordered that Ibn Taym¯ıyah be deprived of the opportunity
ence and Present Challenge, edited by Alford T. Welch and
to write; his ink, pen, and paper were taken away from him.
Pierre Cachia. Edinburgh, 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
ICONOCLASM: AN OVERVIEW
4279
Makdisi, George. “AshEar¯ı and the AshEarites in Islamic Religious
primary definition of an iconoclast is as “[a] breaker or de-
History.” Studia Islamica 17 (1962): 37–80.
stroyer of images; spec. (Eccl. Hist.) One who took part in or
Makdisi, George. “Ibn Taim¯ıya: A S:u¯f¯ı of the Qa¯dir¯ıiya Order.”
supported the movement in the 8th and 9th centuries, to put
American Journal of Arabic Studies 1 (1973): 118–129.
down the use of images or pictures in religious worship in
Makdisi, George. “The Hanbali School and Sufism.” Humaniora
the Christian churches of the East; hence, applied analogous-
Islamica 11 (1974): 61–72.
ly to those Protestants of the 16th and 17th centuries who
practised or countenanced a similar destruction of images in
GEORGE MAKDISI (1987)
the churches.” The Oxford English Dictionary lists an impor-
tant secondary definition to the broader concept of icono-
clasm and iconoclast as “[o]ne who assails or attacks cher-
ICELANDIC RELIGION SEE GERMANIC
ished beliefs or venerated institutions on the ground that
RELIGION
they are erroneous or pernicious.” The rarely invoked term
iconomachy is delineated in the Oxford English Dictionary as
being from the ecclesiastical Greek, eikonomachia is defined
I-CHING
as “[a] war against images; hostility or opposition to images,
SEE YIJING
esp. to their use in connexion with worship.”
The primary reference for iconoclasm has been religion,
ICONOCLASM
and in particular, Western monotheism. This reference raises
This entry consists of the following articles:
critical issues in any discussion of the meaning of iconoclasm
AN OVERVIEW
in world religions. Foremost among these issues is the role
ICONOCLASM IN THE BYZANTINE TRADITION
of religious belief in the formation of cultural and individual
identity. If the procedures by which an individual learns
ICONOCLASM: AN OVERVIEW
about, assents to, is initiated into, and becomes a member
Iconoclasm can be defined as the intentional desecration or
of a religious community is analogous to those for entry into
destruction of works of art, especially those containing
political and social communities, then a socialization process
human figurations, on religious principles or beliefs. More
orients perception. How we come to see and interpret what
general usage of the term signifies either the rejection, aver-
we see is predicated on our disciplined sense of values. Orien-
sion, or regulation of images and imagery, regardless of the
tation into a religious confession privileges the acceptance of
rationale or intent. Any investigation of either the historical
the normative and appropriate, and simultaneously defines
events or the concept of iconoclasm raises questions regard-
the abnormal and inappropriate.
ing the valuing and meaning of imagery, particularly sacred
However, if Ernst Cassirer (1962/1944), Moshe
art and ecclesiastical doctrines. Traditionally, doctrinal pro-
Barasch (1992), Mircea Eliade (1992/1986), and Marshall
nouncements defined roles, functions, and meanings of art
G. Hodgson (1964), to name only a select few, are correct,
or iconoclasm within specific religious traditions.
then how do we resolve their commitment to the basic
Any study of iconoclasm is premised on the bifurcation
human activity of “symbol making” with the privileging sta-
of a historical event or a cultural attitude or idea. As a histori-
tus of religion in the process of seeing and the discussion of
cal event, iconoclasm can be interpreted as being either active
iconoclasm? If iconoclasm is limited to the preconceived cat-
or passive. The former category includes legitimate accounts
egories of Western monotheism, then is it independent of
of the damaging of images; whereas the latter category corre-
the otherwise universal relationship between art and cultural
sponds to the promulgation and the contents of religious
memory and religious traditions? As the basic nature of
doctrines. Evaluations should incorporate motivations,
human beings is to make symbols—visual as well as auditory
meanings, and results of either form of the iconoclastic enter-
and oral symbols—then imaging can be defined as a univer-
prise. As a cultural idea or attitude, iconoclasm requires anal-
sal human activity.
ysis from the perspective of valuing art and imagery within
All world religions have an attitude toward art and im-
the individual culture, the formative role of religious values
agery; some have a bifurcated view, others a single lens
on that culture, and the role of the visual within that reli-
through which they see and define art. The remaining reli-
gious tradition.
gions vacillate throughout their individual histories as am-
According to the Oxford English Dictionary, the English
biguous or ambivalent toward imagery. Nonetheless, art and
word iconoclasm is a composite formed from two Greek
cultural memory are embedded within religion and encoded
words: eikon (icon) and klasma (breaking); whose primary
with religious meaning and value. This reality must be evalu-
meaning is “[t]he breaking or destroying of images; esp. the
ated within the late twentieth- and early twenty-first-century
destruction of images and pictures set up as objects of venera-
recognition that there is no innocent eye; rather, feminist,
tion; the attacking or overthrow of venerated institutions and
deconstructionist, and postmodernist scholarship argues per-
cherished beliefs, regarded as fallacious or superstitious.”
suasively that le regard is more than an engendered gaze. Le
With the same Greek roots, the Oxford English Dictionary’s
regard offers a nonreligious basis for the recognition that
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ICONOCLASM: AN OVERVIEW
there is a right and a wrong way to look and that the process
ence, or from audience to object. In certain religions, this
through which one comes to see properly and to recognize
communication of power occurs only through the ceremoni-
impropriety is socialization, into a political, religious, or soci-
al or ritual function of the created object, or in coordination
etal system.
with its religious consecration. These multiple models for the
transfer of “power” can be categorized within the discussions
GENERAL PERCEPTIONS OF ICONOCLASM. The general per-
of the nature of creativity and the creative process, sacraliza-
ceptions of iconoclasm, whether in Eastern or Western cul-
tion process, and response theory (see especially Freedberg,
tures, is that it is a religious phenomenon generated from a
1989).
position of belief and right action as defined within that be-
lief system. There is the recognition that the role of belief in
Further questions arise either as to the appropriation or
defining cultural identity is primary, and trumps all other
denial of the power of images, especially how that power is
constructs of political, societal, and cultural values.
manifested, or used, in conjunction with cultural and reli-
gious interpretations of both images and iconoclasm. When
The multilayered syntax of iconoclasm, especially in the
interpreted as sacred energy, this power is transmitted in the
Western monotheistic traditions, provides a linguistic analo-
form of healing, enlightenment, spiritual renewal, or protec-
gy to the complexity of its etymology, implementations, and
tion. However, if initiated from a negative source, this power
functions. There is the internal correspondence between
is interpreted as “misdirected” to effect harm, enchantment,
image and word within each religion. In those traditions in
danger, or subversion. Certain forms of religious iconoclasm
which image plays a primary or even a secondary role, icono-
are intellectual denials of the power or the existence of im-
clasm is read as an attack on the orthodoxy of that religion.
ages.
While in those traditions that question or deny the place or
role of images, iconoclasm is not interpreted as a defense of
Throughout his seminal text The Power of Images:
religious orthodoxy.
Studies in the History and Theory of Response (1989), David
Freedberg expands the boundaries of his early historical
Despite the placement of the visual modality within the
studies of iconoclasm in sixteenth- and seventeenth-century
religious hierarchy, the existence of images—especially icons
Holland into an analysis of the concept of iconoclasm. Es-
as sacred portraiture of persons, events, or concepts—exists
sential to the “power of images” are the ambiguities that arise
parallel with the fear of idols. Whether named image, icon,
in any confrontation between fear and religious devotion.
or idol, the visual object is presupposed by the believer to
This form of fear is specific: what images might do if their
contain or partake of sacred energy and power. Whether that
usage, effects, and powers were unmonitored. For Freedberg,
power is deemed as positive or negative expression depends
the iconoclastic motive is not universally and totally destruc-
on what is depicted.
tive of all images. It is a physical, oftentimes violent, response
The “power” of images is critical to iconoclasm as both
that operates within a series of parameters—geographic,
an activity and a concept. Intrinsic to any image, power is
chronological, social, and religious. Iconoclasm is not a total
the foundation for the fear in some cultures and/or religions
rejection, denial, or destruction of all images either for a par-
results in the primacy of the word and the banning of images.
ticular historical moment or throughout history.
If that power is characterized as sensual in nature, and there-
Another variant of iconoclasm is defined as iconopho-
by bifurcated in its moral character, the interpretation may
bia. This form of the iconoclastic enterprise is detailed in dis-
be predicated on a generic cultural or religious distrust of
tinctively different studies by Patrick Collinson (1986), and
what is seen—“the evidence of our eyes”—or of a fear of the
Marshall G. Hodgson (1964). For the former, iconoclasm
sensory and the sensual.
transmogrifies into a series of spirited “attacks”—verbal, vi-
sual, physical, or violent—on unacceptable images. This ac-
The question of whether or not images have power, and
tion is premised on a discernment of inappropriate or false
the nature of that power, is elementary to the variations of
images, although it is not a denial or repudiation of all im-
cultural and religious definitions of iconoclasm. If a religion
ages. Limitations on the types and styles of appropriate imag-
assumes that images have power, then iconoclasm is a neces-
ery permit visual delight within the iconoclastic hegemony
sary form of control of or deterrent to that power. How
of religion and religious values. For Collinson, iconoclasm
power is defined and manifested is characterized by its gener-
moves from a “simple” distrust or suspicion of images and
ative cause, in the arts named as creativity or the creative pro-
destruction of falsely identified “sacred art” to a complex
cess. This power can be transferred either to, by, or through
“horror” or hatred of all imagery. Iconophobia is not an in-
the artist whether native to the artist or gifted through an ex-
nocent “fear of images,” but a total repudiation of all images
ternal source, and then transferred between the artist and the
that becomes a pervasive cultural attitude predicated on reli-
created object, or from the artist to the object, or from the
gious values.
artist through the object to the audience. Alternatively, this
transmission could occur without the implied or actual pres-
Hodgson proffers an understanding of iconophobia as
ence of the artist who is merely a vehicle through which an
a “mistrust” of symbols that rooted simultaneously in reli-
external or other force operates. Thereby, power is exchanged
gious values and class struggle. Emphasizing the connections
from created object to audience, between object and audi-
between symbols, worship, and moral impulse, especially in
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ICONOCLASM: AN OVERVIEW
4281
the monotheistic traditions of Judaism and Islam, Hodgson
the experience of spiritual affirmation through an encounter
correlates this mistrust of symbols to the distrust of the aris-
with art attests to its salvific value. While those images that
tocracy as an exploitive, privileged class. The connector be-
excite the senses and exude sensuality are condemned in an
tween aesthetic mistrust and social distrust is art. The foun-
iconophilist milieu but destroyed in an iconoclastic culture.
dation is in the unspoken realm of human feeling and
A primary consideration distinguishing images from
emotions as symbols arise from the condition of being
idols is religio-cultural attitudes toward the human body, es-
human, and art operates through symbols. As a transmitter
pecially in terms of measure and form. Carefully rendered
of feelings and emotions, art, especially in worship, trumps
human forms, either life-size or monumental, create the ex-
the liturgical or ceremonial rites as it communicates directly
perience of a direct encounter with another living being. The
and interpersonally. The primordial objections to idols are
life-size depiction of a beautiful nude female or male figure
transferred to images and symbols, and then to art. Mistrust
awakens the senses, sensuality, and often sexuality of viewers.
springs from the rigorous moralism found in the prophetic
The more erotic, or exotic, the presentation of the human
monotheisms of Judaism and Islam. Combined with the eco-
figure, the more heightened the viewer’s sexual response.
nomic value of art, the native ambivalence of lower classes
toward images becomes synonymous with economic and so-
The question is whether or not religious or sacred art
cial status. Thereby, politics merges with religion as the privi-
requires the human figure for even geometric and abstract
leged class is rejected by the populace, and the mistrust of
imagery can evoke an aesthetic experience or arouse human
images becomes iconophobia.
sensuality. A classic argument for the removal and desecra-
tion of images in iconoclastic religions is their conviction
Prejudices about iconoclasm. Whether defined as a
that the believer’s attention is diverted from the sacred, the
mode of behavior or a historical event, studies of iconoclasm
holy, or God by art. Thereby, the aesthetic experience
are prejudiced by popular “misperceptions” of its origin, in-
trumps, and must be separated from, the religious experi-
tent, and activity. The first misperception is that iconoclasm
ence.
is an act of complete destruction, most typically described
as “the smashing” of images. Second, that this destructive act
Closely related to the “fear of the senses and the sensual”
is premised on a distrust, fear, and perhaps a hatred of im-
is the recognition that the violent acts wrought on art are
ages. Third, that iconoclasm is simultaneously a religious act
generated by passionate and opinionated reactions that in
that unifies all believers, regardless of class and gender, and
combination with religious vocabulary and the religious im-
that it is a monolithic response of that religion. Fourth, that
pulse can only be manifested in a physical response. Perhaps
iconoclasm is an activity with two historical Christian expres-
inexplicable if related solely to intellectual or theological up-
sions: Byzantine and Reformation. Fifth, that Judaism is the
heavals, the physicality of this heightened emotional state is
original historically identified religious expression of icono-
a curiosity not yet fully comprehended or studied. An inves-
clasm. Finally, that twenty-first century demonstrations of
tigation of the modes by which an otherwise acknowledged
iconoclasm by Islamic fundamentalists are solely religiously
inanimate object so inflames the human senses as to garner
motivated acts as Islam is iconoclastic monotheism par excel-
a physical response might provide a new foundation toward
lence.
understanding iconoclasm. Interrelated issues include why
such physical violence is identified as a “punishment”? What
Although iconoclasm is identified as both a generic reli-
is the religious impulse that motivates an act of physical vio-
gious and a Christian attitude predating Byzantium, the
lence? Is physical violence, even unto the assault on inani-
most common reference is the Byzantine iconoclastic contro-
mate images, a justifiable physical response to fear, especially
versies of the seventh and eighth centuries. Without doubt,
to fear inspired by religion? The further reality is that acts
the basic tendency—cultural, philosophic, and religious—
of mutilation or destruction are levied against “generic” im-
toward iconoclasm pervades all religious traditions and pre-
ages—not identifiably religious in nature, motif, or iconog-
dates the foundations of Western monotheism. Normatively
raphy—simply because they are art.
interpreted as an attack on religious imagery, iconoclasm is
any attack on imagery whether works of “high,” “low,” or
Recognition of this tenuous but direct relationship be-
popular art. Consideration must be given to the related polit-
tween iconoclasm and physical violence orients attention to
ical issues of censorship and the affinities between religious
the modes of cultural and political behavior named censor-
and cultural definitions of le regard with its basic implica-
ship and vandalism. Throughout history and cultures, innu-
tions that there is a right and a wrong way to look.
merable images, objects, and monuments—whether reli-
gious or secular in origin—have been replaced, relocated,
The object of le regard is the work of art that engenders
renamed, modified, updated, defaced, stolen, confiscated,
the wrath, admiration, or passions of viewers. The rarely dis-
and placed in storage. Beyond the simple inquiry of how this
cussed but regularly experienced “power of images” evokes
happens, is the more significant issue of the meaning of such
a response through the mystery of the aesthetic dimensions.
actions, and whether they are justifiably categorized as acts
This evocation is associated with an energy or power beyond
of censorship, vandalism, or iconoclasm. Recent commen-
the human, so that the religious believer is divided between
taries in art history and visual culture note the affinities be-
the divine and the demonic. Among iconophilist religions,
tween censorship and iconoclasm (Hoffman and Storr,
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ICONOCLASM: AN OVERVIEW
1991b; Hoffman, 1996), and iconoclasm and vandalism
armies. If these are justifiably deemed as acts of iconoclasm,
(Boime, 1998; Gamboni, 1997). These homologous activi-
then what are we to make of the theft of the then recently
ties are organized within the matrix of art, politics, religion,
restored Byzantine icons from Russian churches following
and society delineated by Hodgson (1964) in his discussion
the fall of communism (late 1980s–early 1990s), the explod-
of the role of art and culture in Islam.
ing of the giant Buddhas at Bamiyan (2001), or the looting
of the Baghdad museums and the toppling of statues of Sad-
Barbara Hoffman defines censorship as the “[c]ontrol of
dam Hussein (2003).
expression that is regarded as outside of and a threat to the
religious, political, and social orthodoxy of the time” (1996,
One final variant of iconoclasm should be identified:
vol. 6, p. 174). Premised on the distrust of images—most co-
The “silent iconoclasm” of those religious traditions that es-
gently explicated by Plato (c. 428–348 or 347 BCE) as the de-
pouse a nonviolent rejection of images and icons as, for ex-
ception of forms and the ability to evoke human emotions,
ample, among the A¯rya¯ Sama¯j of Hindu India, the
and later echoed in a variety of religious and secular docu-
Stha¯nakva¯´sis and Tera¯panthis of Jainism, and Lutheran
ments in the West—iconoclasm as censorship is an expres-
Christians. This passive form of iconoclasm is doctrinally
sion of power, albeit political or moral power.
practiced and pronounced, and can thereby be considered a
form of iconoclastic or religious censorship.
Even in the model secular society, the United States of
America, prominent acts of public censorship executed os-
Process of defining iconoclasm. Throughout human
tensibly on behalf of the government and within the purview
history, culture has been organized around religious identity
of the legal system, resulted in outcries of injustice and hege-
whether a named religion or a coalition of religions as in the
mony of the religious, especially fundamentalist Christian,
Judeo-Christian tradition. This organizational schema privi-
values of the minority over the body politic. From the na-
leges what is typified normatively as culture by religious valu-
tionwide controversies provoked by the withdrawal of federal
ing. Individual and communal discourses are embedded with
funding through National Endowment for the Arts grants,
religious references. The initial consideration is whether
to individual artists like Andre Serrano for the creation of his
iconoclasm is a religious act or a religious act encoded with
now infamous Piss Christ (1989), or to museums that spon-
and motivated by economic, political, or societal purposes.
sor exhibitions such as the retrospective of Robert Mapple-
The integral elements in the process of defining icono-
thorpe’s black-and-white photographs cancelled by the Cor-
clasm range from the religious impulse to intellectual ratio-
coran Gallery of Art (1989), the overt concern has been
nale. The arrangement, or rearrangement, of these elements
violation of the individual’s constitutional rights, while the
in distinctive patterns is premised on religious and cultural
sub rosa fear is the control of artistic expression by those reli-
values. Basic to any study of iconoclasm is a discussion of the
gious individuals driven by a moral impulse that they identi-
meaning and purpose of images, especially with regard to the
fy publicly as patriotism but that is in fact a form of religious
“power of images.” Analyses of iconoclasm, especially with
fundamentalism. The questionable act of government cen-
regard to religion either generally or specifically, become
sorship in the threatened withdrawal of city funding to the
mired in the divisive dichotomy of image veneration versus
Brooklyn Museum of Art by Rudolf Giuliani, the then-
image destruction. Consideration is not adequately given to
mayor of New York City, was because of the exhibiting of
the possibility that the iconoclastic impulse is native to
Chris Ofili’s painting of The Holy Virgin Mary, which
human creativity and should be examined in relationship
Roman Catholics found to be morally offensive. This “spin”
to the definition of art and artist with the exception of Freed-
was motivated as much by the mayor’s own personal sense
berg’s seminal study (1989).
of affront as by the politics of his bid for reelection and his
recognition of the meaning of Roman Catholic values
As the visual definition of citizenship, public imagery
(1990). This discussion of the affinities between religion and
illustrates the narratives of cultural history and national ori-
censorship through the formation of cultural values is ad-
gin, and is recognized as the common denominator of na-
vanced further with consideration of the fate of Serrano’s in-
tional identity. These symbols and images envision the polit-
famous photograph. When Piss Christ was knocked off the
ical and societal discourse of power, and during invasions or
wall of a public museum and damaged irreparably by visitors
occupations need to be destroyed to “accept” the new gov-
who identified themselves as “outraged believers” (1997),
ernment. Such acts of iconoclasm ostensibly motivated by
was this an act of public censorship given the public argu-
political considerations are in reality deeply rooted in the so-
ments over the allocation of public funds for this work, or
cialization process from childhood through which an indi-
was it an act of religious iconoclasm or vandalism?
vidual learns to accept or deny the “truth claim” of images.
Cultures are oriented around religious values, discourse, and
It is difficult to decipher acts of vandalism as simple but
meanings, so that any act of political iconoclasm is not a sim-
senseless acts of destruction from iconoclastic events. Reli-
ple secular performance. Similarly, iconoclasm is embedded
gious and moral values have motivated the destruction, or
in economic, societal, or political conflict whether that con-
desecration, of images and monuments under the guise of
flict is defined as class, race, or gender struggles or major cul-
“religious iconoclasm as a defense of orthodoxy” or “vandal-
tural shifts such as the Renaissance. With the exception of
ism as a moral outrage” by religious believers and invading
the recent studies of Albert Boime (1998) and Dario Gam-
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ICONOCLASM: AN OVERVIEW
4283
boni (1997), there have been insufficient studies of the con-
may prove limiting and maybe even threatening. If religious
sequences of the social and cultural function of imagery, es-
art were basically aniconic, then would it instill the same
pecially of national symbols and monuments.
level of fear, anxiety, or danger within the eyes and hearts of
those predisposed to iconoclasm? As with iconoclasm, not
The term the artist requires careful attention. There is
every religion or culture defines or delineates the human in
a history and an etymology to this word that has evolved, or
identical terms. Rather, the actuality of a pluralistic world
been denied, through a variety of cultural and religious trans-
privileges a systematic analysis of cultural contacts and of
formations, transmogrifications, and adaptations. For exam-
mutual or contradictory concerns rather than a single expla-
ple, the Western apprehension that began with a coalition
nation for phenomena as diverse as iconoclasm.
of artisan, craftsman, and teacher was transformed by early
Christianity into a vehicle for divine expression, by the Re-
Cultural permutations. Historically, a distinction has
naissance into a cult of the genius, by the nineteenth century
been made by both art historians and historians of religion
into a romantic rebel, and by the twentieth century into a
between the cultural and religious forms distinguished by the
critical, prophetic voice oftentimes self-defined as shamanic.
geographic and cultural categories identified as East and
Each definition or redefinition arose from a new way of see-
West. Among the most “glaring” distinctions is the minimal,
ing and valuing human experience. The sanctification of the
if nonexistent, conversation about iconoclasm outside of
artist initiated by the Renaissance cult of the genius,
Western monotheism. While there may be an intellectual
strengthened by the nineteenth-century rebel, and affirmed
and historical foundation to iconoclasm as it was identified
by the twentieth-century shaman, was cultivated in tandem
and studied in terms of Western monotheism, it was not be-
with the secularization of Western culture. Iconoclasm as
lieved to exist in other religious traditions, whether indige-
both event and ideology shifted from the political arena to
nous, preliterate, native, or Eastern. Every religion and every
the religious realm onto the national scene and, ultimately,
culture has an attitude toward art and commensurately to-
to a religio-political enterprise.
ward iconoclasm. The traditional “single explanation” for
Iconoclasm is a term loaded with diverse meanings from
such diverse phenomena demands to be reframed and refash-
the “simple” whitewashing of images or placement in storage
ioned.
to the violent acts of total destruction. As both a term and
The following survey of cultural permutations of the
an event, iconoclasm has traversed as complex and undulat-
idea of iconoclasm can be read as a series of suggestions that
ing a course as have the images and imagery it endangers.
illustrate differing bases for the intellectual and emotional
Whether the act of “smashing” is incited by the threat of
parallels identified in Eastern and Western religions. These
idols to temple worship, by the power of the narrative of a
attitudes suggest that there are differing forms of (religious)
living but particular image, or by the investment of imagery
iconoclasm and that these differences can be clarified most
into political and societal narratives, the cardinal fear may be
sharply in coordination with examination of the relation-
simply Plato’s claim that images fail us by not telling the
ships with culture, politics, and society. The distinguishing
truth. Images must be apprehended with a hermeneutics of
qualitative characteristic may be to paraphrase the art histori-
suspicion, thereby, an internal tension exists between iconic
an Oleg Grabar (1975), the simple difference between Icon-
and iconoclastic, between image makers and image breakers.
oclasm with a capital I and iconoclasm with a lowercase i.
A series of relationships, rarely studied before the initia-
Confirmation of the distinctions between iconoclasm as a
tion of the study of the previously marginalized in the late
historical event, mode of behavior, ideology, and attitude to-
1960s and early 1970s, should be amalgamated into the
ward image must be carefully evaluated. The critical question
complex alliance of the disparate pieces of the puzzle named
is whether or not iconoclasm should be defined from the per-
“iconoclasm”; for example, the association between class and
spective of a cultural or religious entity, and equitably from
“taste,” or the affinities between gender and violence. Addi-
the historical categories of geographic or religious dis-
tionally, there is a cultural or a religious indifference to im-
tinctions.
ages. This is not to intend that “silent iconoclasm” of Luther-
Eastern permutations of iconoclasm. Whether perceived
an Christians or the Brahma¯ Sama¯j, but rather an
as a historic event, a mode of behavior, or an ideology, icono-
investigation into the indifference, if not, denial of the power
clasm exists within the multiple cultures identified today as
of images wrought by the gluttony of images found among
Asian. Culture is directly conjoined with religion, and there-
the populace through popular culture, mass media, and the
by religious values become enshrined as cultural values. Vio-
information highway of the internet. The question becomes:
lent acts of iconoclasm are not supported by or integral to
Can an individual and a society become numbed by images,
either traditional Indian culture or orthodox Hinduism. As
as Thomas J. J. Altizer argues happened with words?
an abstraction without individual parts (Sanskrit niskala), the
Tangential to this anesthetic of images is the subject of
Hindu divinity comes to be known through abstract symbols
the figure and figuration in the arts. The issue is whether or
or figural absence as at Chidambaram. The constant flow of
not religious art requires the human figure, and if it does,
invaders entering the Indian subcontinent proffers an exem-
what type of human figure: idealized, realistic, to scale, or
plum for cultural and religious syncretism. Investigations
monumental—the possibilities are limitless, but the concept
into the nature and meaning of iconoclasm need to detail the
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4284
ICONOCLASM: AN OVERVIEW
destruction, displacement, and replacement by invading
Hinduism, Sikhism partially distinguished itself by its icono-
groups. The absence of figurations or forms results in an ani-
clastic ideology. As with other religions, this initial icono-
conism understood as elemental in the historical displace-
clasm acceded to iconicism in which images of Guru¯ Na¯nak
ment of indigenous icons by Aryan invaders in northern
(1469–1539) emerged as a form of religious pedagogy and
India (c. 1500 BCE). The dearth of religious buildings and
visual inspiration for piety and good works.
monuments can be credited to both invasion and construc-
Buddhism encountered the spectrum of attitudes and
tion from perishable materials such as light woods, paper, or
modes of behavior toward images and iconoclasm ranging
clay; for single or minimal use; and then prepared for de-
from the theoretic iconoclasm of Zen to the iconolatry of Hi-
struction and replacement. These practices remain prevalent
nayana and Mahayana. More icon or recipient of veneration,
in all parts and religions of India. Violent acts of iconoclasm
the image of Buddha became deified as an object of worship
such as the destruction of the temple in Somanatha built by
and provoked reaction against state-imposed Buddhism in
Mahmu¯d of Ghazna (971–1030) were the results of Muslim
a fashion reminiscent of Hodgson’s (1964) discussion of the
invasions in northern India in the eleventh century. Such
political rejection of art as a category of social privilege. The
iconoclastic activity was spurred forward by a rigorous mo-
destruction of Buddha images in the Bayon temple at Ang-
notheism, a hostility to images, and the moral impulse.
kor Wat by Hindu iconoclasts followed the death of the Ma-
From the eighteenth through the late twentieth century,
hayana Buddhist king Jayavarman VII (c. 1120–1215 or
there was a recognition of the irreparable damage “done” to
1219). The doctrine that Buddha nature pervades all created
Indian culture by invasions and invaders. The British occu-
things and beings affirms the practice of ritual iconoclasm
pation of India brought not simply a taste for British cultural
throughout the Buddhist world. Given both the spontaneity
values and political status, but an uncompromising alle-
and nonconformist mode of satori, or enlightenment, Bud-
giance to Protestant Christianity. Incorporating this Protes-
dhism aligns iconoclasm with the cessation of visualization
tant indifference to images, the evolution of modern forms
during meditation, and the destruction of the canon. Writ-
of Hindu esotericism, such as Advaita Veda¯nta, practiced a
ten authority is replaced with the intuitive immediacy be-
philosophic monism and rejected religious imagery. Nonvio-
tween student and master as in Zen Buddhism. The basic
lent rejection of images, icons, and idols was found in the
ambivalence toward images is in direct correspondence to the
silent forms of iconoclasm as practiced by the Brahma¯ Sama¯j
developmental stage of an individual’s spiritual conscious-
and the A¯rya¯ Sama¯j.
ness. Tangible images are necessary for the initiate to enter
into the meditation, however, material objects of attach-
The geographic location of the Indian subcontinent
ment, images are to be transcended. The Buddha counsels
made it an attractive site for multiple invasions, religious and
individuals to learn to extricate themselves from attachment
philosophical cross-fertilizations, and cultural fusions. Sever-
to material objects like mandalas and images.
al religious traditions originated or flourished simultaneously
on Indian soil including Hinduism, Buddhism, Sikhism,
As practiced in monastic environments, Zen iconoclasm
Jainism, and Islam, as well as a variety of Christian traditions.
differs from other forms of Buddhist iconoclasm that occur
This religious syncretism influenced both attitudes toward
in temples, urban and rural environments, and domestic set-
images and commensurately iconoclasm. Images whether
tings. Accounts of the destruction of the objects ranging
free-standing forms, monuments, or carved or painted onto
from Hui-neng’s (638–713) physical shredding of scriptures
buildings reflect these varied religious and philosophical per-
(sixth century) to Tan-hsia’s (1064–1117) incineration of a
spectives, multicultural aesthetics, and stylistic advances. Not
Buddha-image (ninth century) may be intended more as par-
all works were made for the ages; rather, some ancient monu-
ables than as documented history. Images, whether text or
ments and temples were raised for new edifices while others
artwork, are not to become either attachments or objects of
made from perishable materials were regularly replaced (sim-
worship; rather, they are simply reminders of the Buddha’s
ilar to the Shinto¯ practice in Ise¯-shima, Japan). Individual
way to enlightenment that each person must follow for him-
representations of specific deities or spirits and sand or flower
or herself. Hui-neng’s action was a model of Zen’s rejection
mandalas were created for a single occasion or rite, others for
of written authority in favor of the monastic tradition of in-
a few days or for several months. Images for popular worship
tuitive insight as taught by master to disciple. Similarly, Tan-
and devotion made of clay, paper, or soft woods, necessitate
hsia’s story witnessed the Zen practice of nonattachment and
a short life span. These temporary images were created for
the moving away from an external object as the entry point
specific ceremonial purposes with the specified intention of
to meditation. Relics of the Buddha, like Buddha images, are
ritual iconoclasm.
accorded due reverence by both the Buddhist traditions and
monastic disciplines. Humor is a normative vehicle for the
Tantrism affirms a theoretic commitment to interio-
vernacular of Zen iconoclasm. The Zen technique of relent-
rized forms of mental worship as the higher form of devo-
less overthrow of idols employs laughter to effect positive re-
tion, while external worship with tangible images is the low-
sponse in believers and a not so positive response in the idols.
est form. Daily practice is far from the espoused theory, as
The sound of laughter causes the idols to turn over on their
the Tantric tradition incorporates regular use of visual im-
heads, thereby removing their aura of dignity and simulta-
ages. Initially a devotional and reformist movement within
neously their claims of authority and truth.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ICONOCLASM: AN OVERVIEW
4285
The final, and not often mentioned, category of icono-
Western monotheism and its unique prophetic icono-
clasm initiated on the Indian subcontinent is the silent icon-
clasm were instituted through the Old Testament religion of
oclasm found in both Hinduism—the A¯rya¯ Sama¯j and
Israel. This specific iconoclasm was predicated on adherence
the Brahma¯ Sama¯j—and Jainism—Stha¯nakva¯´sis and
to a strict moralism pronounced by a prophet, or series of
Tera¯panthis. This silent iconoclasm is characterized by a
prophets, inspired by the one God to reveal a message of
nonviolent rejection of all images, icons, and idols predicated
hope, judgment, and obedience to the transcendent supreme
on a religious moralism.
creator. There is a qualitative distance between God and hu-
manity. Faith in God involves fulfillment of moral demands
Western permutations of iconoclasm. Western under-
as believers receive a direction and purpose to human history.
standings of iconoclasm have been deemed normative as his-
The faith community is dependent on the commandments
torical events, modes of behavior, and ideologies, as well as
and laws that this God has directed be written in “the book.”
subjects for scholarly evaluation. This privileging of icono-
God is beyond any concepts or forms known to human be-
clasm by Western monotheism raises concerns for wider in-
ings; neither anthropomorphic imaging or identification is
vestigations. As iconoclasm is almost synonymous with mo-
possible. Such religions abound with elegant verbal symbols
notheism, investigators must consider whether iconoclasm in
and images in oral and written texts denying the visual.
all of its definitions and etymologies is simply a monotheistic
entity; and not applicable to world religions and cultures.
Defining and differentiating Judaism from its neigh-
Most documentation, analyses, and scholarship related to
bors, the religious hierarchy and prophets named its singular
iconoclasm discusses Christian, more specifically Byzantine
religious identity and ethical practices. As many scriptural ci-
or Protestant, forms of iconoclastic activities. This survey
tations (e.g., 3 Kings 11:5; Dan. 14:2; Judg. 10:6) affirm the
suggests additional modes of iconoclasm within Western re-
neighboring cultic practice of worshiping idols, Judaism de-
ligions.
marcates itself attesting to God’s singularity, primacy of the
Word, and obedience to a strict moral code. Judaism fostered
The establishment of monotheism in the West trans-
the ideology of idolatry as “the other” necessitating rigorous
formed cultural attitudes, societal structures, and disposi-
iconoclasm. The normative interpretation of Judaism was a
tions toward images. Dedication to the one God as the singu-
religion rich in verbal imagery and symbolism nurturing reli-
lar divine source reconfigured the conceptual and spiritual
gious pedagogy, liturgical ceremonies, and spirituality. Ar-
relationality with human beings. This exclusive deity was de-
chaeological excavations at Dura Europos and Bet Alpha,
fined as unique in substance and as transcending traditional
and cultural studies of Jewish history, question this tradition-
boundaries of gender, sexuality, and bodily forms, and was
al description of Judaism as a nonvisual culture (Julius, 2001;
uncircumscribable in visual depictions or cognitive classifica-
Mann, 2000).
tions. He spoke authoritatively and through his speech creat-
ed the world, its contents, and human beings (Gen. 1–2).
Historically, Christianity has had a bifurcated attitude
This emphasis on divine utterances enhanced the primacy of
toward images that arose from the dual heritage of Hebraic
the word over the image in Western religions, the written
(prophetic) iconoclasm and Hellenistic philosophy. Chris-
scriptures over the icon.
tian iconoclasm is understood by its two historical expres-
sions: Byzantine and Reformation. However, the concept, if
Western monotheism was initiated by the “new reli-
not the violence, of iconoclasm operates in all forms of
gion” established by the pharaoh Akhenaton (r. 1379–1362
Christianity, all geographic regions, and among all races,
BCE) in his devotion to Aton. Aniconism prevailed in images
classes, and gender. With the exception of Byzantine icono-
of Aton while figural depictions of pharaoh and his family
clasm, several of the other modes of Christian iconoclasm
were significantly transformed in bodily presentations from
will be reviewed herewith.
earlier pharaonic portraits on monuments and manuscripts.
As Aton become singular and aniconic, Akhenaton, his wife
Whether perceived or experienced as an idea or object,
Nefertiti (fourteenth century BCE), and their children, were
art is ambiguous. Although inanimate, art operated humanly
rendered naturalistically even unto physical characteristics of
communicating and evoking a response from viewers, and
ageing from double chins to sagging bellies. This earliest
was interpreted as a danger as well as a delight. Evidence of
Western monotheism humanized portrayals of the aristocra-
this equivocal attitude is found in early Christian art, as there
cy while symbolizing a nonfigural deity without rejection or
is no portrait of Jesus (c. 6 BCE–c. 30 CE) rather visual sym-
destruction of all images. Ironically, iconoclasm in Egypt oc-
bols, allegories, and signs. The Council of Elvira (309) issued
curred in the desecration of the monuments honoring Akhe-
contradictory decrees in which idol worship and sacrifice
naton and the only female pharaoh, Hatshepsut (r. 1503–
were denounced, while the breaking of idols was identified
1482 BCE), whose portraits and written names were “erased”
as unwarranted according to the scriptures. Among Church
from all records of Egyptian history. Whether these acts were
Fathers, notably Clement of Alexandria (c. 150–between
simply expressions of political power or religiously motivat-
211 and 215), Tertullian (c. 155 or 160–after 220), and Au-
ed, especially the restoration of the Egyptian pantheon and
gustine of Hippo (354–430), there was affirmation of Plato’s
its priesthood, may be singular case studies in Western icono-
distrust of art as deception. The sensuality and superstition
clasm.
associated with images as idols that created the greatest 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
4286
ICONOCLASM: AN OVERVIEW
prehension within the early church. Initially, Christian icon-
preached against materialism and the decadence of human-
oclasm included pronounced condemnations and physical
ism, decrying, for example, the nude figure in Renaissance
removal or destruction of pagan idols and secular images. By
art and inspiring the infamous “Bonfire of the Vanities.” In-
the third century, images played an integral role in Christian
fluential not only on a majority of Florentines, Savonarola
worship and catechesis. Qualifications were announced in
motivated artists such as Sandro Botticelli (1445–1510) and
conciliar decrees, patristic texts, and sermons. Christian mis-
Michelangelo (1475–1564) to mutilate or destroy their own
trust of images was reformed by the sixth century into a trust
works.
in images with achieropaeic (not made by hands) icons creat-
Sixteenth-century Protestant Reformers resurrected the
ed through the direct contact with Jesus, especially the mi-
prophetic iconoclasm of the Judeo-Christian foundations
raculous portraits known as the Mandylion of Edessa and
and inspired attitudinal reposition from iconoclasm to
Veil of Veronica. The seventh-century synod in Trullo (692)
iconophobia. Like the Byzantine iconoclastic controversies,
reaffirmed the doctrines of the incarnation and proscribed
Reformation or Protestant iconoclasm was equitably moti-
symbolic or allegorical images, such as the lamb, for Christ.
vated by economic, political, aesthetic, and theological is-
Synodical documents demanded anthropomorphic images of
sues. The central question of defining or redefining the God-
Christ, although not necessarily in the politically motivated
human relationship affected both the concept and the violent
placement of his portrait on imperial coins by Justinian II
acts of the iconoclastic impulse. Reformers were divided in
(c. 669–711).
their individual definitions: Martin Luther (1483–1546) ac-
Contemporary to the Byzantine iconoclastic controver-
knowledged the didactic use of religious art and decried the
sies is the little studied Carolingian iconoclasm. As early
“destructive cleansing” advocated by Bodenstein von Karl-
Christian iconoclasm must be studied in concert with the po-
stadt (c. 1480–1541). John Calvin (1509–1564) initially de-
litical and societal establishment of the church, Carolingian
fended religious art as didactic but later opposed images
iconoclasm demands consideration of both political relations
given the tendency toward veneration; however, like Luther,
between Constantinople and Aachen, and the Spanish heresy
he did not support violent iconoclasm. Huldrych Zwingli
of Adoptionism. The immediate effects of Carolingian icon-
(1484–1531) banned religious art as a distraction from wor-
oclasm are more evident than any permanent attitude or
ship and supervised the closing and cleansing of churches by
theological shift in Western Christianity. A survey of Caro-
whitewashing the interior walls and removing all statues, im-
lingian art reveals the conundrum that although Charle-
ages, and stained-glass windows. Proponents of the Church
magne imagined himself in the mold of the Roman Empire,
of England advocated public spectacles such as the “Bonfire
there are no surviving depictions of him in any court manu-
of the Virgins” (July 1538) to champion the reform process.
scripts. A similar near-total absence of illustrations of the life
Calvin’s and Zwingli’s followers were driven by the “horror
of Christ affirms Carolingian iconoclasm espousal of parallels
of imagery” to destroy not simply individual religious images
between Christology and the image. Promulgated at the
but entire buildings but to move toward iconophobia as an
Council of Frankfurt (794), the Libri Carolini (Caroline
attitude and activity destructive of all images.
Books) condemned Adoptionism and qualified images in
The Christian iconoclastic impulse extended into the
terms of the spirit of Gregory the Great (540–604) as appro-
colonizing of Latin and South America in the sixteenth and
priate for pedagogy, aesthetic adornment, and moral inspira-
seventeenth centuries. The danger, or threat, of idolatry was
tion, but not adoration. A conceptual debate on the Chris-
transformed by European missionaries and explorers to the
tian moral relationship between art and materialism might
New World into native images as purveyors of false religion.
have occurred between Bernard of Clarivaux (1090–1153)
The destruction, either physically or by assimilation into
and the Abbé Suger (1081–1151). Bernard, who vilified the
Roman Catholic imagery, of native religious art signified the
expense of images, declared them a hindrance to the contem-
concurrent replacement of popular religion with Christiani-
plation of the divine as witnessed in Benedictine purity and
ty. The European interpretation of indigenous religion was
simplicity which cleansed abbey churches of stained-glass
colored by the perception of art as “craft” and as inferior in
windows, wall paintings, and sculptures. Simultaneously,
quality to the “high art” of the West. This relating of image
Suger proceeded with his design for the world’s first Gothic
with religion colored the inculcation of “European” culture
cathedral, Saint Denis, an innovative model in elegant and
and religion on the Americas.
inspired Christian aesthetics. The more pertinent theological
issue of the abuses of devotional imagery led to violent icono-
Further violent acts of, or inspired by, Christian icono-
clasm in medieval Christianity.
clasm include the transformation or “secularization” of
Western culture through political and social revolutions
Reform, especially as theological thinking on artistic im-
from the eighteenth to the twentieth century. Foremost is the
agery, was initiated in the fourteenth century, if not earlier.
spontaneous and wanton destruction of religious art and
John Wycliffe (c. 1330–1384), the English reformer, and his
monuments by the lower classes in establishing the secular
“Lollards” (mumblers) debated the value of imagery and
state of the French Revolution. This havoc was motivated by
sought the destruction of human-figured forms. While the
the economic, political, and societal abuses the aristocracy
Dominican monk Girolamo Savonarola (1452–1498)
and the church—identified as one and the same entity—
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ICONOCLASM: AN OVERVIEW
4287
wrought on the working poor. Similarly, the political and
the cultural matrix of a social and moral ethos and denied
ideological “revenge” of the Russian people, or at least the
expression in figurative forms. Nevertheless, within Islam’s
leadership of the new Russian government, against the czar
earliest centuries, iconoclasm flourished sporadically, de-
and the church was the establishment of a secular state and
pending on local interpretations of the QurDa¯n and hadiths,
the disestablishment of a state church.
economic and political struggles, and moral affirmation of
the integrity of the one God. Islamic iconoclasm, if this is
Given its theocentric universe and resolute avowal of
a justifiable phrase, is an umbrella term for a variety of phe-
monotheism, Islam interpreted the existence of images not
nomena ranging from wanton destruction or vandalism in
merely as simple idolatry but as an assault on the integrity
military campaigns to the whitewashing of images of other
of God. Aware that he is the sole eternal creator, the qualita-
religions or cultures. Historically documented violent acts of
tive difference between God and humanity becomes im-
Islamic iconoclasm were related most often either to con-
mense. Beyond the boundaries of human limitations and de-
quests or to transformations of buildings in central Asia
scriptors, there is no attempt to humanize God as this would
(Buddhist), India (Hindu), Anatolia, Turkey, and Al An-
be interpreted as both an act of idolatry and tantamount to
daluz, Spain (Christian). Whenever adherents rigorously de-
the unforgivable sin of shirk. Although there is no formal
fine Islam as the prophetic witness to the one God, who is
condemnation of the visual arts or of images in the QurDa¯n,
the transcendent and invisible creator, and who cannot be
neither is there affirmation. The QurDa¯nic silence on art,
restricted by or contained within figural images, such a theo-
human creativity, and the visual modality is interpreted
logical position with which the Taliban might identify itself,
through the lens of inference, so that the passages, for exam-
then the violent acts of iconoclasm such as the destruction
ple, such as those relating Solomon’s wealth and power
of the giant Buddhas at Bamiyan (2001) may be interpreted
(34:12–13), Abraham’s opposition to idols (6:74), and Jesus’
as self-justification.
transformation of the clay bird to life (3:43) attest to a disap-
proving attitude toward representation. As God is the cre-
FURTHER CONSIDERATIONS FOR THE STUDY OF ICONO-
ator, any discussion or description of the artist as a “creator”
CLASM. Studies of iconoclasm as a mode of behavior or an
proclaims a competition that is not permissible. The Prophet
ideology converge with the issues and methodologies em-
Muhammad (c. 570–632), who denounced the indigenous
ployed in the analyses of response theory (Freedberg, 1989),
Arabic customs of idol worship, is credited by tradition with
optics and vision (Elkins, 1996; Kemp, 1990), and the dy-
pronouncing that artists as they perceive themselves as “cre-
namics of class, race, and gender, especially through the lens
ators” will be severely tested and punished on Judgment Day.
of visual culture and popular culture (Morgan, 1998;
Angels, he is further credited with saying, would neither
Nochlin, 1998/1995; Plate, 2002/2003). Early twenty-first
enter or protect a home with pictures or images. Several
century history including the destruction of the giant Bud-
hadiths identify the artist as a deceiver or idolater, while a
dhas at Bamiyan heightens the recognition of the affinities
variety of texts—Arabic, Persian, and Turkish—of both
between iconoclasm and violence and points toward both
Sunni and Sh¯ıEah origins, denounce both the artist and art
psychologically and religiously based analyses. The censoring
as blasphemous.
of “religious art” such as Chris Ofili’s The Holy Virgin Mary
motivates in-depth examinations of the affiliations between
Grabar (1975) espouses the position that early Islam was
iconoclasm and censorship. Clearly, both relationships
indifferent to images, however, there is reference to an Islam-
sharpen interest in the connectives between the economy,
ic opposition to representation and to the artist as competing
politics, and religion as the integral matrix sustaining icono-
with God in the texts of Thawdhurus Abu¯ Qurrah (c. 750–
clasm, particularly violent iconoclasm.
825). Except for legendary references and a contested episode
The more complex nature of iconoclasm particularly as
in the life of Muhammad, there is no public or authoritative
a religious act requires a thorough investigation into the pat-
“debate on images” in Islam similar to those in Christianity,
terns of iconoclasm in both Eastern and Western religions.
especially the Byzantine iconoclastic controversies. However,
A comparison of variations according to cultural patterns, re-
for some commentators the simple historical synchronicity
ligious values, political structures, and gender and class strug-
of the rise of Islam during the latter Christian crises is a signi-
gles provides a methodology for examining iconoclasm as
fier of a homogeneous ethos or intellectual disposition.
both a mode of behavior and historical event. The basic na-
The Islamic rejection of figural representation trans-
ture of the iconoclastic impulse is clarified by detailed com-
formed the art of writing, whether inscriptions or calligra-
parison of the singularity of the Western model in and
phy, into an artistic vehicle for theological expression. Simi-
against the global evidence for iconoclasm as a value larger
larly, abstract, geometric, and floral pictoriality defined the
than the limitation of Western monotheism.
otherwise “religious” arts of Islamic cultures. Aniconism may
have so dominated the Islamic attitude toward art that criti-
BIBLIOGRAPHY
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Despite its universality within world religions, the predominant
of representation and the object represented, and the forms
number of texts on iconoclasm focus specifically on Chris-
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tianity, in particular either Byzantine or Reformation studies.
were rarely, if ever, discussed. Rather, Islamic art reflected
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E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
4288
ICONOCLASM: AN OVERVIEW
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Emperor Leo III (r. 717–741 CE) forced the resignation of
Art (1963). Translated by David E. Greene. New York,
Patriarch Germanos I (r. 715–730 CE), has now become the
2005. Preface by Mircea Eliade. Reprint edition with fore-
preferred opening moment of this debate. Given this, it re-
word by Diane Apostolos-Cappadona.
mains possible to trace the origins of the crisis back to legisla-
Mann, Vivian B., ed. Jewish Texts on the Visual Arts. Cambridge,
tion enacted at the Quinisext Council held in Constantino-
U.K., 2000.
ple in 691/692 CE. This first phase of iconoclasm was
brought to an end by the Seventh Ecumenical Council that
Mills, Kenneth. Idolatry and Its Enemies: Colonial Andean Religion
met at Nicaea in 787
and Extirpation, 1640–1730. Princeton, N.J., 1997.
CE. Iconoclasm returned in 815 CE,
when Emperor Leo V (r. 813–820 CE) encouraged the revival
Moore, Albert C. Iconography of Religions: An Introduction. Phila-
and refinement of the iconoclastic case made in the eighth
delphia, 1977.
century. This second phase is usually considered to have
Morgan, David. Visual Piety: A History and a Theory of Popular
ended in 843 CE with the first celebration of the Triumph
Religious Images. Berkeley, 1998.
of Orthodoxy. Iconoclasm continued to be discussed, most
Morgan, David. “The Vicissitudes of Seeing: Iconoclasm and
notably in the writings of Patriarch Photios I (r. 858–867
Idolatry.” Religion 33, no. 2 (2003): 170–180.
and 877–886 CE) in the period leading up to and during the
Nochlin, Linda. Women, Art, and Power: And Other Essays. New
Eighth Ecumenical Council that met in Constantinople in
York, 1998.
869–870 CE.
Nochlin, Linda. Representing Women. New York, 1999.
PRELUDE. Long cast as an atavistic reaction to the increasing
Phillips, John. The Reformation of Images: Destruction of Art in En-
popularity of images, the precise origins of Byzantine icono-
gland, 1535–1660. Berkeley, Calif., 1973.
clasm remain open to debate. The influence of Islam and Ju-
daism as well as imperial adventurism, social and cultural cri-
Plate, S. Brent, ed. Art, Religion, and Visual Culture: A Cross-
Cultural Reader. New York, 2002.
ses, and military failure have all been cited as potential causes
for the onset of iconoclasm. These have tended to downplay
Plate, S. Brent, ed. Representing Religion in World Cinema: Film-
the internal theological questions that drove and continued
making, Mythmaking, Culture Making. New York, 2003.
to drive the terms of the debate within the Orthodox Church
Sahas, Daniel J. Icon and Logos: Sources in Eighth-Century Icono-
itself, as theologians grappled with the problem of finding
clasm: An Annotated Translation of the Sixth Session of the Sev-
an appropriate language to justify the incorporation of im-
enth Ecumenical Council (Nicaea 787). Toronto, 1986.
ages and their veneration into legitimate Christian practice.
Von Grunebaum, Gustave E. Islam and Medieval Hellenism: Social
This problem was raised by the eighty-second canon of the
and Cultural Perspectives (1937). London, 1976.
Quinisext Council, which declared that it was inappropriate
Von Grunebaum, Gustave E. “Byzantine Iconoclasm and the In-
for Christians to use symbolic representations of Christ (such
fluence of the Islamic Environment.” History of Religions 2
as the Lamb of God) when the fact of Christ’s incarnation
(1962): 1–10.
made his corporeal representation a necessity.
Wandel, Lee Palmer. Voracious Idols and Violent Hands: Icono-
FIRST PHASE. Knowledge of the earliest iconoclastic case
clasm in Reformation Zurich, Strasbourg, and Basel. Cam-
against the images is scant. From the reports embedded in
bridge, U.K., 1995.
iconophile responses, it appears that the iconoclasts asserted
DIANE APOSTOLOS-CAPPADONA (2005)
the continuing value of Old Testament prohibitions on im-
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ICONOCLASM: ICONOCLASM IN THE BYZANTINE TRADITION
ages, such as those found in the second commandment. In
ing established that icons belonged within the traditions of
response, iconophile theologians argued that these prohibi-
the church, the council reiterated that the icon was essential
tions against idols and their worship were no longer valid for
for the commemoration of the reality of the incarnation and
Christians, whose God, thanks to the incarnation, had be-
that this function made the icon worthy of veneration.
come a historical being, whose acceptance of the spatial and
T
temporal limits of a human body had made him visible and
HIRD PHASE. In 815 CE Emperor Leo V forced Patriarch
Nikephoros I (r. 806–815) to resign. This emperor had
hence available for representation in icons. The primary ad-
sponsored a revival of the iconoclastic theology espoused
vocates of this position were Patriarch Germanos I of Con-
during the reign of Constantine V. Under the auspices of a
stantinople, whose views are known from three letters in-
committee led by the monk John the Grammarian, who be-
cluded in the documents of the Seventh Ecumenical
came Patriarch of Constantinople in 837
Council, and John of Damascus (c. 675–749
CE, these ninth-
CE), whose
century iconoclasts developed aspects of their iconoclastic
three orations on the images remain an influential discussion
predecessors’ theology. This included an acceptance of the
of the role of images in Orthodox Christianity. The argu-
visual representation of holy persons, although these images
ments proposed by Germanos and John are crucial in that
were to be denied veneration and were also considered to be
they linked the fate of the icon to Christological thought,
a lesser medium than verbal representations.
thus making the debate over the image continuous with the
Christological debates of the preceding centuries.
Resistance to this fresh outbreak was led by Patriarch
SECOND PHASE. The second phase of the iconoclastic era be-
Nikephoros I of Constantinople and Theodore of Stoudios
longs to the early 750s CE. In preparation for an iconoclastic
(759–826). Nikephoros wrote an extensive series of treatises
council to be held in 754 CE, Emperor Constantine V (r.
against the unfolding iconoclastic theology, whereas Theo-
741–775) issued a series of Enquiries on the image question.
dore’s primary contribution lay in his three refutations of
These challenged the Christological case made by the first
iconoclastic arguments. Both authors built upon the Chris-
generation of iconophiles. Constantine deployed a Trinitari-
tological defense of images. To this they added a rigorous use
an conception of the image to show that the Christological
of Aristotelian logical terminology. This enabled them to
defense of images was insufficient. In particular, he argued
clarify the language that framed the icon and to provide a
that the iconophiles had failed to account for how an icon
precise description of iconic representation. Above all the
could represent a divine being such as Christ without either
icon was defined in relational terms as a likeness of the one
dividing his dual natures or limiting his person. Constan-
depicted therein. An icon was thus understood to represent
tine’s position was largely endorsed by 338 bishops and other
the formal, nonessential aspects of the visible properties of
participants at the iconoclastic Hieria Council held at Chal-
a historical subject. Furthermore, this relational model was
cedon in 754 CE. The remaining years of Constantine’s reign
also applied to the question of the veneration of icons.
were marked by an intensified persecution of iconophile op-
Iconophile theologians vigorously denied that the veneration
ponents to this conciliar decision. One further consequence
of an image could lead to any confusion between the icon
of the council was that it reinforced papal opposition to what
and its subject. Rather, they continued to build upon Basil
had come to be seen as an imperial policy of iconoclasm.
of Caesarea’s (c. 329–379 CE) fourth-century dictum that the
This opposition to iconoclasm was expressed in the Lateran
honor addressed to an image was passed on to the person
Council of 769 CE and in the numerous letters written by
whose portrait was conveyed by that object. Following the
Pope Adrian I (r. 772–795) in regard to the Seventh Ecu-
death of Emperor Theophilus (r. 829–842 CE), Emperor Mi-
menical Council held at Nicaea in 787 CE and the Council
chael III (r. 842–867 CE) and Empress Theodora (r. 842–
of Frankfurt in 794 CE. It is arguable that this opposition also
858 CE), guided by the eunuch Theoktistos, installed
contributed to the papal alliance with the emergent Carolin-
Methodius (c. 825–884 CE) as Patriarch of Constantinople
gians that began in the 750s CE and that was to culminate
(r. 843–847 CE) and removed the iconoclastic ban on the
with Charlemagne’s coronation as Holy Roman Emperor in
cult of images.
800 CE.
AFTERMATH. The years of debate that marked Byzantine
The second phase was brought to an end by the ecu-
iconoclasm confirmed the centrality of the icon for Ortho-
menical council that brought together 350 delegates at Ni-
dox Christians. Thereafter, the icon was deemed an exact and
caea in 787 CE. This council was held under the auspices of
truthful eyewitness and confirmation of the reality of
Empress Irene (r. 797–802 CE) and her son Constantine VI
Christ’s incarnation. The arguments presented by John
(r. 780–797 CE) and came about with the strong support of
of Damascus, Nikephoros of Constantinople, and Theodore
Pope Adrian I. The council was shaped by Patriarch Tarasios
of Stoudios continued to define the key issues concerning the
I of Constantinople (r. 784–806 CE) and was a direct re-
place of art in Byzantine Christianity. The Synodikon of Or-
sponse to the iconoclastic council of 754 CE. The greater part
thodoxy, first composed before 920 CE, summarized and me-
of the discussion was devoted to the establishment of the
morialized the iconophile argument. When this text was read
continuing tradition of the icon in the life of the church. The
each year on the first Sunday of Lent to mark the Triumph
enormous array of testimony gathered toward this end re-
of Orthodoxy, it both reiterated the iconophile defense of the
mains a primary witness to the early history of the icon. Hav-
icon and affirmed the centrality of the icon to the definition
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ICONOCLASM: ICONOCLASM IN THE BYZANTINE TRADITION
4291
of orthodoxy. Furthermore the arguments of these
New translations have also made crucial material more accessible;
iconophile fathers continued to be studied and invoked in
for example, Saint Nicephorus, Patriarch of Constantinople,
Byzantine debates over the image that took place in the elev-
Discours contre les Iconoclastes, translated by Marie-José
enth and fourteenth centuries. Later in the West their ideas
Mondzain-Baudinet (Paris, 1989); Theophanes the Confes-
were “rediscovered” by the Counter-Reformation theolo-
sor, The Chronicle of Theophanes Confessor: Byzantine and
gians of the sixteenth century as they searched for models for
Near Eastern History AD 284–813, translated by Cyril Mango
a Catholic defense of images.
and Roger Scott (Oxford, U.K., 1997); Byzantine Defenders
of Images: Eight Saints’ Lives in Translation, edited by Alice-
Indeed, the Council of Trent, Vatican II, and Pope
Mary Talbot (Washington, D.C., 1998); and Andrew
John Paul II’s Letter to Artists demonstrate the continuing
Louth, ed., Three Treatises on the Divine Images (Crestwood,
value of Byzantine theology of the icon for Catholic theolo-
N.Y., 2003). This work on the texts from this era has led to
gians. Each of these texts shows that the ideas addressed dur-
a more complex assessment of the use of the evidence that
ing Byzantium’s debates over the status of the icon remain
is available from this period. This enquiry is led by, among
fundamental to any discussion of Christian image making
others, the work of Paul Speck, usefully introduced in his
and image use.
Understanding Byzantium: Studies in Byzantine Historical
Sources (Aldershot, U.K., and Brookfield, Vt., 2003); and
SEE ALSO Icons.
Marie-France Auzépy, including her Hagiographie et
l’iconoclasme: Le cas de la Vie d’Étienne le Jeune (Aldershot,
BIBLIOGRAPHY
U.K., 1999).
Modern work on Byzantine iconoclasm has focused upon the pro-
duction of good critical editions and sound translations of
Leslie Brubaker and John Haldon, Byzantium in the Iconoclast Era,
both key and neglected texts. New critical editions have
ca. 680–850: The Sources; An Annotated Survey (Aldershot,
helped clarify some key texts; for example, Saint Theodore
U.K., 2001), provides a useful survey of the material and ver-
of Studites, Theodori Studitae Epistulae, edited by Giorgios
bal sources available for the study of Byzantine iconoclasm.
Fatouros (Berlin,1992); Joseph A. Munitiz et al., eds. and
For art-historical discussion see André Grabar, L’iconoclasme
trans., The Letter of the Three Patriarchs to Emperor
byzantin: Le dossier archéologique (Paris, 1984); and Charles
Theophilos and Related Texts (Camberley, U.K., 1997); Saint
Barber, Figure and Likeness: On the Limits of Representation
Nicephorus, Patriarch of Constantinople, Nicephori patriar-
in Byzantine Iconoclasm (Princeton, N.J., 2002). The papers
chae Constantinopolitani Refutatio et eversio definitionis syno-
collected in Anthony Bryer and Judith Herrin, eds., Icono-
dalis anni 815, edited by Jeffrey Featherstone (Turnhout,
clasm (Birmingham, U.K., 1977), remain an important point
Belgium, 1997); Stephen the Deacon, La vie d’Étienne le
of departure for the study of this topic. For an introduction
Jeune: Par Étienne le Diacre, edited by Marie-France Auzépy
to the theological issues see Kenneth Parry, Depicting the
(Aldershot, U.K., and Brookfield, Vt., 1997); Ignatios the
Word: Byzantine Iconophile Thought of the Eighth and Ninth
Deacon, The Life of the Patriarch Tarasios: By Ignatios the
Centuries (Leiden, Netherlands, 1996).
Deacon, edited by Stephanos Efthymiadis (Aldershot, U.K.,
and Brookfield, Vt., 1998).
CHARLES BARBER (2005)
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